[Federal Register Volume 65, Number 54 (Monday, March 20, 2000)]
[Notices]
[Pages 14948-14949]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-6764]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Electronic Filing System (EFS) Pilot

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 May 19, 2000.

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

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Diane Lewis, EFS Project Staff, 
Search Information Resources Administration, Arlington, VA 22202, by 
telephone at (703) 305-9892, or by e-mail at [email protected].

SUPPLEMENTARY INFORMATION:

I. Abstract

    The Patent and Trademark Office (PTO) has started a pilot program 
that enables applicants to expand upon the use of the Electronic Filing 
System (EFS) to file new utility patent applications electronically via 
the Internet. The EFS pilot program is currently limited to nine 
participants, however, the PTO expects to increase participation in 
August 2000. Electronic filing under this pilot is currently limited to 
new utility patent applications. Once the PTO moves into production, 
the electronic filing capability will be expanded to include filings of 
additional information after the initial filing of the new utility 
patent application. The PTO plans to put EFS into full production no 
later than February 2001.
    In order to file a new utility patent application through the EFS, 
the applicant uses two different components--the EFS Specification 
Authoring Template and the electronic Packaging and Validation Engine 
(ePAVE). The authoring template enables the applicant to create an 
electronically tagged patent application specification document that is 
one part of a new utility patent application. The ePAVE desktop 
software enables applicants to author information related to the 
submission of a new utility patent application, as well as securely 
bundle and transmit all new patent application parts and information to 
the PTO via the Internet. The EFS Specification Authoring Template 
facilitates the authoring of the narrative that discloses the technical 
description of the invention. The template does not produce a form 
document, but rather a multi-line electronic document with tagged 
elements that may or may not have drawings. The template creates the 
XML tags that are necessary for the electronic document to be filed 
using the Internet and ensures that all of the information needed to 
process the application is provided by the applicant.
    The EFS Specification Authoring Template allows the applicant to 
create a structured, extensible Mark-up Language (XML) tagged 
specification document using a commercially available word processing 
package. This document may also contain one or more TIFF (tagged image 
file format) files containing the scanned image of the drawing 
figure(s), oaths or declarations, and small entity statements.
    The ePAVE software transmits the documents created by the EFS 
Specification Authoring Template to the PTO via the Internet. The ePAVE 
software enables the applicant to create the rest of the information 
required for a new utility patent application submission. The applicant 
attaches the XML-tagged specification document file and TIFF images 
(e.g. declaration, drawings) and creates an XML fee transmittal 
document that calculates the filing fees. The ePAVE software captures 
the applicant's signature, validates the submission, confirms with the 
applicant that the submission is correct, uploads it to the PTO, and 
sends an Acknowledgment Screen. The ePAVE software saves a copy of all 
of the electronic files associated with the electronic filing of a new 
utility patent application. The ePAVE software compresses the 
electronic files prior to transmission to the PTO, so filers do not 
need to compress their files when submitting applications via the 
Internet using EFS.
    The PTO will not accept executable files (.exe) as part of an 
application filed electronically through the Internet. In order to use 
EFS to file the utility patent applications, applicants must have a 
digital certificate. Applicants can obtain an application for a digital 
certificate through the PTO Electronic Business Center website, http://
pto-ebc.uspto.gov. Currently, applications in the biotechnology arts, 
design patent applications, provisional applications, and those 
involving color are not suitable for filing. Applicants do not have to 
use the EFS Specification Authoring Template to create specification 
documents, but if they plan on using EFS to file a new utility patent 
application, they must use the authoring template.

II. Method of Collection

    Electronically through the ePAVE software via the Internet.

III. Data

    OMB Number: None.
    Form Number: None.
    Type of Review: New collection.
    Affected Public: Individuals or households; businesses or other 
for-profit organizations; not-for-profit institutions; farms; state, 
local or tribal governments; and the Federal Government.
    Estimated Number of Respondents: The PTO estimates that 30,000 new 
utility patent applications will be filed electronically via the 
Internet per year once EFS moves into full production. At this time, 
participation in the pilot is limited to nine participants. In August, 
the PTO plans to steadily increase the participation in the pilot to a 
wider audience.
    Estimated Time Per Response: It is estimated to take approximately 
13.25 hours to read the instructions and the user guide, gather the 
necessary data, complete, and submit a new utility patent application 
using the EFS

[[Page 14949]]

Specification Authoring Template and ePAVE. This includes 10.75 hours 
to gather the information, read the instructions and user guides, and 
prepare the specification document using the EFS Specification 
Authoring Template, and 2.5 hours for tagging the elements and 
submitting the application electronically.
    Estimated Total Annual Burden Hours: 397,500 hours per year.
    Estimated Total Annual Cost Burden: The PTO provides the EFS 
specification authoring template and ePAVE software to the customer. 
However, some participants have voluntarily purchased a word processing 
license or upgrade to their word processing package to take full 
advantage of the authoring template. In light of this, the PTO 
estimates a possible capital start-up cost ranging from $100 to $200. 
The PTO has determined from the pilot that a mix of attorneys and 
paraprofessional clerical personnel have been creating and submitting 
the new utility patent applications using EFS. Using the average of the 
professional hourly rate for associate attorneys in private firms 
($175) and paraprofessional/clerical ($30), the PTO estimates 
$40,942,500 for salary costs associated with respondents.

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                                                                                         Estimated
                                                                            Estimated      annual     Estimated
         Format/data entry screens                 PTO form number           time for      burden       annual
                                                                             response      hours      responses
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EFS Pilot Specification Authoring Template  No Forms Associated..........        10.75      397,500       30,000
ePAVE.....................................  .............................          2.5
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    Totals................................  .............................  ...........      397,500       30,000
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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, 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 will also become a matter of public record.

    Dated: March 14, 2000.
Madeleine Clayton,
Management Analyst, Office of the Chief Information Officer.
[FR Doc. 00-6764 Filed 3&-17&-00; 8:45 am]
BILLING CODE 3510-16-P