Effective Date: August 7, 2006

COMMERCE/PAT-TM-10

SYSTEM NAME:

Deposit Accounts and Electronic Funds Transfer Profiles.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATIONS:

Office of Finance, Receipts Accounting Division, United States Patent and Trademark Office, 2051 Jamieson Avenue, Suite 300, Alexandria, VA 22314; Office of the Chief Information Officer, United States Patent and Trademark Office, Madison West Building, 600 Dulany Street, Alexandria, VA 22314.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Registered patent attorneys and agents and other members of the public who maintain deposit accounts or make electronic funds transfer (EFT) payments to pay the cost of products and services rendered by the United States Patent and Trademark Office (USPTO).

CATEGORIES OF RECORDS IN THE SYSTEM:

For deposit accounts: Name, address, telephone number, fax number, contact e-mail address, taxpayer ID number, Agency Location Code (ALC), deposit account number, type of account, authorized users list, access code, and financial transactions with the USPTO. For EFT: Bank account holder's name, address, bank name, bank routing number, bank account number and type of account, contact phone number, and contact e-mail address.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

35 U.S.C. 2 and 41 and 15 U.S.C. 1113.

PURPOSES:

The USPTO collects customer financial information for fee processing. Under 35 U.S.C. 41 and 15 U.S.C. 1113, as implemented in 37 CFR 1.16-1.28, 2.6-2.7, and 2.206-2.209, the USPTO charges fees for processing and other services related to patents, trademarks, and information products. This system of records contains the information necessary to allow customers to establish deposit accounts at the USPTO, maintain existing accounts, or charge the appropriate fee amount to the appropriate deposit account. This system of records also allows customers to establish and maintain a user profile in order to make fee payments from their bank accounts by EFT.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND PURPOSES OF SUCH USES:

See Prefatory Statement of General Routine Uses Nos. 1-5, 9-10 and 13, as found at 46 FR 63501-63502 (December 31, 1981):

1. In the event that a system or records maintained by the Department to carry out its functions indicates a violation or potential violation of law or contract, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute or contract, or rule, regulation, or order issued pursuant thereto, or the necessity to protect an interest of the Department, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute or contract, or rule, regulation or order issued pursuant thereto, or protecting the interest of the Department.

2. A record from this system of records may be disclosed, as a routine use, to 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 a Department decision concerning the assignment, hiring or retention of an individual, the issuance of a security clearance, the letting of a contract, or the issuance of a license, grant or other benefit.

3. A record from this system of records may be disclosed, as a routine use, to a Federal, state, local, or international agency, in response to its request, in connection with the assignment, hiring or retention of an individual, the issuance of a security clearance, the reporting of an investigation of an individual, the letting of a contract, or 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.

4. A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

5. A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual when the individual has requested assistance from the Member with respect to the subject matter of the record.

9. A record in this system of records may be disclosed, as a routine use, 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).

10. A record in this system of records may be disclosed, as a routine use, to a contractor of the Department having need for the information in the performance of the contract, but not operating a system of records within the meaning of 5 U.S.C. 552a(m).

13. A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services Administration (GSA), or his designee, during an inspection of records conducted by GSA 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 the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e. GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

The financial information is used to establish and maintain deposit accounts and EFT user profiles for USPTO customers and to validate and process fee sales. Account information may also be disclosed to financial institutions for verification and processing of transactions. For EFT payments, the contact phone number and e-mail address are used in order to communicate with the customer in case there are any problems with the EFT information or the EFT fee sale. After a sale is completed, the information is stored as a historical transaction along with the identifying mark of the sale item. This historical information is used to verify that a customer has paid the appropriate fees for their goods or services.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM:

STORAGE:

Microfilm and magnetic storage media.

RETRIEVABILITY:

Deposit account records may be retrieved by: Deposit account number, holder name, and access code. EFT records may be retrieved by: Bank routing number and bank account number. The files are searchable in a database available only to authorized staff.

SAFEGUARDS:

Buildings employ security guards. Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Where information is retrievable by terminal, all appropriate system safeguards (hardware and software) are utilized. Financial information is collected using appropriate encryption technology and records are stored on a secure server. Access to electronic records is limited to key personnel and is restricted to the specific functions required by their duties. System operators and administrators are trained to keep financial information secure.

RETENTION AND DISPOSAL:

Records retention and disposal is in accordance with the series record schedules.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Finance, United States Patent and Trademark Office, 2051 Jamieson Avenue, Suite 300, Alexandria, VA 22314.

NOTIFICATION PROCEDURE:

Information may be obtained from the Privacy Officer, Office of General Law, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. Requesters should provide name, account information, and record sought, pursuant to the inquiry provisions appearing in 37 CFR Part 102 Subpart B.

RECORD ACCESS PROCEDURES:

Requests from individuals should be addressed to the same address as stated in the notification section above.

CONTESTING RECORD PROCEDURES:

The rules for access, contesting contents, and appealing initial determinations by the individual concerned appear in 37 CFR Part 102 Subpart B. Requests from individuals should be addressed to the same address as stated in the notification section above.

RECORD SOURCE CATEGORIES:

Subject individuals and those authorized by the individual to furnish information.

SYSTEM EXEMPTIONS FROM CERTAIN PROVISIONS OF THE ACT:

None.

FEDERAL REGISTER HISTORY:
71 FR 38387	August 7, 2006	Notice of Proposed Amendment of Privacy Act System of Records

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