[Federal Register Volume 89, Number 82 (Friday, April 26, 2024)]
[Notices]
[Pages 32400-32403]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-08734]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
Privacy Act of 1974; System of Records
AGENCY: United States Patent and Trademark Office, Department of
Commerce.
ACTION: Notice of a modified system of records.
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SUMMARY: The Department of Commerce (Department)/United States Patent
and Trademark Office (USPTO) is issuing this notice of its intent to
modify the Privacy Act system of records under ``COMMERCE/PAT-TM-10,
Deposit Accounts and Electronic Funds Transfer Profiles.'' This system
of records allows the USPTO to collect and maintain personal and
financial information on customers who submit payments for services and
processing fees to the USPTO.
DATES: The modified system of records notice (SORN) will become
effective upon its publication, except that new routine uses 2, 3, 9,
11, 15, 16, and 17 and significant modifications to routine uses 4, 5,
6, 7, 10, 13, and 14 are subject to a public comment period of 30 days
from the date of publication and will become effective at the end of
that period. Any subsequent changes to a routine use in response to
comments received, or other revisions to the system, will be subject to
the requirements for further notice, as applicable, as set forth in OMB
Circular A-108, section 6. To be considered, written comments must be
submitted on or before May 28, 2024.
ADDRESSES: Comments may be submitted by any of the following methods:
Email: [email protected]. Include ``USPTO-10 comment'' in the
subject line of the message.
Federal e-Rulemaking Portal: https://www.regulations.gov.
Mail: Justin Isaac, Office of the Chief Administrative
Officer, USPTO, P.O. Box 1450, Alexandria, VA 22313-1450.
The USPTO will make all comments it receives available for public
inspection at the Federal e-Rulemaking Portal located at https://www.regulations.gov. Before including your address, phone number, email
address, or other personal identifying information, you should be aware
that your entire comment, including any personal identifying
information you provide, may be made publicly available. You may
request in your comment that the USPTO withhold your personal
identifying information from public review; however, the USPTO cannot
guarantee it will be able to do so. Therefore, do not submit personal
identifying information, Confidential Business Information, or
otherwise sensitive or protected information that you do not want made
public.
FOR FURTHER INFORMATION CONTACT: Requests for additional information
should be directed to Matthew Lee, Director of the Receipts Accounting
Division, United States Patent and Trademark Office, P.O. Box 1450,
Alexandria, VA 22313-1450; by telephone at (571) 272-6343, by email to
[email protected] with ``Fee Management Products--System of
Records'' in the subject line.
SUPPLEMENTARY INFORMATION: In accordance with the requirements of the
Privacy Act of 1974, as amended, and the Office of Management and
Budget (OMB) Circular A-108, ``Federal Agency Responsibilities for
Review, Reporting, and Publication under the Privacy Act,'' the USPTO
is modifying the system of records currently listed under ``COMMERCE/
PAT-TM-10, Deposit Accounts and Electronic Funds Transfer Profiles.''
This system of records was last amended on August 10, 2007 (72 FR
45009). The changes are needed to ensure that the notice for this
system of records is up-to-date, accurate, and current, as required by
the Privacy Act, 5 U.S.C. 552a(e)(4).
The USPTO is modifying this system of records due to changes in how
it collects, uses, maintains, and retrieves personally identifiable
information (PII) from its customers to administer transactions for
services and processing fees related to patents, trademarks, and
information products. The USPTO charges both service and processing
fees, such as, but not limited to, patent and trademark application
filing fees, patent examination fees, patent trial and appeal fees,
trademark trial and appeal fees, and processing of refused payment and
charge-back fees. Customers are able to choose from several methods of
payment to pay for services and processing fees related to patents,
trademarks, and information products. The USPTO is updating the system
of records to include users of credit cards, debit cards, and paper
checks, and/or their associated transactions.
To implement these updates, the USPTO is modifying this system of
records to expand the categories of individuals covered by this system
and the categories of records maintained in the system to reflect
current users and the types of information collected. The USPTO also
proposes modifying the record source categories to include records
derived from financial entities and the Department of the Treasury or
Bureau of the Fiscal Service-designated fiscal and financial agents of
the United States that process payments and collections, and to update
the appropriate sections to address credit card, debit card, and paper
check users and/or the associated transactions.
