[Federal Register Volume 78, Number 61 (Friday, March 29, 2013)]
[Notices]
[Pages 19244-19245]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-07378]


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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-9 Patent Assignment Records.'' 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-9 comment'' in the subject line of the message.
     Fax: (571) 273-0140, marked to the attention of Lee 
Thompson.
     Mail: Lee Thompson, Assignment Recordation Branch, 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: Lee Thompson, Assignment Recordation 
Branch, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450, (571) 272-3350.

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 related to recordation of assignments of property 
rights for patent applications and patents, including the documents 
submitted to the USPTO for such recordation. The Privacy Act notice is 
being updated with the current address information for the system 
location and system manager. 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 rule references for

[[Page 19245]]

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-9 Patent Assignment Records,'' is published in its entirety below.
COMMERCE/PAT-TM-9

System name:
    Patent Assignment Records.

Security classification:
    Unclassified.

System location:
    Assignment Recordation Branch, Public Records Division, Public 
Information Services Group, United States Patent and Trademark Office, 
2800 South Randolph Street, Arlington, VA 22206.

Categories of individuals covered by the system:
    Persons who have given or received property rights under an 
application for patent or a patent by means of a written instrument 
recorded in the USPTO; intellectual property owners (deceased or 
incapacitated) and their legal representatives.

Categories of records in the system:
    Assignments, grants, mortgages, liens, encumbrances, licenses, and 
other instruments affecting title, letters testamentary, other court 
certificates and orders.

Authority for maintenance of the system:
    35 U.S.C. 1, 6, and 261; E.O. 9424.

Purpose(s):
    To maintain records related to assignments of property rights for 
patent applications and patents, including the documents submitted to 
the USPTO for recordation.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    Records open to the public are searched by users for the purpose of 
determining ownership for other property rights with respect to patents 
and trademarks. On the separate Government Register, records 
categorized as ``Public'' are available for public inspection; those 
records categorized as ``Departmental'' are used by duly authorized 
employees of Government agencies; and those records designated as 
``Secret''' are disclosed only to persons having written authority from 
the head of the agency submitting the record. Assignment records 
relating to pending patent applications are maintained in confidence in 
accordance with 5 U.S.C. 122.
    In addition to the routine uses in the Prefatory Statement of 
General Routine Uses, Nos. 1-5 and 8-13, as found at 46 FR 63501-63502 
(December 31, 1981):
    (1) 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).
    (2) 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.
    (3) 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 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 files and electronic storage media.

Retrievability:
    By inventor's name, application serial number, assignee's name, 
assignor's name, and patent number.

Safeguards:
    Building employs security guards. Records subject to 
confidentiality requirements are maintained in areas accessible only to 
authorized personnel who are properly screened, cleared and trained. 
Records in the Secret Portion of the Government Register are, 
additionally, stored in a locked vault. Where information is 
retrievable by computer, all safeguards appropriate to secure the 
system (hardware and software) are utilized.

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

System manager(s) and address:
    Records Officer, Assignment Recordation Branch, United States 
Patent and Trademark Office, 2800 South Randolph Street, Arlington, VA 
22206.

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 
(including assignees' or assignors' name(s) and application serial 
number, if known) 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:
    Persons who have submitted written instruments to the USPTO for 
recording.

Exemptions claimed for the system:
    Pursuant to 5 U.S.C. 552a(k)(1), assignment records which are 
designated ``Secret'' and maintained in the Government Register 
pursuant to E.O. 9424 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 with agency rules 
which appear in 37 CFR 102 subpart B.

    Dated: March 26, 2013.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2013-07378 Filed 3-28-13; 8:45 am]
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