[Federal Register Volume 81, Number 99 (Monday, May 23, 2016)]
[Notices]
[Pages 32298-32302]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-12042]
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DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Patent Processing (Updating)
ACTION: Proposed collection; comment request.
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SUMMARY: The United States Patent and Trademark Office (USPTO), as part
of its continuing effort to reduce paperwork and respondent burden,
invites the general public and other Federal agencies to take this
opportunity to comment on this extension of a continuing information
collection, as required by the Paperwork Reduction Act of 1995, Public
Law 104-13 (44 U.S.C. 3506(c)(2)(A)).
DATES: Written comments must be submitted on or before July 22, 2016.
ADDRESSES: You may submit comments by any of the following methods:
Email: [email protected]. Include ``0651-
0031 inquiry'' in the subject line of the message.
Federal Rulemaking Portal: http://www.regulations.gov.
Mail: Marcie Lovett, Records Management Division Director,
Office of the Chief Information Officer, United States Patent and
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450.
FOR FURTHER INFORMATION CONTACT: Requests for additional information
should be directed to Raul Tamayo, Senior Legal Advisor, Office of
Patent Legal Administration, United States Patent and Trademark Office,
P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-7728;
or by email to [email protected] with ``0651-0031 inquiry'' in the
subject line. Additional information about this collection is also
available at http://www.reginfo.gov under ``Information Collection
Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
The United States Patent and Trademark Office (USPTO) is required
by 35 U.S.C. 131 to examine an application for patent and, when
appropriate, issue a patent. The USPTO is also required to publish
patent applications, with certain exceptions, promptly after the
expiration of a period of eighteen months from the earliest filing date
for which a benefit is sought under Title 35, United States Code
(``eighteen-month publication''). Certain situations may arise which
require that additional information be supplied in order for the USPTO
to further process the patent or application. The USPTO administers the
statutes through various sections of the rules of practice in 37 CFR
part 1.
The information in this collection can be used by the USPTO to
continue the processing of the patent or application to ensure that
applicants are complying with the patent regulations and to aid in the
prosecution of the application.
II. Method of Collection
The forms associated with this collection may be downloaded from
the USPTO Web site in Portable Document Format (PDF), filled out
electronically, and then either printed for mailing or submitted to the
USPTO online through EFS-Web. The ``EFS-Web only'' items in this
collection must be submitted to the USPTO online through EFS-Web. In
addition, the USPTO provides an electronic interface on its Web site
that the public can use to submit the information associated with the
Electronic Applicant Initiated Interview Request Form.
III. Data
OMB Number: 0651-0031.
IC Instruments and Forms: PTO/AIA/22, PTO/AIA/24, PTO/AIA/24B, PTO/
AIA/31, PTO/AIA/32, PTO/AIA/33, PTO/AIA/40, PTO/AIA/41, PTO/AIA/96,
PTO/SB/08a, PTO/SB/08b, PTO/SB/17i, PTO/SB/21, PTO/SB/22, PTO/SB/24,
PTO/SB/24B, PTO/SB/25, PTO/SB/26, PTO/SB/27, PTO/SB/30, PTO/SB/31, PTO/
SB/32, PTO/SB/33, PTO/SB/35, PTO/SB/36, PTO/SB/37, PTO/SB/38, PTO/SB/
39, PTO/SB/43, PTO/SB/61, PTO/SB/63, PTO/SB/64, PTO/SB/64a, PTO/SB/67,
PTO/SB/68, PTO/SB/91, PTO/SB/92, PTO/SB/96, PTO/SB/97, PTO/SB/130, PTO-
2053-A/B, PTO-2054-A/B, PTO-2055-A/B, PTOL-413A, and PTOL-413C.
Type of Review: Revision of a Previously-Existing Information
Collection.
Affected Public: Individuals or households; businesses or other
for-profits; and non-profit institutions.
Estimated Number of Respondents: 3,542,082 responses per year.
Estimated Time per Response: The USPTO estimates that it will take
the public between 2 minutes (.03 hours) and 8 hours to submit a single
item in this collection depending on the instrument used, including the
time to gather the necessary information, prepare the appropriate form
or petition, and submit the completed request to the USPTO. The time
per response, estimated annual responses, and estimated annual hour
burden associated with each instrument in this collection are shown in
the table below.
Estimated Total Annual Respondent Burden Hours: 3,631,187.33 hours.
