[Federal Register Volume 85, Number 32 (Tuesday, February 18, 2020)]
[Notices]
[Pages 8847-8849]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-03068]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

[Docket No. PTO-T-2020-0007]


Privacy Act of 1974; System of Records

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice of a new system of records.

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SUMMARY: Pursuant to the Privacy Act of 1974 and the Office of 
Management and Budget (OMB) Circular A-108, the United States Patent 
and Trademark Office (USPTO) hereby gives notice it has established a 
new system of records titled COMMERCE/USPTO-26, Trademark Application 
and Registration Records. The USPTO proposes to establish this system 
of records to manage trademark application and registration records.

DATES: To be considered, written comments must be submitted on or 
before March 19, 2020. This new system of records will become effective 
on February 18, 2020, with routine uses becoming effective on March 19, 
2020.

ADDRESSES: Comments may be submitted by any of the following methods:
     Email: [email protected]. Include ``Privacy Act USPTO-26 
comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Trademark Portfolio Manager, Office of the Chief 
Information Officer, United States Patent and Trademark Office, P.O. 
Box 1450, Alexandria, VA 22313-1450.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Eunice Wang, Trademark Portfolio Manager, Office 
of the Chief Information Officer, USPTO, by mail to P.O. Box 1450, 
Alexandria, VA 22313-1450; by telephone at 571-272-8872; or by email to 
[email protected] with ``Trademark Application and 
Registration Records'' in the subject line.

SUPPLEMENTARY INFORMATION: The USPTO is giving notice of a proposed new 
system of records that is subject to the Privacy Act of 1974. The USPTO 
is the federal agency responsible for registering trademarks, and this 
system of records would collect and maintain information related to 
trademark applications and registrations, including on trademark 
applicants and their authorized representatives, to carry out the 
USPTO's duties.
    The Privacy Act requires each agency that proposes to establish a 
system of records to provide adequate advance notice of any such 
proposal to the Office of Management and Budget (OMB), the Committee on 
Oversight and Government Reform of the House of Representatives, and 
the Committee on Homeland Security and Governmental Affairs of the 
Senate (5 U.S.C. 552a(r)). The purpose of providing the advance notice 
to OMB and Congress is to permit an evaluation of the potential effect 
of the proposal on the privacy and other rights of individuals. The 
USPTO filed a report describing the new system of records covered by 
this notice with the Chair of the Senate Committee on Homeland Security 
and Governmental Affairs, the Chair of the House Committee on Oversight 
and Government Reform, and the Deputy Administrator of the Office of 
Information and Regulatory Affairs, Office of Management and Budget 
(OMB), on [insert date of letters].

SYSTEM NAME AND NUMBER:
    Trademark Application and Registration Records, COMMERCE/USPTO-26.

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    United States Patent and Trademark Office, 600 Dulany Street, 
Alexandria, VA 22313.

SYSTEM MANAGER(S):
    Trademark Portfolio Manager, Office of the Chief Information 
Officer, United States Patent and Trademark Office, Alexandria, VA 
22313-1450, or by

[[Page 8848]]

email to [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    35 U.S.C. 2 and 15 U.S.C. 1051-1141n.

PURPOSE(S) OF THE SYSTEM:
    The purpose of this system of records is to carry out the duties of 
the USPTO to issue federal trademark registrations and maintain a 
register of trademarks. The system allows the USPTO to collect and 
maintain records generated as customers apply for and prosecute a 
trademark application and maintain a trademark registration.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Applicants for trademark registration, registrants, and legal and 
other authorized representatives for such applicants and registrants.

CATEGORIES OF RECORDS IN THE SYSTEM:
    All categories of records may include the name, citizenship, 
domicile, email address, postal address, and telephone number of the 
trademark applicant, registrant, and applicant's or registrant's legal 
or other authorized representative(s), an attorney's law firm or 
company affiliation and professional licensing information, and other 
information pertaining to an applicant's or registrant's activities in 
connection with the applied-for or registered mark. Records in this 
system include trademark applications, applicant and registrant 
declarations, office actions, registration certificates, and 
correspondence generated in the course of the prosecution of a 
trademark application or maintenance of a trademark registration.

