(190) Procedures for Enforcement of the Regulations
Relating to the Use of Patent and Trademark Office
Records or Search Facilities
Under applicable statutes and regulations, including 40 U.S.C. 486(c),
41 CFR 101-20.3, and appropriate sections of Department Organization
Orders 10-14 and 30-3 of the Department of Commerce, the procedures
appearing below are established.
1. Violations involving unauthorized removal of PTO files, documents,
records or government property.
a. Each observed or reported violation will be investigated.
b. Persons found in possession of PTO material or government
property, other than in areas or under circumstances where possession is
specifically authorized, shall be required to immediately surrender the
material or property and if appropriate, their User Pass. An oral
explanation for the possession of such material or property will be
requested by the PTO.
c. Each incident involving unauthorized possession of PTO material
or government property shall be immediately reported by telephone or in
person to the Office or Group Director of the area from which the
material or property was taken.
d. If it appears to the Office or Group Director that possession
of the materials was inadvertent or otherwise unintentional, no further
action will be taken. The materials will be replaced appropriately and
the person's User Pass will be returned.
e. If it appears to the Office or Group Director that possession
of the materials was intentional, all persons involved shall be required
to submit written statements detailing the circumstances and, in the
case of a PTO User/visitor, show cause why the User Pass and visitor
privileges should not be suspended or revoked. Statements will also be
obtained from other witnesses where appropriate. The material or
property shall be secured for possible use as evidence by the Office or
Group Director, if appropriate.
f. If the involved person possesses a Permanent User Pass, it
shall be retained and forwarded with the written statements to the
Assistant Commissioner for Administration. A Temporary User Pass may be
issued as replacement by the Assistant Commissioner for Administration,
pending action on an alleged violation.
g. If the involved person possesses only a Temporary User Pass it
shall be retained and forwarded with the written statements to the
Assistant Commissioner for Administration within two weeks of the
incident. No replacement will be provided pending action by the
Assistant Commissioner for Administration.
2. Other violations of public use regulations.
a. Each observed or reported violation will be investigated. The
persons involved shall be informed of the nature of the violation and
requested to comply with regulations.
b. If it appears that the violation was inadvertent or otherwise
unintentional and the involved person immediately conforms to the
regulations, no further action will be taken.
c. If the violation appears to be intentional or if the person
involved refuses to comply with a verbal request from a PTO employee or
continues to violate the regulations after being requested to comply,
the person shall be required to surrender his or her User Pass to the
PTO. A written report of each violation and the User Pass will be
submitted to the Assistant Commissioner for Administration for a final
decision. User Pass replacement procedures shall be as specified in
paragraphs 1.f. or 1.g.
d. If the Assistant Commissioner for Administration determines
that a reported violation was inadvertent or otherwise not intentional,
the User Pass will be returned and no further action will be taken. In
all other cases, the Assistant Commissioner for Administration will
request the person involved to show cause in writing why his or her User
Pass and visitor privileges should not be suspended or revoked.
e. A written decision will be rendered by the Assistant
Commissioner for Administration after consideration of any timely
submitted response.
f. In the case of a written decision by the Assistant Commissioner
for Administration adverse to a practitioner as defined by 37 CFR
10.1(r), a copy of the written decision will be forwarded to the
Director of the Office of Enrollment and Discipline for whatever further
action, including sanctions, as may be appropriate under the PTO Code of
Professional Responsibility.
3. Factors to be Considered in Assessing Penalties.
a. Penalties will be determined on a case by case basis.
b. Prior violations of regulations will be considered when
assessing whether any violation is willful, deliberate or intentional,
and when determining the penalty to be imposed.
c. Penalties may be assessed as follows, depending on
circumstances:
(1) For a first offense: from a written warning to a 30 day
suspension of the User Pass and visitor privileges.
(2) For a second offense: a suspension of the User Pass and
visitor privileges from 5 days to one year.
(3) For a third or subsequent offense: from a suspension of 30
days to permanent revocation of the User Pass and visitor privileges.
(4) For any single serious or aggravated violation: suspension of
the User Pass and visitor privileges for up to one year or permanent
revocation of the User Pass and visitor privileges. A serious or
aggravated violation is defined as any instance involving multiple
violations of regulations during a single event or acts which also
constitute a violation of Federal or local criminal law.
4. Record of Penalties Imposed.
A record of penalties imposed for given violations will be
maintained by the Assistant Commissioner for Administration. These
records will be made available to the public upon request.
5. Use of Public Facilities During Suspension or After Revocation of
User Pass.
No individual will be permitted to use the facilities specified in
these regulations while his or her User Pass is suspended or revoked.
6. Absence of Assistant Commissioner for Administration.
In the absence of the Assistant Commissioner for Administration, the
Deputy Assistant Commissioner for Administration will carry out the
responsibilities assigned by these regulations.
7. Absence of Designated PTO Officials.
In the absence of any Designated PTO Official, a Deputy or Acting
Official will carry out the responsibilities assigned by these
regulations.
8. Assistance.
PTO employees may, when necessary, request the Security Officer of
the Patent and Trademark Office or the Federal Protective Service or
their contractors to provide assistance in carrying out their assigned
responsibilities in paragraphs 1 and 2.
9. Appeals.
Decisions rendered by the Assistant Commissioner for Administration
may be reviewed on petition to the Commissioner.
May 11, 1987 THERESA A. BRELSFORD
Assistant Commissioner
for Administration
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