Estimated Total Annual Respondent (Hourly) Cost Burden:
$952,818,894.17. The USPTO expects that attorneys and/or paralegals
will complete the instruments listed in the table below. The
professional hourly rates for attorneys and paralegals, based on
AIPLA's 2015 Report of the Economic Survey, are $410 and $125
respectively. Using these hourly rates, the USPTO estimates that the
total respondent cost burden for this collection is $952,818,894.17 per
year.
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Estimated Estimated
IC No. Item response time annual Estimated annual Rate ($/hr)
(minutes) responses burden (hours)
(a) (b) (a) x (b)/60 = (d)
(c)
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1................... EFS-Web IDS (Information 120 635,000 1,270,000.00 410.00
Disclosure Statements)
that do not require the
fee set forth in 37 CFR
1.17(p).
[[Page 32299]]
1................... Information Disclosure 120 20,000 40,000.00 410.00
Statements that do not
require the fee set
forth in 37 CFR 1.17(p).
1................... EFS-Web IDS (Information 120 115,000 230,000.00 410.00
Disclosure Statements)
that require the fee
set forth in 37 CFR
1.17(p).
1................... Information Disclosure 120 5,000 10,000.00 410.00
Statements that require
the fee set forth in 37
CFR 1.17(p).
2................... Electronic Transmittal 120 850,000 1,700,000.00 125.00
Form.
2................... Transmittal Form........ 120 50,000 100,000.00 125.00
3................... Electronic Petition for 6 290,000 29,000.00 125.00
Extension of Time under
37 CFR 1.136(a).
3................... Petition for Extension 6 10,000 1,000.00 125.00
of Time under 37 CFR
1.136(a).
4................... Electronic Express 12 4,800 960.00 125.00
Abandonment under 37
CFR 1.138.
4................... Express Abandonment 12 200 40.00 125.00
under 37 CFR 1.138.
5................... Electronic Statutory 12 58,000 11,600.00 410.00
Disclaimers (including
terminal disclaimers).
5................... Statutory Disclaimers 12 2,000 400.00 410.00
(including terminal
disclaimers).
6................... Electronic Request for 6 390 39.00 410.00
Expedited Examination
of a Design Application.
6................... Request for Expedited 6 10 1.00 410.00
Examination of a Design
Application.
7................... Electronic Notice of 12 28,000 5,600.00 410.00
Appeal.
7................... Notice of Appeal........ 12 1,000 200.00 410.00
8................... Electronic Petition for 60 7,500 7,500.00 410.00
Revival of an
Application for Patent
Abandoned
Unintentionally.
8................... Petition for Revival of 60 500 500.00 410.00
an Application for
Patent Abandoned
Unintentionally.
9................... Electronic Petition for 60 190 190.00 410.00
Revival of an
Application for Patent
Abandoned for Failure
to Notify the Office of
a Foreign or
International Filing.
9................... Petition for Revival of 60 10 10.00 $410.00
an Application for
Patent Abandoned for
Failure to Notify the
Office of a Foreign or
International Filing.
10.................. Electronic Requests to 12 95,000 19,000.00 125.00
Access, Inspect and
Copy.
10.................. Requests to Access, 12 5,000 1,000.00 125.00
Inspect and Copy.
11.................. Electronic Deposit 12 1,600 320.00 125.00
Account Order Form.
11.................. Deposit Account Order 12 100 20.00 125.00
Form.
12.................. Electronic Certificates 2 750,000 25,000.00 125.00
of Mailing or
Transmission.
12.................. Certificates of Mailing 2 50,000 1,666.66 125.00
or Transmission.
13.................. Electronic Statement 12 240,000 48,000.00 410.00
Under 37 CFR 3.73(c).
13.................. Statement Under 37 CFR 12 10,000 2,000.00 410.00
3.73(c).
14.................. Electronic Non- 6 23,000 2,300.00 410.00
publication Request.
14.................. Non-publication Request. 6 1,000 100.00 410.00
15.................. Electronic Rescission of 6 900 90.00 410.00
Previous Non-
publication Request (35
U.S.C. 122(b)(2)(B)(ii)
and, if applicable,
Notice of Foreign
Filing (35 U.S.C.
122(b)(2)(B)(iii).
15.................. Rescission of Previous 6 50 5.00 410.00
Non-publication Request
(35 U.S.C.
122(b)(2)(B)(ii) and,
if applicable, Notice
of Foreign Filing (35
U.S.C.
