[Federal Register Volume 67, Number 173 (Friday, September 6, 2002)]
[Notices]
[Pages 56985-56987]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-22677]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Admittance to Practice and Roster of Registered Patent Attorneys 
and Agents Admitted to Practice Before the United States Patent and 
Trademark Office (USPTO)

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 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 November 5, 
2002.

ADDRESSES: Direct all written comments to Susan K. Brown, Records 
Officer, Office of Data Management, Data Administration Division, 
USPTO, Suite 310, 2231 Crystal Drive, Washington, DC 20231; by 
telephone at 703-308-7400; by e-mail at [email protected]; or by 
facsimile at 703-308-7407.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Christine Nucker, United States 
Patent and Trademark Office, Box OED, Washington, DC 20231, by 
telephone at 703-306-4097; by e-mail at [email protected]; or by facsimile 
at 703-306-4134.

SUPPLEMENTARY INFORMATION:

I. Abstract

    This collection of information is required by 35 U.S.C. 2(b)(2)(D), 
which permits the United States Patent and Trademark Office (USPTO) to 
establish regulations governing the recognition and conduct of agents, 
attorneys or other persons representing applicants or other parties 
before the USPTO. This statute also permits the USPTO to require 
information from applicants which shows that they are of good moral 
character and reputation and have the necessary qualifications to 
assist applicants with the patent process and to represent them before 
the USPTO.
    The USPTO administers the statute through 37 CFR 10.5 to 10.19. 
These rules address the requirements to apply for the examination for 
registration and to demonstrate eligibility to be a registered attorney 
or agent before the

[[Page 56986]]

USPTO. The Office of Enrollment and Discipline (OED) collects 
information to determine the qualifications of individuals entitled to 
represent applicants before the USPTO in the preparation and 
prosecution of applications for a patent. The OED also collects 
information to administer and maintain the roster of attorneys and 
agents registered to practice before the USPTO. Information concerning 
registered attorneys and agents is published by the OED in a public 
roster that can be accessed through the USPTO Web site.
    There are four forms associated with this information collection. 
These forms are Form PTO-158 (Application for Registration to Practice 
Before the United States Patent and Trademark Office), Form PTO-158A 
(Application for Registration to Practice before the United States 
Patent and Trademark Office Under 37 CFR 10.6(c) By a Foreign 
Resident), Form PTO/275 (Undertaking Under 37 CFR 10.10(b)), and Form 
PTO-107A (Data Sheet--Register of Patent Attorneys and Agents). The 
applicant uses Form PTO-158 to apply for the examination. Forms PTO-
158, PTO-158A, and PTO/275 are used as applicable for applicants 
seeking registration. Form PTO-107A is used by the applicant to supply 
information for the register.
    Form PTO-1209 Oath or Affirmation is being added into this 
collection. The USPTO has previously been aware of this form but has 
reconsidered its inclusion into this collection due to the fact that it 
includes a notary public requirement which involves record keeping 
costs.
    A requirement that was previously overlooked is being added to this 
information collection in the way of a petition that may be filed under 
37 CFR 10.170 requesting in writing that a requirement of the 
regulations, which is not a requirement of the statutes, be suspended 
or waived by the Commissioner in an extraordinary situation, when 
justice requires. There is no form associated with this requirement.
    A written request for reconsideration for individuals who receive a 
disapproval notice and desire further review or consideration, that was 
previously overlooked, is being added into this collection. The final 
decision by the Director of OED may be appealed to the USPTO Director. 
There is no form associated with this requirement.
    Also being added to this collection is a petition for reinstatement 
of an individual who has resigned or who has been suspended or 
excluded, so long as the individual meets the requirements of 37 CFR 
10.7, including taking and passing an examination and paying all costs 
and expenses as may be appropriate. There is no form associated with 
this requirement.
    The information supplied to the USPTO by an applicant seeking to 
apply for the examination for registration and/or to request that they 
be included on the Register of Patent Attorneys and Agents is used by 
the USPTO to review applicants for the examination, and to determine 
whether an applicant may be added to, or an existing practitioner may 
remain on the Register of Patent Attorneys and Agents.

II. Method of collection

    By mail to the USPTO when the individual desires to participate in 
the information collection.

III. Data

    OMB Number: 0651-0012.
    Form Number(s): PTO-158, Form PTO-158A, PTO/275, Form PTO-107A and 
Form PTO-1209. There are no forms associated with the Petition for 
Waiver of Regulations, the Written Request for Reconsideration of 
Disapproval Notice of Application, and the Petition for Reinstatement 
to Practice.
    Type of Review: Extension of a currently approved collection.
    Affected Public: Individuals or households; business or other for-
profit; the Federal Government; and state, local or tribal governments.
    Estimated Number of Respondents: 19,649 responses per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public approximately 30 minutes to complete either an application 
for registration to practice before the USPTO or an application for a 
foreign resident to practice before the USPTO and, depending upon the 
complexity of the situation, to gather, prepare, and submit the 
application. It is estimated to take 20 minutes to complete 
undertakings under 37 CFR 10.10(b). It is estimated to take 10 minutes 
to complete data sheets for the register of patent attorneys and 
agents. It is estimated to take 5 minutes to complete the oath or 
affirmation, 45 minutes to complete the petition for waiver of 
regulations, 90 minutes to complete the written request for 
reconsideration of disapproval notice of application, and 120 minutes 
to complete the petition for reinstatement to practice.
    Estimated Total Annual Respondent Burden Hours: 5,436hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $1,369,872.00. Using 
the professional hourly rate of $252 for associate attorneys in private 
firms, the USPTO estimates $1,369,872 per year for salary costs 
associated with respondents.