The USPTO is modifying the routine uses for this system of records
to expressly describe and consolidate all applicable routine uses into
one notice instead of relying on a cross-reference to other Federal
Register (FR) notices. In the last full publication of this system of
records notice on July 6, 2006 at 71 FR 38387, the USPTO incorporated
by reference some of the Prefatory Statement of General Routine Uses
published on December 31, 1981 at 46 FR 63501-63502. Instead of relying
on the incorporation by reference, the USPTO expressly incorporates in
modified form eight General Routine Uses as Routine Uses 4 (formerly
3), 5 (formerly 2), 6 (formerly 1), 7 (formerly 10), 10 (formerly 4),
12 (formerly 9), 13 (formerly 5), and 14 (formerly 13) in this system
of records. Of these eight, the USPTO is modifying Routine Uses 4, 5,
6, 7, 10, 13, and 14 to make administrative changes, address the
expanded needs of the USPTO and reflect current authorities and
practices; and Routine Use 12 to make non-substantive changes for
clarity. Each
[[Page 32401]]
Routine Use has also been updated with minor editorial changes
throughout, including the addition of descriptive headings. In
addition, the USPTO proposes revising for clarity a previously
unnumbered routine use (Routine Use 1) regarding the disclosure of
financial information to financial institutions, including banks and
credit unions, and credit card companies for the purpose of revenue
collections and/or investigating the accuracy of information required
to complete transactions. Also, the USPTO expressly incorporates, but
in a modified form, a routine use published on August 10, 2007 at 72 FR
45009 (Routine Use 8) to comport with the USPTO's standards and routine
disclosure practices and OMB guidance.
The USPTO is adding seven new routine uses to the system of
records. The USPTO proposes adding a routine use (Routine Use 2) to
cover the administrative needs of disclosing the information to the
Department of Treasury. The USPTO is adding a new routine use (Routine
Use 3) to disclose information to any agency, organization, or
individual for audit/oversight functions of this system of records,
such as to an accreditation entity, but only when such information is
necessary and relevant to such function. The USPTO is adding a new
routine use (Routine Use 9) to allow the USPTO to provide assistance to
other agencies in responding to a data breach, if appropriate, in
compliance with OMB Memorandum M-17-12. The USPTO is adding new routine
uses (Routine Uses 11 and 15) to describe how the USPTO provides
information to other Federal agencies for litigation purposes and in
connection with the legislative coordination and clearance process.
This includes providing the Department of Justice with information when
litigation involves the USPTO (Routine Use 11) and allowing the USPTO
to provide information related to private relief legislation to OMB in
conjunction with that agency's legislative coordination and clearance
functions (Routine Use 15). The USPTO is adding a routine use (Routine
Use 16) to cover disclosures of information to officials of labor
organizations, and a routine use (Routine Use 17) that describes how
and when information may be disclosed to the news media and the public.
Finally, the USPTO is making minor administrative updates to
certain sections to reflect current practice and enhance clarity;
reorganizing the system of records in accordance with reissued OMB
Circular A-108; and modifying the system of records name from
``COMMERCE/PAT-TM-10, Deposit Accounts and Electronic Funds Transfer
Profiles'' to ``COMMERCE/USPTO-10, Fee Management Products'' to more
accurately reflect the system and breadth of information maintained in
the system of records.
The Privacy Act also requires each agency that proposes to
establish or significantly modify a system of records to provide
adequate advance notice of any such proposal to the OMB, the Committee
on Oversight and Accountability of the House of Representatives, and
the Committee on Homeland Security and Governmental Affairs of the
Senate (5 U.S.C. 552a(r)). The USPTO filed a report describing the
modified 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 Accountability, and the
Deputy Administrator of the Office of Information and Regulatory
Affairs at OMB.
The modified Privacy Act system of records, ``COMMERCE/USPTO-10,
Fee Management Products,'' is published in its entirety below.
Charles R. Cutshall,
Senior Agency Official for Privacy, Chief Privacy Officer and Director
of Open Government. Department of Commerce.