122(b)(2)(B)(iii).
16.................. Electronic Filing System 150 1 2.50 125.00
(EFS) Copy of
Application for
Publication.
17.................. Copy of File Content 240 1 4.00 410.00
Showing Redactions.
18.................. Copy of the Applicant or 120 10 20.00 125.00
Patentee's Record of
the Application
(including copies of
the correspondence,
list of the
correspondence, and
statements verifying
whether the record is
complete or not).
19.................. EFS-Web Request for 12 165,000 33,000.00 410.00
Continued Examination
(RCE) Transmittal.
19.................. Request for Continued 12 5,000 1,000.00 410.00
Examination (RCE)
Transmittal.
20.................. Electronic Request for 12 950 190.00 410.00
Oral Hearing Before the
Patent Trial and Appeal
Board.
20.................. Request for Oral Hearing 12 50 10.00 410.00
Before the Patent Trial
and Appeal Board.
21.................. Electronic Request for 12 700 140.00 410.00
Suspension of Action or
Deferral of Examination
Under 37 CFR 1.103(b),
(c), or (d).
21.................. Request for Suspension 12 50 10.00 410.00
of Action or Deferral
of Examination Under 37
CFR 1.103(b), (c), or
(d).
22.................. EFS-Web Request for 12 290 58.00 125.00
Voluntary Publication
or Republication
(includes publication
fee for republication).
[[Page 32300]]
22.................. Request for Voluntary 12 10 2.00 125.00
Publication or
Republication (includes
publication fee for
republication).
23.................. Electronic Applicant 24 11,000 4,400.00 410.00
Initiated Interview
Request Form.
23.................. Applicant Initiated 24 3,500 1,400.00 410.00
Interview Request Form.
24.................. Electronic Processing 5 340 28.33 410.00
Fee Under 37 CFR
1.17(i) Transmittal.
24.................. Processing Fee Under 37 5 10 0.83 410.00
CFR 1.17(i) Transmittal.
25.................. Electronic Request to 8 11,500 1,533.33 410.00
Retrieve Electronic
Priority Application(s)
Under 37 CFR 1.55(h).
25.................. Request to Retrieve 8 500 66.67 410.00
Electronic Priority
Application (s) Under
37 CFR 1.55(h).
26.................. Electronic Authorization 6 14,500 1,450.00 410.00
or Rescission of
Authorization to Permit
Access to Application-
as-filed by
Participating Offices
Under 37 CFR 1.14(h).
26.................. Authorization or 6 500 50.00 410.00
Rescission of
Authorization to Permit
Access to Application-
as-filed by
Participating Offices
Under 37 CFR 1.14(h).
27.................. Electronic Petition for 12 1,550 310.00 410.00
Express Abandonment to
Obtain a Refund.
27.................. Petition for Express 12 50 10.00 410.00
Abandonment to Obtain a
Refund.
28.................. Electronic Pre-Appeal 300 10,500 52,500.00 410.00
Brief Request for
Review.
28.................. Pre-Appeal Brief Request 300 500 2,500.00 410.00
for Review.
29.................. EFS-Web Request for 5 29,000 2,416.67 125.00
Corrected Filing
Receipt.
29.................. Request for Corrected 5 1,000 83.33 125.00
Filing Receipt.
30.................. Request for First Action 150 1,200 3,000.00 410.00
Interview (Pilot
Program) (Electronic
only).
31.................. Petition to Make Special 120 2,000 4,000.00 410.00
Based on Age for
Advancement of
Examination under 37
CFR 1.102(c)(1) (EFS-
Web only).
32.................. Electronic Filing a 480 110 880.00 410.00
submission after final
rejection (see 37 CFR
1.129(a)).
32.................. Filing a submission 480 10 80.00 410.00
after final rejection
(see 37 CFR 1.129(a)).
33.................. Electronic correction of 45 2,900 2,175.00 410.00
inventorship after
first office action on
the merits.
33.................. Correction of 45 100 75.00 410.00
inventorship after
first office action on
the merits.
34.................. Electronic request for 45 14,500 10,875.00 410.00
correction in a patent
application relating to
inventorship or an
inventor name, or order
of names, other than in
a reissue application
(37 CFR 1.48).
34.................. Request for correction 45 500 375.00 410.00
in a patent application
relating to
inventorship or an
inventor name, or order
of names, other than in
a reissue application
(37 CFR 1.48).