RECORD SOURCE CATEGORIES:
    Information in this system of records is derived from records 
developed during the prosecution of a trademark application or the 
maintenance of a trademark registration and, thus, the information may 
come from the trademark applicant, registrant, and applicant's or 
registrant's legal or other authorized representative.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. Public Disclosure--Records in this system of records are 
available for public inspection, except as of December 21, 2019, the 
USPTO will not make publicly available the address provided in the 
``Domicile Address'' field on trademark forms. The USPTO will continue 
to make postal addresses provided for mark owners on trademark forms 
available for public inspection. Postal and domicile addresses can be 
different, but when a mark owner elects to provide the same address for 
both the postal and domicile address, that address will still be 
available for public inspection. Individuals may also request domicile 
addresses provided before December 21, 2019, or otherwise present in 
this system of records, not be made available for public inspection. 
The information in this system is used by the Agency and the public for 
a variety of business purposes related to determining eligibility of a 
mark for federal registration and enforcing trademark rights. The 
information is available at USPTO facilities and can also be accessed 
and downloaded at the USPTO's website.
    2. Foreign Entity Disclosure--A record in this system of records 
may be disclosed to a foreign entity (foreign government or 
international organization) to satisfy requirements for the processing 
of an application for a foreign trademark registration or an 
international trademark registration.
    3. Professional Organizations or Associations--A record in this 
system of records may be disclosed to 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.
    4. Audit Disclosure--A record from this system of records may be 
disclosed to an agency, organization, or individual for the purpose of 
performing an audit or oversight operations as authorized by law, but 
only such information as is necessary and relevant to such audit or 
oversight function 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 USPTO officers and 
employees.
    5. Governments Disclosure--A record from this system of records may 
be disclosed to a federal, state, local, or international agency, in 
response to its request, in connection with (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 issuance of a 
license, grant, or other benefit by the requesting agency, to the 
extent that the information is relevant and necessary to the requesting 
agency's decision on the matter.
    6. Law Enforcement and Investigation--A record in this system of 
records may be disclosed to a Federal, state, local, or foreign agency 
or other appropriate entity where a record, either alone or in 
conjunction with other information, 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.
    7. Non-Federal Personnel--A record in this system of records may be 
disclosed to 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: (1) In the course of operating 
or administrating the system of records; (2) In the course of 
fulfilling an agency function, but only to the extent necessary to 
fulfill that function; or (3) 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).
    8. Record Informational Inquiries--A record in this system of 
records may be disclosed to a Federal, state, local, or international 
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 issuance of a license, grant, or other benefit.
    9. Data Breach Notification--A record in this system of records may 
be disclosed to appropriate agencies, entities, and persons when (1) 
the USPTO suspects or has confirmed that there has been a breach of the 
system of records; (2) USPTO has determined that as a result of the 
suspected or confirmed breach there is a risk of harm to individuals, 
USPTO (including its information systems, programs, and operations), 
the Federal Government, or national security; and (3) the disclosure 
made to such agencies, entities, and person is reasonably necessary to 
assist in connection with USPTO's efforts to respond to the suspected 
or confirmed

[[Page 8849]]

breach or to prevent, minimize, or remedy such harm.
    10. Data Breach Assistance--A record in this system of records may 
be disclosed to another Federal agency or Federal entity when the 
Agency determines that information from this system of records is 
reasonably necessary to assist the recipient agency or entity in (1) 
responding to a suspected or confirmed breach or (2) preventing, 
minimizing, or remedying the risk of harm to individuals, the recipient 
agency or entity (including its information systems, programs, and 
operations), the Federal Government, or national security, resulting 
from a suspected or confirmed breach.
    11. Adjudication and Litigation--A record in this system of records 
may be disclosed to 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.
    12. Department of Justice Litigation--A record in this system of 
records may be disclosed to 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.
    13. Freedom of Information Act Assistance from Department of 
Justice--A record in this system of records may be disclosed to the 
Department of Justice, in connection with determining whether 
disclosure thereof is required by the Freedom of Information Act (5 
U.S.C. 552).
    14. Office of Personnel Management--A record in this system of 
records may be disclosed to 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.
    15. Congressional Inquiries--A record in this system of records may 
be disclosed to 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.
    16. National Archives and Records Administration--A record in this 
system of records may be disclosed to 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.
    17. Office of Management and Budget--A record in this system of 
records may be disclosed to 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 process.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    USPTO stores the records on electronic storage media, paper records 
in file folders, and microfilm.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by mark, application serial number, filing 
date, registration number, registration date, name of the owner, name 
of the attorney of record, and other identifiers in the system.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records retention and disposal is performed in accordance with the 
USPTO Records Control Schedule N1-241-06-2:2 or N1-241-06-2:3 
(Trademark Case File Records and Related Indexes). Trademark 
application and case files meeting certain selection criteria (2:2) are 
permanent records and transferred to NARA six years after the 
registrations are cancelled, expired, or go abandoned. Non-selected 
trademark application and case files (2:3) are temporary records 
destroyed two years after trademark registrations are cancelled, 
expired, or go abandoned.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records are maintained in areas accessible only to authorized 
personnel in buildings protected by security guards. The electronic 
records stored in systems can be accessed for maintenance only by 
authorized personnel. Personally and Business identifiable information 
stored in systems are safeguarded and protected in conformance with all 
Federal statutory and OMB guidance requirements. The hosting facility 
is supported by 24/7 onsite hosting and network monitoring by trained 
technical staff.

RECORD ACCESS PROCEDURES:
    Requests from individuals should be submitted as stated in the 
notification section below.

CONTESTING RECORD PROCEDURES:
    The general provisions for access and/or contesting information by 
the individual concerned appear in 37 CFR 102 subpart B. Requests from 
individuals should be submitted as stated in the notification section 
below.

NOTIFICATION PROCEDURES:
    Information about the records contained in this system may be 
obtained by sending a signed request 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.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    No exemptions claimed.

HISTORY:
    None.

    Dated: February 11, 2020.
Frederick W. Steckler,
Chief Administrative Officer, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2020-03068 Filed 2-14-20; 8:45 am]
 BILLING CODE 3510-16-P