[Federal Register Volume 81, Number 46 (Wednesday, March 9, 2016)]
[Pages 12476-12477]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-05256]



 Patent and Trademark Office

Privacy Act of 1974; System of Records

ACTION: Notice of revised Prefatory Statement of General Routine Uses.


SUMMARY: In accordance with the requirements of the Privacy Act of 
1974, as amended, the United States Patent and Trademark Office 
(``USPTO'' or ``the Agency'') seeks to revise the Prefatory Statement 
of General Routine Uses (``prefatory statement'') published in the 
Federal Register on December 31, 1981 (46 FR 63501-63502). This action 
is being taken to update the language in several existing uses as well 
as to integrate new uses.

DATES: Written comments on the proposed prefatory statement revisions 
should be sent on or before April 18, 2016. The prefatory statement as 
revised below will become effective as of the above date unless the 
USPTO receives comments that would result in a contrary determination.

ADDRESSES: Written comments may be submitted by any of the following 
     Email: [email protected]. Include ``USPTO 
Prefatory Statement--Comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Marcie Lovett, Director, Records Management 
Division, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450.

SUPPLEMENTARY INFORMATION: The USPTO is giving notice of proposed 
revisions to the Agency's Prefatory Statement of General Routine Uses. 
The revisions update the language in multiple uses to remove outdated 
references and terms, restructure existing uses for clarity and 
brevity, and add routine uses designed to cover new technological uses 
(e.g. disclosures following system data breaches) and relevant uses not 
present in the previous prefatory statement (e.g. disclosures to state 
bar organizations). The following routine uses apply to, and are 
incorporated by reference into, each system of records utilized by the 
United States Patent and Trademark Office that is created or revised 
following the publication of this notice.

Prefatory Statement of General Routine Uses

    A record from the referencing system of records may be disclosed, 
as a routine use, to:
    1. A Federal, state, local, or foreign agency in the event that the 
system of records indicates a violation or potential violation of law, 
whether civil, criminal, or regulatory in nature, and whether arising 
by (1) general statute or particular program statute or contract, (2) 
rule, regulation, or order issued pursuant thereto, or (3) the 
necessity to protect an interest of the Agency. The agency receiving 
the record(s) must be charged with the responsibility of investigating 
or prosecuting such violations or with enforcing or implementing the 
statute, rule, regulation, or order issued pursuant thereto, or 
protecting the interest of the Agency.
    2. A Federal, state or local agency maintaining civil, criminal, or 
other relevant enforcement information or other pertinent information, 
such as current licenses, if necessary to obtain information relevant 
to an Agency decision concerning (1) the assignment, hiring, or 
retention of an individual, (2) the issuance of a security clearance, 
(3) the letting of a contract, or (4) the

[[Page 12477]]

issuance of a license, grant, or other benefit.
    3. A court, magistrate, or administrative tribunal during the 
course of presenting evidence, including disclosures to opposing 
counsel or witnesses in the course of civil discovery, litigation, or 
settlement negotiations.
    4. A Member of Congress or staff acting upon the Member's behalf 
when the Member or staff requests the information on behalf of, and at 
the request of, the individual who is the subject of the record.
    5. The medical advisor of any individual who submits a request for 
access to a record which contains medical information under the Act and 
37 CFR part 102 Subpart B if, in the sole judgment of the Agency, 
disclosure would not have an adverse effect upon the individual, under 
the provision of 5 U.S.C. 552a(f)(3) and implementing regulations at 37 
CFR part 102 Subpart B.
    6. Professional organizations or associations with which 
individuals covered by this system of records may be affiliated, such 
as state bar disciplinary authorities, to meet their responsibilities 
in connection with the administration and maintenance of standards of 
conduct and discipline.
    7. The Office of Management and Budget (OMB), in connection with 
the review of private relief legislation as set forth in OMB Circular 
No. A-19 at any stage of the legislative coordination and clearance 
    8. The Department of Justice (DOJ), in connection with determining 
whether disclosure thereof is required by the Freedom of Information 
Act (5 U.S.C. 552).
    9. Contractors, agents, grantees, experts, consultants, and others 
performing or working on a contract, service, grant, cooperative 
agreement, or other work assignment for the Agency who have need for 
information from the system of records:
    a. In the course of operating or administrating the system of 
    b. In the course of fulfilling an agency function, but only to the 
extent necessary to fulfill that function; or
    c. In order to fulfill their contract(s), but who do not operate 
the system of records within the meaning of 5 U.S.C. 552a(m).
    10. The Office of Personnel Management (OPM), for personnel 
research purposes, as a data source for management information, for the 
production of summary descriptive statistics and analytical studies in 
support of the function for which the records are collected and 
maintained, or for related manpower studies.
    11. The Administrator of the National Archives and Records 
Administration (NARA), or said administrator's designee, during an 
inspection of records conducted by NARA as part of that agency's 
responsibility to recommend improvements in records management 
practices and programs, under authority of 44 U.S.C. 2904 and 2906. 
Such disclosure shall be made in accordance with NARA regulations 
governing inspection of records for this purpose, and any other 
relevant directive. Such disclosure shall not be used to make 
determinations about individuals.
    12. Appropriate agencies, entities, or persons when (1) the Agency 
suspects or has confirmed that the security or confidentiality of the 
information in the system of records has been compromised; (2) the 
Agency has determined that, as a result of the suspected or confirmed 
compromise, there is a risk of harm to economic or property interests, 
identity theft or fraud, or harm to the security or integrity of this 
system or other systems or programs (whether maintained by the Agency 
or another agency or entity) that rely upon the compromised 
information; and (3) such disclosure is reasonably necessary to assist 
in connection with the Agency's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.
    13. Any component of the Department of Justice for the purpose of 
representing the Agency, or any employee of the Agency, in pending or 
potential litigation to which the record is pertinent.

    Dated: March 3, 2016.
Marcie Lovett,
Records Management Division Director, OCIO, United States Patent and 
Trademark Office.
[FR Doc. 2016-05256 Filed 3-8-16; 8:45 am]