35.................. Electronic request to 12 9,500 1,900.00 410.00
correct or update the
name of the applicant
under 37 CFR
1.46(c)(1), or change
the applicant under 37
CFR 1.46(c)(2).
35.................. Request to correct or 12 500 100.00 410.00
update the name of the
applicant under 37 CFR
1.46(c)(1), or change
the applicant under 37
CFR 1.46(c)(2).
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Total........... ........................ .............. 3,542,082 3,631,187.33 ..............
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Estimated Total Annual (Non-hour) Respondent Cost Burden:
$420,815,258.45. There are no recordkeeping, maintenance, or capital
start-up costs associated with this information collection. There is,
however, a non-hour cost burden in the form of postage costs and filing
fees.
Postage
The public may submit the paper forms and petitions in this
collection to the USPTO by mail through the United States Postal
Service. If the submission is sent by first-class mail, the public may
also include a signed certification of the date of mailing in order to
receive credit for timely filing. Therefore, the USPTO estimates that
approximately 167,161 submissions per year may be mailed. The USPTO
estimates that the average submission will be mailed in a standard
flat-rate priority mail envelope at a cost of $6.45, resulting in a
total postage cost of $1,078,188.45.
Filing Fees
[[Page 32301]]
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Estimated
IC No. Item annual Filing fee Total annual (non-
responses per response * hour) cost burden
(a) (b) (a) x (b) = (c)
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1.......................... Information Disclosure 90,000 $180.00 $16,200,000.00
Statements (IDS) that require
the fee set forth in 37 CFR
1.17(p).
1.......................... IDS that require the fee set S: 27,500 S: $90.00 S: $2,475,000.00
forth in 37 CFR 1.17(p) M: 2,500 M: $45.00 M: $112,500.00
(small entity).
3.......................... One-month Extension of Time 102,500 $200.00 $20,500,000.00
under 37 CFR 1.136(a).
3.......................... One-month Extension of Time S: 38,000 S: $100.00 S: $3,800,000.00
under 37 CFR 1.136(a) (small M: 4,000 M: $50.00 M: $200,000.00
entity).
3.......................... Two-month Extension of Time 43,600 $600.00 $26,160,000.00
under 37 CFR 1.136(a).
3.......................... Two-month Extension of Time S: 22,000 S: $300.00 S: $6,600,000.00
under 37 CFR 1.136(a) (small M: 2,100 M: $150.00 M: $315,000.00
entity).
3.......................... Three-month Extension of Time 40,000 $1,400.00 $56,000,000.00
under 37 CFR 1.136(a).
3.......................... Three-month Extension of Time S: 32,000 S: $700.00 S: $22,400,000.00
under 37 CFR 1.136(a) (small M: 3,000 M: $350.00 M: $1,050,000.00
entity).
3.......................... Four-month Extension of Time 2,500 $2,200.00 $5,500,000.00
under 37 CFR 1.136(a).
3.......................... Four-month Extension of Time S: 2,500 S: $1,100.00 S: $2,750,000.00
under 37 CFR 1.136(a) (small M: 350 M: $550.00 M: $192,500.00
entity).
3.......................... Five-month Extension of Time 3,500 $3,000.00 $10,500,000.00
under 37 CFR 1.136(a).
3.......................... Five-month Extension of Time S: 3,700 S: $1,000.00 S: $3,700,000.00
under 37 CFR 1.136(a) (small M: 250 M: $500.00 M: $125,000.00
entity).
5.......................... Statutory Disclaimer 60,000 $160.00 $9,600,000.00
(including terminal
disclaimer).
5.......................... Statutory Disclaimer 6,289 $160.00 $1,006,240.00
(including terminal
disclaimer) (small entity).
6.......................... Request for Expedited 200 $900.00 $180,000.00
Examination of a Design
Application.
6.......................... Request for Expedited S: 160 S: $450.00 S: $72,000.00
Examination of a Design M: 40 M: $225.00 M: $9,000.00
Application (small entity).
7.......................... Notice of Appeal.............. 22,500 $800.00 $18,000,000.00
7.......................... Notice of Appeal (small S: 6,000 S: $400.00 S: $2,400,000.00
entity). M: 500 M: $200.00 M: $100,000.00
8.......................... Petition for Revival of an 3,500 $1,700.00 $5,950,000.00
Application for Patent
Abandoned Unintentionally.
8.......................... Petition for Revival of an 4,500 $850.00 $3,825,000.00
Application for Patent
Abandoned Unintentionally
(small entity).
