37 CFR 102.30: Disclosure of record to person other than the individual to whom it pertains

Taken from the Ninth Edition of the MPEP, Revision 08.2017, Last Revised in January 2018

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102.30    Disclosure of record to person other than the individual to whom it pertains.

  • (a) USPTO may disclose a record pertaining to an individual to a person other than the individual to whom it pertains only in the following instances:
    • (1) Upon written request by the individual, including authorization under § 102.25(f);
    • (2) With the prior written consent of the individual;
    • (3) To a parent or legal guardian under 5 U.S.C. 552a(h);
    • (4) When required by the Act and not covered explicitly by the provisions of 5 U.S.C. 552a(b); and
    • (5) When permitted under 5 U.S.C. 552a(b)(1) through (12), which read as follows: [ 5 U.S.C. 552a(b)(4) has no application within USPTO. ]
      • (i) To those officers and employees of the agency which maintains the record who have a need for the record in the performance of their duties;
      • (ii) Required under 5 U.S.C. 552;
      • (iii) For a routine use as defined in 5 U.S.C. 552a(a)(7) and described under 5 U.S.C. 552a(e)(4)(D);
      • (iv) To the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13;
      • (v) To a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable;
      • (vi) To the National Archives and Records Administration as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States or the designee of the Archivist to determine whether the record has such value;
      • (vii) To another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought;
      • (viii) To a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual;
      • (ix) To either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee;
      • (x) To the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the General Accounting Office;
      • (xi) Pursuant to the order of a court of competent jurisdiction; or
      • (xii) To a consumer reporting agency in accordance with section 3711(e) of Title 31.
  • (b) The situations referred to in paragraph (a)(4) of this section include the following:
    • (1) 5 U.S.C. 552a(c)(4) requires dissemination of a corrected or amended record or notation of a disagreement statement by USPTO in certain circumstances;
    • (2) 5 U.S.C. 552a(d) requires disclosure of records to the individual to whom they pertain, upon request; and
    • (3) 5 U.S.C. 552a(g) authorizes civil action by an individual and requires disclosure by USPTO to the court.
  • (c) The Privacy Officer shall make an accounting of each disclosure by him of any record contained in a system of records in accordance with 5 U.S.C. 552a(c) (1) and (2). Except for a disclosure made under 5 U.S.C. 552a(b)(7), the Privacy Officer shall make such accounting available to any individual, insofar as it pertains to that individual, on request submitted in accordance with § 102.24. The Privacy Officer shall make reasonable efforts to notify any individual when any record in a system of records is disclosed to any person under compulsory legal process, promptly upon being informed that such process has become a matter of public record.
[Added, 65 FR 52916, Aug. 31, 2000, effective Oct. 2, 2000]