SYSTEM NAME AND NUMBER:
Fee Management Products, COMMERCE/USPTO-10.
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Office of Finance, Receipts Accounting Division, USPTO,
Madison East Building, 600 Dulany Street, Alexandria, VA 22314;
Office of the Chief Information Officer, USPTO, Madison
West Building, 600 Dulany Street, Alexandria, VA 22314.
SYSTEM MANAGER(S):
Director, Office of Finance, USPTO, Madison East Building, 600
Dulany Street, Alexandria, VA 22314.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
15 U.S.C. 1113, Public Law 112-29, and 35 U.S.C. 2 and 41.
PURPOSE(S) OF THE SYSTEM:
The purpose of this system is to collect, maintain, use, and
retrieve personal and financial records of patent and trademark
customers to process fees related to patents, trademarks, and
information products.
This system of records contains the information necessary to allow
customers to establish deposit accounts at USPTO, maintain existing
accounts, charge the appropriate deposit account, or receive refunds if
applicable. This system of records allows customers to establish and
maintain a user profile to make fee payments from their bank accounts
by electronic funds transfer (EFT), credit cards, debit cards, paper
checks, or equivalent methods.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Registered patent attorneys and agents and other members of the
public who maintain deposit accounts or submit payments, including
those completed through their user profile, for the cost of products
and services rendered by the USPTO.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in the system include:
1. Biographic information, including the account holder's first and
last name, company or organization.
2. Contact information, including account holder's address and
email address.
3. User information, including the user identification (ID), file/
case ID number, and username and password.
4. Financial information, including deposit account number,
financial account, financial transaction, credit card number, debit
card number, paper check, bank name, bank routing number, bank account
number, type of account, and payment transaction irregularities.
RECORD SOURCE CATEGORIES:
Information in this system of records is derived from subject
individuals, those authorized by the individual to furnish information,
including appropriate financial entities, and the Department of the
Treasury or Bureau of the Fiscal Service-designated fiscal and
financial agents of the United States that process payments and
collections.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under the
Privacy Act of 1974, as amended, 5 U.S.C. 552a(b), records maintained
as part of this system of records may be routinely disclosed pursuant
to 5 U.S.C. 552a(b)(3) as follows:
1. Financial Institutions--A record from this system of records may
be disclosed to financial institutions and other financial services
companies, including banks, credit unions, and credit card companies,
for the purpose of revenue collections, refunds, and/or
[[Page 32402]]
investigating the accuracy of information required to complete
transactions using electronic methods and for administrative purposes,
such as resolving questions, problems, or irregularities about a
transaction.
2. Department of the Treasury--A record from this system of records
may be disclosed to the Department of the Treasury, as well as its
fiscal agents and financial agents, for the purpose of performing
financial management services, including, but not limited to,
processing payments, investigating and rectifying possible erroneous
reporting information, creating and reviewing statistics to improve the
quality of services provided, or conducting debt collection services.
3. 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 operation as authorized by law, but
only such information as is necessary and relevant to such audit or
oversight function 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 officers and employees.
4. Governments Disclosure--A record from this system of records may
be disclosed to a Federal, State, local, Tribal, 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.
5. Record Informational Inquiries--A record in this system of
records may be disclosed to a Federal, State, local, Tribal, 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 a USPTO
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.
6. Law Enforcement and Investigation--A record in this system of
records may be disclosed to a Federal, State, local, Tribal, 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 USPTO or the Department
of Commerce. 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 USPTO or the
Department of Commerce.
7. Non-Federal Personnel--A record in this system of records may be
disclosed to individuals, contractors, agents, grantees, experts,
consultants, student volunteers, and other workers who technically do
not have the status of Federal employees, performing or working on a
contract, service, grant, cooperative agreement, or other work
assignment for the USPTO or the Department of Commerce, to the extent
needed to perform their assigned functions. These individuals or
entities may have a 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. 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) the 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 persons is reasonably necessary to
assist in connection with the USPTO's efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
9. Data Breach Assistance--A record in this system of records may
be disclosed to another Federal agency or Federal entity when the USPTO
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.
