Effective Date: May 25, 2000

SYSTEM NAME:

USPTO PKI Registration and Maintenance System.

SECURITY CLASSIFICATION:

Unclassified.

SYSTEM LOCATIONS:

Office of Enrollment and Discipline, U.S. Patent and Trademark Office, 2011 Crystal Drive, Arlington, VA 22202; and Office of Information Systems Security, U.S. Patent and Trademark Office, 2121 Crystal Drive, Arlington, VA 22202.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

Registered Attorneys and Agents; Employees of Registered Attorneys and Agents designated to hold a certificate; Independent Inventors; an Employees of the Patent and Trademark Office and other individuals who apply for the use of a digital certificate including Patent and Trademark Depository Library personnel, employees of other Intellectual Property Offices, and World Intellectual Property Organization.

CATEGORIES OF RECORDS IN THE SYSTEM:

Requester status, signature, name, address, registration number, telephone, facsimile, electronic mail, associated customer numbers, action requested (certificate application, certificate revocation or key recovery), reason for the request, sponsoring Attorney/Agency signature, Notary Public signature, trusted party signature, distinguished name, date of issuance, and expiration.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

5 U.S.C. 301 and 35 U.S.C. 6, 42(c).

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 and 9-13:

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).

12. A record in this system may be transferred, as a routine use, to the Office of Personnel Management: 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.

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.

DISCLOSURE TO CONSUMER REPORTING AGENCIES:

Not applicable.

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

STORAGE:

Paper records in file folder and electronic storage media.

RETRIEVABILITY:

Filed by organizations; cross referenced for access by name, and where appropriate, customer number, employee number, issue, activity, or other unique variable information field.

SAFEGUARDS:

Building employ security systems. Records are maintained in areas accessible only to authorized personnel who are properly screened, cleared, and trained. Where information is retrievable electronically, all safeguards appropriate to secure the ADP telecommunications system (hardware and software) are utilized.

RETENTION AND DISPOSAL:

Records retention and disposal is in accordance with the Office of Enrollment and Discipline Records Control Schedule.

SYSTEM MANAGER(S) AND ADDRESS:

Director, Office of Enrollment and Discipline, U.S. Patent and Trademark Office, Washington, DC 20231; Manager, Information Systems Security Division, U.S. Patent and Trademark Office, Washington, DC 20231.

NOTIFICATION PROCEDURE:

Information may be obtained from: Director, Office of Enrollment and Discipline, U.S. Patent and Trademark Office, Washington, DC 20231; Chief Information Officer, U.S. Patent and Trademark Office, Washington, DC 20231. Requester should provide employee name and number, in accordance with the inquiry provisions of the Department's rules which appear in 15 CFR Part 4b.

RECORD ACCESS PROCEDURES:

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

CONTESTING RECORD PROCEDURES:

The Department's rules for access, for contesting contents, and appealing initial determinations by the individual concerned appear in 15 CFR Part 4b. Use above address.

RECORD SOURCE CATEGORIES:

Subject individual, those authorized by the individual to furnish information, and the individual's supervisors.