Privacy Act of 1974; System of Records, 32400-32403 [2024-08734]

Agencies

• DEPARTMENT OF COMMERCE
• Patent and Trademark Office

[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]
BILLING CODE 3510-16-P