[Federal Register: August 24, 2001 (Volume 66, Number 165)]
[Rules and Regulations]
[Page 44526-44527]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr24au01-4]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Part 10
[Docket No. 010724188-1188-01]
Interpretation of Registration of Agents and Representative for
Director of Enrollment and Discipline in Disciplinary Proceedings
AGENCY: Patent and Trademark Office, Commerce.
ACTION: Interpretation of regulation.
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[[Page 44527]]
SUMMARY: The United States Patent and Trademark Office (USPTO or
``Office'') implements an interpretation of certain regulatory
provisions. These provisions concern the composition and operations of
the Committee on Discipline and representation of the Director in
disciplinary cases. The interpretation is necessary in view of the
recent creation of the Office of General Counsel at the USPTO. The
Patent and Trademark Office Efficiency Act (PTOEA) reestablished the
Patent and Trademark Office as the United States Patent and Trademark
Office, a performance-based organization with responsibility for its
own operations. Consequently, the Office has responsibility for many
functions formerly provided by the Department of Commerce.
EFFECTIVE DATE: The interpretation is issued August 24, 2001.
ADDRESSES: Director of the United States Patent and Trademark Office,
Washington, D.C. 20231
FOR FURTHER INFORMATION CONTACT: Harry Moatz, by mail addressed to
United States Patent and Trademark Office, Box OED, Washington, DC
20231, (Attn: OED Director) or by facsimile transmission to (703) 305-
4631, or by electronic mail at harry.moatz@uspto.gov.
SUPPLEMENTARY INFORMATION: 37 CFR 10.140(b) relates to whom within the
USPTO represents the Director of Enrollment and Discipline (OED
Director) in disciplinary proceedings, and who shall be available as
counsel to the Director of the United States Patent and Trademark
Office (USPTO Director) in deciding such proceedings. For example, it
states that at least two associate solicitors shall be designated to
represent the OED Director. It also states that the Solicitor and
Deputy Solicitor shall advise the USPTO Director.
Additionally, the last sentence of 37 CFR 10.4(b) identifies the
USPTO employees that shall not participate in rendering a decision on
disciplinary changes. Among those identified as not participating in
rendering decisions are associate and assistant solicitors of the
Office of the Solicitor. In addition, the PTOEA designated the head of
the USPTO as Under Secretary of Commerce for Intellectual Property and
Director of the USPTO. 35 U.S.C. 3(a)(1).
As a result, it is necessary and appropriate to interpret the last
sentence of Sec. 10.4(b) and Sec. 10.140(b) in view of this
reorganization. Because these are interpretive statements of rules,
they are exempt from notice and comment rulemaking under 5 U.S.C.
553(b)(3)(A). For the reasons set forth in the preamble, the United
States Patent and Trademark Office interprets Secs. 10.4(b) and
10.140(b) as follows:
The last sentence of Sec. 10.4(b) provides, ``When charges are
brought against a practitioner, no member of the Committee on
Discipline, employee under the direction of the Director, or associate
solicitor or assistant solicitor in the Office of the Solicitor shall
participate in rendering a decision on the charges.'' This sentence is
construed as providing that when charges are brought against a
practitioner, the designated attorneys in the Office of General Counsel
(including assistant and associate solicitors, and associate counsel)
shall not participate in rendering a decision on the charges.
The first sentence of Sec. 10.140(b) provides, ``The Commissioner
shall designate at least two associate solicitors in the Office of the
Solicitor to act as representatives for the Director in disciplinary
proceedings.'' This sentence is construed as authorizing the USPTO
Director to designate at least two attorneys (including assistant and
associate solicitors, and associate counsel) in the Office of General
Counsel to act as representatives for the OED Director in disciplinary
proceedings.
The second sentence of Sec. 10.140(b) provides, ``In prosecuting
disciplinary proceedings, the designated associate solicitors shall not
involve the Solicitor or the Deputy Solicitor.'' This sentence is
construed as providing that in prosecuting disciplinary proceedings,
the designated attorneys in the Office of General Counsel (including
assistant and associate solicitors, and associate counsel) shall not
involve the General Counsel or the Deputy General Counsel for General
Law.
The third sentence of Sec. 10.140(b) provides, ``The Solicitor and
the Deputy Solicitor shall remain insulated from the investigation and
prosecution of all disciplinary proceedings in order that they shall be
available as counsel to the Commissioner in deciding disciplinary
proceedings.'' This is construed as providing that the General Counsel
and the Deputy General Counsel for General Law shall remain insulated
from the investigation and prosecution of all disciplinary proceedings
in order that they shall be available as counsel to the USPTO Director
in deciding disciplinary proceedings. However, the Deputy General
Counsel for Intellectual Property Law and Solicitor shall not remain
insulated from the investigation and prosecution of disciplinary
proceedings, and thus shall not be available to counsel the USPTO
Director in deciding such proceedings.
Dated: August 20, 2001.
Nicholas P. Godici,
Acting Under Secretary of Commerce for Intellectual Property and Acting
Director of the United States Patent and Trademark Office.
[FR Doc. 01-21480 Filed 8-23-01; 8:45 am]
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