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                                                                  Estimated time     Estimated       Estimated
                              Item                                 for response       annual      annual  burden
                                                                   (in minutes)      responses         hours
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Application for Registration to Practice Before the United                    30           6,904           3,452
 States Patent and Trademark Office.............................
Application for Registration to Practice Before the United                    30             100              50
 States Patent and Trademark Office Under 37 CFR 10.6(c) by a
 Foreign Resident...............................................
Undertaking under 37 CFR 10.10(b)...............................              20             264              87
Data Sheet--Register of Patent Attorneys and Agents.............              10           8,797           1,495
Oath or Affirmation.............................................               5           3,500             280
Petition for Waiver of Regulations (37 CFR 10.170)..............              45              75              56
Written Request for Reconsideration of Disapproval Notice of                  90               5               8
 Application....................................................
Petition for Reinstatement to Practice..........................             120               4               8
                                                                 -----------------
    Total.......................................................  ..............          19,649           5,436
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    Estimated Total Annual Nonhour Respondent Cost Burden: 
$2,569,838.00. There are no capital start-up or maintenance costs 
associated with this information collection. There are, however, non-
hour costs due to record keeping requirements, filing fees, and mailing 
costs.
    There are record keeping costs for this collection as a result of 
the Oath which includes a notary public requirement. The average fee 
for having a having a

[[Page 56987]]

document notarized is $2.00. The USPTO estimates that it will receive 
3,500 responses to this information collection per year as a result of 
this notary requirement, for a total cost of $7,000 per year.
    There are filing fees associated with this collection which are 
also part of the nonhour cost burden. The application fees are broken 
out to include the fact that the one application form can cover any one 
of five different categories: As applicable when used for examination 
application, examination and registration fees; as applicable when used 
for examination application and examination fees only; as applicable 
when used for registration fees; as applicable when used for 
reinstatement fees; and as applicable when used for examination 
application only. Following is a chart listing the filing fees and the 
nonhour cost burden. The total annual nonhour cost burden associated 
with filing fees is $2,553,210.00.

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                                                                                                  Total non-hour
                              Item                                   Responses    Filing fee ($)    cost burden
                                                                                                     (a) x (b)
                                                                             (a)             (b)             (c)
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Application for Registration to Practice Before the United                 3,200         $450.00   $1,440,000.00
 States Patent and Trademark Office (as applicable when used for
 examination application, examination, and registration fees)...
Application for Registration to Practice Before the United                 3,040          350.00    1,064,000.00
 States Patent and Trademark Office (as applicable when used for
 examination application, and examination fees only)............
Application for Registration to Practice Before the United                   200          100.00       20,000.00
 States Patent and Trademark Office (as applicable when used for
 registration fees).............................................
Application for Registration to Practice Before the United                   304           40.00       12,160.00
 States Patent and Trademark Office (as applicable when used for
 reinstatement fees)............................................
Application for Registration to Practice Before the United                   160           40.00        6,400.00
 States Patent and Trademark Office (as applicable when used for
 examination application fees only).............................
Application for Registration to Practice Before the United                   100          100.00       10,000.00
 States Patent and Trademark Office Under 37 CFR 10.6(c) by a
 Foreign Resident...............................................
Undertaking under 37 CFR 10.10(b)...............................             264               0               0
Data Sheet--Register of Patent Attorneys and Agents.............           8,797               0               0
Oath or Affirmation.............................................           3,500               0               0
Petition for Waiver of Regulations (37 CFR 10.170)..............              75               0               0
Written Request for Reconsideration of Disapproval Notice of                   5          130.00          650.00
 Application....................................................
Petition for Reinstatement to Practice (included above with                    4               0               0
 application reinstatement fees)................................
                                                                 -----------------
    Total.......................................................          19,649  ..............    2,553,210.00
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    There are mailing costs that also need to be added into the total 
annual nonhour cost burden for this collection. The General 
Requirements Bulletin for Admission to the Examination for Registration 
to Practice in Patent Cases before the USPTO states that all business 
with the USPTO should be transacted in writing. Personal attendance is 
unnecessary. The actions of the OED will be based exclusively on the 
written record in the USPTO (37 CFR 1.2). All documents may be 
submitted to the USPTO by first-class mail through the United States 
Postal Service. All correspondence should include a certificate of 
mailing for each piece of correspondence enclosed, stating the date of 
deposit or transmission to the USPTO. The USPTO estimates that the 
average first-class postage cost is 49 cents. Therefore, the USPTO 
estimates that it will receive 19,649 responses to this information 
collection per year, for a total cost of $9,628 per year (19,649 x 
$0.49 = $9,628) in postage fees.
    The total annual nonhour cost burden is $2,569,838.

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, including through 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: August 30, 2002.
Susan K. Brown,
Records Officer, USPTO, Office of Data Management, Data Administration 
Division.
[FR Doc. 02-22677 Filed 9-5-02; 8:45 am]
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