9.......................... Petition for revival of an 150 $1,700.00 $255,000.00
application for patent
abandoned for failure to
notify the office of a
foreign or international
filing.
9.......................... Petition for revival of an 50 $850.00 $42,500.00
application for patent
abandoned for failure to
notify the office of a
foreign or international
filing (small entity).
17......................... Copy of File Content Showing 1 $130.00 $130.00
Redactions.
19......................... Request for Continued 78,400 $1,200.00 $94,080,000.00
Examination (RCE) Transmittal
(First Request).
19......................... Request for Continued S: 28,000 S: $600.00 S: $16,800,000.00
Examination (RCE) Transmittal M: 5,600 M: $300.00 M: $1,680,000.00
(First Request) (small
entity).
19......................... Request for Continued 40,600 $1,700.00 $69,020,000.00
Examination (RCE) Transmittal
(Second and Subsequent
Requests).
19......................... Request for Continued S: 14,500 S: $850.00 S: $12,325,000.00
Examination (RCE) Transmittal M: 2,900 M: $425.00 M: $1,232,500.00
(Second and Subsequent
Requests) (small entity).
20......................... Request for Oral Hearing 700 $1,300 $910,000.00
Before the Patent Trial and
Appeal Board.
20......................... Request for Oral Hearing S: 240 S: $650.00 S: $156,000.00
Before the Patent Trial and M: 10 M: $325.00 M: $3,250.00
Appeal Board (small entity).
21......................... Request for Suspension of 520 $140.00 $72,800.00
Action or Deferral of
Examination Under 37 CFR
1.103(b), (c), or (d).
21......................... Request for Suspension of S: 190 S: $70.00 S: $13,300.00
Action or Deferral of M: 40 M: $35.00 M: $1,400.00
Examination Under 37 CFR
1.103(b), (c), or (d) (small
entity).
22......................... Request for Voluntary 300 $130.00 $39,000.00
Publication or Republication
(includes publication fee for
republication).
24......................... Processing Fee Under 37 CFR 340 $130.00 $44,200.00
1.17(i) Transmittal.
32......................... Filing a submission after 60 $840.00 $50,400.00
final rejection (see 37 CFR
1.129(a)).
32......................... Filing a submission after S: 50 S: $420.00 S: $21,000.00
final rejection (see 37 CFR M: 10 M: $210.00 M: $2,100.00
1.129(a)) (small entity).
33......................... Correction of inventorship 2,100 $600.00 $1,260,000.00
after first office action on
the merits.
33......................... Correction of inventorship S: 750 S: $300.00 S: $225,000.00
after first office action on M: 150 M: $150.00 M: $22,500.00
the merits (small entity).
34......................... Request for correction in a 10,500 $140.00 $1,470,000.00
patent application relating
to inventorship or an
inventor name, or order of
names, other than in a
reissue application (37 CFR
1.48).
34......................... Request for correction in a S: 3,750 S: $70.00 S: $262,500.00
patent application relating M: 750 M: $35.00 M: $26,250.00
to inventorship or an
inventor name, or order of
names, other than in a
reissue application (37 CFR
1.48).
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Total.................. .............................. 740,425 .............. $419,737,070.00
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* ``S'' and ``M'' denote ``Small Entity'' and ``Micro Entity'' and reference the lower fee rates offered to
small entities.
[[Page 32302]]
Therefore, the USPTO estimates that the total annual (non-hour)
cost burden for this collection will be $420,815,258.45, with
$1,078,188.45 in postage costs and $419,737,070.00 in filing fees.
IV. Request for Comments
Comments are invited on:
(a) Whether the proposed collection of information is necessary for
the proper performance of the functions of the agency, including
whether the information shall have practical utility;
(b) the accuracy of the agency's estimate of the burden (including
hours and cost) of the proposed collection of information;
(c) ways to enhance the quality, utility, and clarity of the
information to be collected; and
(d) ways to minimize the burden of the collection of information on
respondents, e.g., the use of automated collection techniques or other
forms of information technology.
Comments submitted in response to this notice will be summarized or
included in the request for OMB approval of this information
collection; they also will become a matter of public record.
Dated: May 16, 2016.
Marcie Lovett,
Records Management Division Director, OCIO, United States Patent and
Trademark Office.
[FR Doc. 2016-12042 Filed 5-20-16; 8:45 am]
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