10. 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 where use of such records by the
court or the USPTO is deemed by the USPTO to be relevant and necessary
to the litigation, provided, however, that in each case, the USPTO
determines that disclosure of the records to the court is a use of the
information contained in the records that is compatible with the
purpose for which the records were collected.
11. Department of Justice Litigation--To the U.S. Department of
Justice (DOJ), or in a proceeding before a court, adjudicative body, or
other administrative body in which the USPTO is authorized to appear,
when
(1) The USPTO;
(2) Any employee of the USPTO in their official capacity; or
(3) Any employee of the USPTO in their individual capacity where
the DOJ or the USPTO has agreed to represent the employee; or
(4) The United States, when the USPTO determines that litigation is
likely to affect the USPTO; is a party to litigation or has an interest
in such litigation, and the use of such records by the DOJ or the USPTO
is deemed by the USPTO to be relevant and necessary to the litigation,
provided, however, that in each case, the USPTO determines that
disclosure of the records to DOJ is a use of the information contained
in the records that is compatible with the purpose for which the
records were collected.
12. 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).
13. 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.
14. National Archives and Records Administration--A record in this
[[Page 32403]]
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.
15. 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.
16. Labor Organizations--A record in this system of records may be
disclosed to officials of labor organizations recognized under 5 U.S.C.
chapter 71 when relevant and necessary to their duties of exclusive
representation.
17. Media and the Public--A record in this system of records may be
disclosed to the news media and the public, with the approval of the
USPTO's Chief Privacy Officer in consultation with counsel, when there
exists a legitimate public interest in the disclosure of the
information or when disclosure is necessary to preserve confidence in
the integrity of USPTO or is necessary to demonstrate the
accountability of USPTO's officers, employees, or individuals covered
by the system; except to the extent the USPTO determines that release
of the specific information in the context of a particular case would
constitute an unwarranted invasion of personal privacy.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
The USPTO maintains records in this system in electronic form.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
The USPTO retrieves records in this system by one or more of the
following: registered user name or email address, account holder name,
deposit account number, bank account number, bank routing number,
credit or debit card number, name on card, check number, and by other
transaction numbers or information. The files are searchable in a
database available only to authorized personnel.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records in the system are maintained in accordance with the NARA
approved USPTO Records Controls Schedules N1-241-05-001:5; N1-241-06-
002:4; N1-241-06-002:6; N1-241-10-001:10.3; and General Records
Schedules 1.1 and 3.2.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
The USPTO safeguards records in this system according to applicable
rules and policies, including all applicable automated systems security
and access policies. Information systems are maintained in areas
accessible only to authorized personnel and in buildings protected by
security systems and security guards. The electronic records stored in
this system of records can be accessed for maintenance only by
authorized personnel. The USPTO has imposed strict controls to minimize
the risk of compromising the information that is being stored. Access
to the information system containing the records in this system is
limited to those individuals who have a need to know the information
for the performance of their official duties and who have appropriate
clearances or permissions.
RECORD ACCESS PROCEDURES:
Individuals can access their records by logging into their account
to view, modify, or retrieve records.
Individuals can also request access to their records by mailing a
written request to the Privacy Act Officer, Office of General Law,
United States Patent and Trademark Office, P.O. Box 1450, Alexandria,
VA 22313-1450. The request should include the information requested
pursuant to the provisions for making requests for records appearing at
37 CFR 102.24.
CONTESTING RECORD PROCEDURES:
The procedures for contesting or requesting amendment of
information by the individual concerned appear in 37 CFR 102.27.
Requests from individuals should be submitted as stated in the Record
Access Procedures section above.
NOTIFICATION PROCEDURES:
Individuals seeking to determine whether this system of records
contains information about themselves can send a written request to the
System Manager at the address above or to the address provided in 37
CFR 102.23, which sets forth procedures for making inquiries about
records covered by the Privacy Act. Requesters should include all
required information in accordance with 37 CFR 102.23.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
COMMERCE/PAT-TM-10, Patent Deposit Accounts System, 72 FR 45009
(August 10, 2007); COMMERCE/PAT-TM-10, Deposit Accounts and Electronic
Funds Transfer Profiles, 71 FR 38387 (July 6, 2006).
[FR Doc. 2024-08734 Filed 4-25-24; 8:45 am]
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