From the Privacy Act Online via GPO Access \[wais.access.gpo.gov\]

DEPARTMENT OF COMMERCE

COMMERCE/PAT-TM-9

System name: Patent Assignment Records\--COMMERCE/PAT-TM-9.

System location: Office of Patent and Trademark Services, Assignment
Division, U.S. Patent and Trademark Office, 2021 Jefferson Davis
Highway, Arlington, Virginia 22202; Patent Examining Operation Group
220, U.S. Patent and Trademark Office, 2021 Jefferson Davis Highway,
Arlington, Va. 22202; and Office of ADP Administration, U.S. Patent and
Trademark Office, 2021 Jefferson Davis Highway, Arlington, Va. 22202.

Categories of individuals covered by the system: Persons who have given
or received property rights under an application for patent or a patent
by means of a written instrument recorded in the Patent and Trademark
Office. Deceased or incapacitated inventors and their legal
representatives.

Categories of records in the system: Assignments, grants, mortgages,
liens, encumbrances, licenses, and other instruments affecting title.
Letters testamentary and other court certificates and orders.

Authority for maintenance of the system: 35 U.S.C. 1, 6, and 261, and
E.O. 9424.

Routine uses of records maintained in the system, including categories
of users and the purposes of such uses: See Prefatory Statement of
General Routine Uses Nos.1-5 and 8-13. Statement. Records open to the
public are searched by users for the purpose of determining ownership
for other property rights with respect to patents and trademarks. On the
separate Government Register, records categorized as "Public\'\' are
available for public inspection; those records categorized as
"Departmental\'\' are used by duly authorized employees of Government
agencies; and those records designated as "Secret\'\' are disclosed only
to persons having written authority from the head of the agency
submitting the record. Assignment records relating to pending patent
applications are maintained in confidence in accordance with 5 U.S.C.
122.

Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:

Storage: Paper files, microfilm reels, index card files and magnetic
storage media.

Retrievability: Filed by inventor\'s name, application serial number,
assignee\'s name, assignor\'s name, and patent number.

Safeguards: Building employs security guards. Records subject to
confidence requirements are maintained in areas accessible only to
authorized personnel who are properly screened, cleared and trained.
Records in the Secret Portion of the Government Register are,
additionally, stored in a locked vault. Where information is retrievable
by terminal, 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 unit\'s Records Control Schedule.

System manager(s) and address: Recording Officer, Assignment Division,
U.S. Patent and Trademark Office, Washington, DC 20231.

Notification procedure: Information may be obtained from: Assistant
Commissioner for Administration, U.S. Patent and Trademark Office,
Washington, DC 20231. Requesters should provide assignee\'s or
assignor\'s name(s) and application serial number, if known, 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: Persons who have submitted written instruments
to the Patent and Trademark Office for recording.

Systems exempted from certain provisions of the act: Pursuant to 5
U.S.C. 552a(k)(1), assignment records which are designated
\`\`Secret\'\' and maintained in the Government Register pursuant to
E.O. 9424 are exempted from the notification, access, and contest
requirements of the agency procedures (under 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f)). This exemption is made to
prevent disclosure of information which might be detrimental to national
security and in accordance with agency rules which appear in 15 CFR part
4b.