[Federal Register Volume 68, Number 10 (Wednesday, January 15, 2003)]
[Notices]
[Pages 2017-2018]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-773]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Public Key Infrastructure (PKI) Certificate Action Form

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, Pub. L. 104-13 (44 
U.S.C. 3506(c)(2)(A)).

DATES: Written comments must be submitted on or before March 17, 2003.

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

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Fred Whiteside, Information Technology Security 
Program Office, USPTO, Washington, DC 20231; by telephone at (703) 308-
6973; or by electronic mail at [email protected].

SUPPLEMENTARY INFORMATION

I. Abstract

    The Government Paperwork Elimination Act (GPEA) directs federal 
agencies to implement electronic commerce systems that will enable the 
collection and dissemination of information while also ensuring the 
security and validity of information that is transmitted 
electronically. In support of the GPEA and its own electronic filing 
initiatives, the United States Patent and Trademark Office (USPTO) has 
implemented Public Key Infrastructure (PKI) technology to support 
electronic commerce between the USPTO and its customers. PKI is a set 
of hardware, software, policies and procedures used to provide several 
important security services for the electronic business activities of 
the USPTO. Using PKI ensures the

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confidentiality of unpublished patent applications in accordance with 
35 U.S.C. 122 and Article 30 of the Patent Cooperation Treaty.
    In order to provide the necessary security for its electronic 
commerce system, the USPTO uses PKI technology to protect the integrity 
and confidentiality of information submitted electronically to the 
USPTO. PKI employs public and private encryption keys to authenticate 
the customer's identity and support secure communication between the 
customer and the USPTO. Customers may submit a request to the USPTO for 
a digital certificate, which enables the customer to download and use 
the Entrust cryptographic software to create the encryption keys 
necessary for electronic identity verification and secure transactions 
with the USPTO. This digital certificate is required in order to access 
secure online systems that are provided by the USPTO, such as obtaining 
patent application information through the Patent Application 
Information Retrieval (PAIR) system or filing patent applications and 
related documents electronically.
    This information collection includes the Certificate Action Form 
(PTO-2042), which is used by the public to request a digital 
certificate. This form is available for download from the USPTO Web 
site. This form may also be used by customers to request the revocation 
of a digital certificate or key recovery in the event of a lost or 
corrupted certificate. Requests for a certificate must include a 
notarized signature in order to verify the identity of the applicant. 
In addition, a Subscriber Agreement is included with the Certificate 
Action Form to ensure that customers understand their obligations 
regarding the use of the digital certificates as well as the Entrust 
software, which authorized users may download from the USPTO Web site. 
The Certificate Action Form collects personal information that is 
subject to the Privacy Act of 1974 and is covered by a System of 
Records Notice that was published in the Federal Register (Vol. 65, No. 
80) on April 25, 2000.

II. Method of Collection

    By mail or hand delivery to the USPTO.

III. Data

    OMB Number: 0651-0045.
    Form Number(s): PTO-2042.
    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: 8,000 responses per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public approximately 30 minutes (0.5 hours) to read the 
instructions and Subscriber Agreement, gather the necessary 
information, prepare, and submit the Certificate Action Form (PTO-
2042).
    Estimated Total Annual Respondent Burden Hours: 4,000 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $564,000 per year. 
The USPTO expects that the information in this collection will be 
prepared by attorneys and paraprofessionals, as well as independent 
inventors. Using the professional rate of $252 per hour for associate 
attorneys in private firms and the rate of $30 per hour for 
paraprofessionals and independent inventors, the USPTO estimates that 
the average hourly rate for all respondents for this collection will be 
$141 per hour. Therefore, the respondent cost burden for this 
collection will be $564,000 per year.

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                                                                                     Estimated       Estimated
                     Item                         Estimated time for  response        annual      annual  burden
                                                                                     responses         hours
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Certificate Action Form (including Subscriber   30 minutes......................           8,000           4,000
 Agreement).
    Total.....................................  ................................           8,000           4,000
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    Estimated Total Annual Non-hour Respondent Cost Burden: $2,960. 
There are no capital start-up or maintenance costs or filing fees 
associated with this information collection. However, customers may 
incur postage costs when submitting the Certificate Action Form to the 
USPTO by mail. The USPTO estimates that the first-class postage cost 
for a mailed Certificate Action Form will be 37 cents, for a total non-
hour respondent cost burden in the form of postage costs of $2,960 per 
year.

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: January 8, 2003.
Susan K. Brown,
Records Officer, USPTO, Office of Data Architecture and Services, Data 
Administration Division.
[FR Doc. 03-773 Filed 1-14-03; 8:45 am]
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