[Federal Register Volume 64, Number 238 (Monday, December 13, 1999)]
[Notices]
[Page 69509]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-32160]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Practitioner Records Maintenance and Disclosure Before the Patent 
and Trademark Office

ACTION: Proposed collection; comment request.

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SUMMARY: The Department of Commerce (DOC), as part of its continuing 
effort to reduce paperwork and respondent burden, invites the general 
public and other Federal agencies to comment on the continuing and 
proposed 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 February 11, 
2000.

ADDRESSES: Direct all written comments to Linda Engelmeier, 
Departmental Forms Clearance Officer, Department of Commerce, Room 
5027, 14th and Constitution Avenue, NW, Washington, D.C. 20230 or via 
the Internet (LE[email protected]).

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Nora Cordova, Patent and 
Trademark Office, Box OED, Washington, D.C. 20231, by telephone at 
(703) 306-4097.
SUPPLEMENTARY INFORMATION:

I. Abstract

    The Commissioner of Patents and Trademarks, under the direction of 
the Department of Commerce, has the authority to establish regulations 
for the conduct of proceedings in the Patent and Trademark Office (PTO) 
under 35 USC 6(a) and to prescribe regulations governing the conduct of 
agents, attorneys or other persons representing applicants and other 
parties before the PTO (35 USC 31).
    Disciplinary Rule 37 CFR 10.112(c)(3) of the PTO Code of 
Professional Responsibility requires that an attorney or agent maintain 
complete records of all funds, securities and other properties of 
clients coming into his or her possession, and to render appropriate 
accounts to the client regarding the funds, securities and other 
properties. These record keeping requirements are necessary to maintain 
the integrity of client property. Similar record keeping is required by 
each State Bar of its attorneys.
    The PTO Code of Professional Responsibility (37 CFR 10.20 to 
10.112) requires that an attorney or agent will report knowledge of 
certain violations of the Code to the PTO, in accordance with 37 CFR 
10.23(c)(16) and 10.24. This collection requirement is necessary to 
investigate and possibly prosecute violations of the PTO Code. Under 35 
USC 32, the Commissioner may, after notice and opportunity for a 
hearing, suspend, exclude or disqualify any practitioner from further 
practice before the PTO based on noncompliance with the regulations 
established under Sec. 31 of this title.
    The information collected (reports of alleged violations of the PTO 
Code of Professional Responsibility) is used by the Director of 
Enrollment and Discipline (OED) to conduct investigations and prosecute 
violations as appropriate (37 CFR 10.131(a)&(b)). If this information 
is not collected, the Director of OED would have no knowledge of 
alleged violations and would be unable to enforce this provision of the 
PTO Code.

II. Method of collection

    By mail, facsimile, or hand carry when an individual is required to 
participate in the information collection.

III. Data

    OMB Number: 0651-0017.
    Form Numbers: N/A.
    Type of Review: Renewal without change.
    Affected Public: Individuals or households; business or other for-
profit; Federal Government.
    Estimated Number of Respondents: 230 responses for record keeping 
maintenance and 100 responses for violation reporting per year.
    Estimated Time Per Response: It is estimated to take 9 hours for 
record keeping maintenance and 5 hours for violation reporting.
    Estimated Total Annual Respondent Burden Hours: 2570 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $0 (no capital 
start-up or maintenance expenditures are required). Using the 
professional hourly rate of $175.00 for associate attorneys in private 
firms and the hourly rate of $25.00 for a para-professional/clerical 
worker, the PTO estimates $139,250 per year for salary costs associated 
with respondents.

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                                                                     Estimated
                                                                     time for        Estimated       Estimated
                              Item                                   response     annual  burden      annual
                                                                      (hours)          hours         responses
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Record Keeping Maintenance......................................               9            2070             230
Violation Reporting.............................................               5             500             100
                                                                                 -------------------------------
Totals..........................................................  ..............            2570             330
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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 will 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: December 7, 1999.
Linda Engelmeier,
Departmental Forms Clearance Officer, Office of the Chief Information 
Officer.
[FR Doc. 99-32160 Filed 12-10-99; 8:45 am]
BILLING CODE 3510-16-P