[Federal Register Volume 78, Number 61 (Friday, March 29, 2013)]
[Notices]
[Pages 19247-19248]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-07340]


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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-6 Parties Involved in Patent Interference Proceedings.'' 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 29, 2013. 
The amendments will become effective as proposed on April 29, 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-
6 comment'' in the subject line of the message.
     Fax: (571) 273-0053, marked to the attention of Kurt 
Brown.
     Mail: Kurt Brown, Patent Trial and Appeal Board, United 
States Patent and Trademark Office, 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: Kurt Brown, Patent Trial and Appeal 
Board, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450, (571) 272-5356.

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 patent applicants and patentees who become 
involved in a conflict involving the question of priority of invention. 
The Privacy Act notice is being updated with the current information 
for the system location and system manager. The description of the 
routine uses of records maintained in the system has been revised to 
clarify which records may be open to public inspection and 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 storage and safeguard information 
has been updated to include electronic records. The description of 
retrievability has been revised to clarify that records may be indexed 
by the names of applicants or patentees, but not witnesses. The rule 
references for the notification procedure, contesting record 
procedures, and exemptions have been updated to correspond to the 
current statutes and rules for those items as related to the USPTO.
    The amended Privacy Act system of records notice, ``COMMERCE/PAT-
TM-6 Parties Involved in Patent Interference Proceedings,'' is 
published in its entirety below.
COMMERCE/PAT-TM-6

System name:
    Parties Involved in Patent Interference Proceedings.

Security classification:
    Unclassified.

System location:
    Patent Trial and Appeal Board, United States Patent and Trademark 
Office, Madison East, 600 Dulany Street, Alexandria, Virginia 22314.

Categories of individuals covered by the system:
    Applicants for patent and patentees who become involved in a 
conflict involving the question of priority of invention.

Categories of records in the system:
    All records relating to the declaration, conduct, and termination 
of interference proceedings, including, but not limited to: Preliminary 
statements, motions, testimony, and settlement agreements. The data 
contained in the records may include information relating to an 
applicant's, a patentee's or a witness's name, age, citizenship, 
residence, educational and work background, physical and mental health, 
activities relating to conception and reduction to practice of the 
contested subject matter, and other matters which may arise during the 
conduct of the interference proceeding or in connection with any 
agreements made by the parties relative to the interference proceeding.

[[Page 19248]]

Authority for maintenance of the system:
    35 U.S.C. 1, 6, 23, 24, and 135.

Purpose(s):
    To carry out the duties of the USPTO under 35 U.S.C. 6 and 135, in 
particular, to review adverse decisions of patent examiners regarding 
patent applications; to determine the priority and patentability of 
inventions in interference proceedings; and to conduct Inter Partes 
Reviews, Post Grant Reviews, and Proceedings under the Transitional 
Program from Covered Business Methods Patents, and Derivation 
Proceedings. Routine uses of records maintained in the system, 
including categories of users and the purposes of such uses:
    Records relating to interferences which do not involve an 
unpublished application are open to public inspection. Records relating 
to interferences which do involve an unpublished application (37 CFR 
41.6) are open to public inspection after the interference has 
terminated, if any application or patent in the interference is or 
becomes published. Otherwise, information concerning these records is 
provided outside the Office only upon authorization of the applicants 
or owners of the applications or patents involved, or when necessary to 
carry out the provisions of any act of Congress or in such special 
circumstances as may be determined by the Director. Copies of 
settlement agreements filed under 35 U.S.C. 135(c) are kept separate 
from other interference records if the party filing them so requests, 
and are made available, as provided in the statute, only to Government 
agencies on written request or to any person on a showing of good 
cause.
    In addition to the routine uses in the Prefatory Statement of 
General Routine Uses, as found at 46 FR 63501-63502 (December 31, 
1981), routine uses of these records will also include:
    (1) 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).
    (2) 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.
    (3) 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 USPTO, 
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 USPTO employees.

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 or in electronic form. Electronic 
records held in confidence are in a password-controlled system.

Retrievability:
    Filed by Interference Number, cross-indexed to the names of the 
parties. The records may be indexed by applicant or patentee name, but 
not by witness name.

Safeguards:
    Records of settlement agreements held in confidence 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 and can only be accessed by 
authorized personnel.

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

System manager(s) and address:
    Chief Administrative Patent Judge, Patent Trial and Appeal Board, 
United States Patent and Trademark Office, 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 part 102 
subpart B for making inquiries about records covered by the Privacy 
Act. Requesters should provide their name, address, and record sought 
(including Interference Number, if known) 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:
    Applicants for patent and patentees, the patent attorneys or agents 
authorized by such persons to represent them, those authorized by the 
applicant to furnish information, and witnesses and other parties 
involved in the taking of testimony.

Exemptions claimed for the system:
    Pursuant to 5 U.S.C. 552a(k)(1), Patent Interference Proceedings 
records which relate to applications subject to a secrecy order 
pursuant to 35 U.S.C. 181 or are otherwise subject to security 
classification pursuant to E.O. 12065 or the Atomic Energy Act of 1954, 
are exempted from the notification, access, and contest requirements of 
the agency procedures (under 5 U.S.C. 552a(c)(3), (d), (e)(1), 
(e)(4)(G), (H), and (I), and (f)). This exemption is made to prevent 
disclosure of information which might be detrimental to national 
security and in accordance to agency rules, which appear in 37 CFR part 
102 subpart B.

    Dated: March 26, 2013.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2013-07340 Filed 3-28-13; 8:45 am]
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