[Federal Register Volume 66, Number 204 (Monday, October 22, 2001)]
[Notices]
[Pages 53403-53405]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-26381]


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UNITED STATES PATENT AND TRADEMARK OFFICE


Recording Assignments

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 the 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 December 21, 
2001.

ADDRESSES: Direct all written comments to Susan K. Brown, Records 
Officer, Data Administration Division, Office of Data Management, 
United States Patent and Trademark Office, Crystal Park 3, Suite 310, 
Washington, DC 20231; by telephone at (703) 308-7400; or by electronic 
mail at [email protected].

[[Page 53404]]


FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Joyce R. Johnson, Manager of the Assignment 
Division, United States Patent and Trademark Office, Crystal Gateway 4, 
Room 300, 1213 Jefferson Davis Highway, Arlington, Va. 22202; by 
telephone at (703) 308-9706; or by electronic mail at 
[email protected].

SUPPLEMENTARY INFORMATION:

I. Abstract

    As part of the responsibilities outlined by 35 U.S.C. 261 and 262 
for patents, and 15 U.S.C. 1057 and 1060 of the Trademark Act of 1946 
for trademarks, the USPTO records a variety of documents submitted to 
them by the public, corporations, other federal agencies, and 
Government-owned or Government-controlled corporations. These 
individuals, federal agencies, and corporations can submit various 
documents that establish their rights and/or titles for patents and 
trademarks to the USPTO for recording. This process officially and 
publicly establishes their rights and titles. These documents typically 
include items such as transfers of properties (i.e. patents and 
trademarks), liens, licenses, assignments of interest, security 
interests, mergers, and explanations of transactions or other documents 
that record the transfer of ownership from one party to another. The 
USPTO can also record assignments for applications, patents, and 
trademarks. By submitting these various documents, the individual, 
federal agency, or corporation can establish their ownership of a 
particular patent or trademark property.
    Once a document has been recorded, it is available to the public. 
All recorded documents, except for those under secrecy orders or those 
in which the federal government has a documented interest, can be 
viewed by the public. The public uses these documents to conduct 
ownership and chain-of-title searches. The public can view these 
records either at the USPTO or the National Archives and Records 
Administration, depending on when they were recorded.
    To make the recording process faster, more efficient, and more 
accurate, the USPTO developed the Patent and Trademark Assignment 
System (PTAS). This system helps automate the movement of the various 
documents to be recorded throughout the USPTO Assignment Division.
    In order to accurately record a document and to take advantage of 
the speed and efficiency of the PTAS, the USPTO developed cover sheets 
to submit with the document to be recorded. These cover sheets capture 
all of the necessary data needed to accurately record the various 
documents.

II. Method of Collection

    By mail, facsimile, or hand delivery to the USPTO.

III. Data

    OMB Number: 0651-0027.
    Form Number(s): PTO-1594 and PTO-1595.
    Type of Review: Extension of a currently approved collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; not-for-profit institutions; farms; the Federal 
Government; and state, local or tribal governments.
    Estimated Number of Respondents: 275,500 responses per year. The 
USPTO estimates that 27,550 Trademark Recordation Form Cover Sheets 
(Form PTO-1594) and 247,950 Patent Recordation Form Cover Sheets (Form 
PTO-1595) will be submitted per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public 30 minutes (.5 hours) to complete either the Trademark 
Recordation Form Cover Sheet (PTO-1594) or the Patent Recordation Form 
Cover Sheet (PTO-1595). These estimates include the time to gather the 
necessary information, prepare the form, and submit the completed form.
    Estimated Total Annual Respondent Burden Hours: 137,750 hours per 
year. The USPTO estimates that the total annual burden hours will be 
13,775 hours per year for Form PTO-1594 and 123,975 hours per year for 
Form PTO-1595.
    Estimated Total Annual Respondent Cost Burden: $34,713,000 per 
year. Using the professional hourly rate of $252 per hour for associate 
attorneys in private firms, the USPTO estimates $3,471,300 per year for 
salary costs associated with respondents using Form PTO-1594, and 
$31,241,700 per year for salary costs associated with respondents using 
Form PTO-1595.

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                                                                     Estimated
                                                                     time for        Estimated       Estimated
                              Item                                   response         annual       annual burden
                                                                     (minutes)       responses         hours
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Trademark Recordation Form Cover Sheet..........................              30          27,550          13,775
Patent Recordation Form Cover Sheet.............................              30         247,950         123,975
                                                                 -----------------------------------------------
    Total.......................................................  ..............         275,500         137,750
----------------------------------------------------------------------------------------------------------------

    Estimated Total Annual Nonhour Respondent Cost Burden (includes 
capital start-up costs and filing fees): $11,020,000 per year. The 
filing cost for submitting a Trademark Recordation Form Cover Sheet is 
$40 for the first property, for a minimum total of $1,102,000 per year, 
and for submitting a Patent Recordation Form Cover Sheet is $40 per 
property, for a minimum total of $9,918,000 per year. However, the 
total filing cost for a Trademark Recordation Cover Sheet or a Patent 
Recordation Cover Sheet varies according to the number of properties 
involved in each submission. When submitting a Trademark Recordation 
Form Cover Sheet, the customer must pay the processing fee of $40 as 
indicated by 37 CFR 2.6(b)(6) for recording the first property in a 
document and $25 for each additional property in the same document. 
When submitting a Patent Recordation Form Cover Sheet, the customer 
must pay the processing fee of $40 as indicated by 37 CFR 1.21(h) for 
recording each property in a document.

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

[[Page 53405]]

included in the request for OMB approval of this information 
collection; they also will become a matter of public record.

    Dated: October 12, 2001.
Susan K. Brown,
Acting Records Officer, USPTO, Office of Data Management, Data 
Administration Division.
[FR Doc. 01-26381 Filed 10-19-01; 8:45 am]
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