[Federal Register Volume 71, Number 123 (Tuesday, June 27, 2006)]
[Notices]
[Pages 36520-36523]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-10085]


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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 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 August 28, 2006.

ADDRESSES: You may submit comments by any of the following methods:
    E-mail: [email protected]. Include ``0651-0012 comment'' in the 
subject line of the message.
    Fax: 571-273-0112, marked to the attention of Susan Brown.

[[Page 36521]]

    Mail: Susan K. Brown, Records Officer, Office of the Chief 
Information Officer, Architecture, Engineering and Technical Services, 
Data Architecture and Services Division, U.S. Patent and Trademark 
Office, P.O. Box 1450, Alexandria, VA 22313-1450.
    Federal e-Rulemaking Portal: http://www.regulations.gov

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Christine Nucker, U.S. Patent 
and Trademark Office, Mail Stop OED, P.O. Box 1450, Alexandria, VA 
22313-1450; by telephone at 571-272-6071; or by e-mail at http://[email protected].

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 that 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 1.21, 10.14 and 
11.5 to 11.11. 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 USPTO, including the fee 
requirements. 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.
    The information in this collection is used by the USPTO to review 
applications for the examination for registration and to determine 
whether an applicant may be added to, or an existing practitioner may 
remain on, the Register of Patent Attorneys and Agents.
    There are five forms associated with this information collection. 
Fourteen new requirements and three new forms are being introduced into 
this collection. The three new forms are Annual Practitioner 
Registration Fee (Form PTO-2126), Sponsor Application for USPTO CLE 
Course Approval (PTO-2149), and Certification of Attendance at USPTO 
Approved CLE Training (PTO-2150).

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, PTO-158A, PTO/275, PTO-107A and PTO-1209. 
New forms being introduced into the collection are PTO-2126, PTO-2149 
and PTO-2150.
    Type of Review: Revision 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: 72,122 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public approximately 5 minutes to 40 hours, depending upon the 
complexity of the situation, to gather, prepare, and submit the various 
documents in this information collection.
    Estimated Total Annual Respondent Burden Hours: 89,475 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: 20,707,900. The cost 
to respondents for taking the registration examination is estimated to 
be at the rate of 39 per hour, for a cost burden of 955,500. The USPTO 
estimates that the remaining items in this collection will be prepared 
by associate attorneys in private firms. Using the professional hourly 
rate of 304 per hour for associate attorneys in private firms, the 
USPTO estimates 19,752,400 per year in respondent cost burden 
associated with the remaining items in this information collection.

----------------------------------------------------------------------------------------------------------------
                                                                                     Estimated       Estimated
                     Item                          Estimated time for response        annual       annual burden
                                                                                     responses         hours
----------------------------------------------------------------------------------------------------------------
Application for Registration to Practice        30 minutes......................           3,500           1,750
 Before the United States Patent and Trademark
 Office (includes both the computerized exam
 and the USPTO-administered exam): Form PTO-
 158.
Application for Registration to Practice        30 minutes......................             100              50
 Before the United States Patent and Trademark
 Office (former examiners; examination
 waived): Form PTO-158.
Application for Registration to Practice        30 minutes......................             100              50
 Before the United States Patent and Trademark
 Office Under 37 CFR 11.6(c) by a Foreign
 Resident (applicant does not take the exam):
 Form PTO-158A.
Registration Examination to Become a            7 hours.........................           3,500          24,500
 Registered Practitioner.
Undertaking under 37 CFR 11.10(b): PTO/275....  20 minutes......................             520             172
Data Sheet--Register of Patent Attorneys and    10 minutes......................           1,995             339
 Agents (individuals passing the registration
 exam): PTO-107A.
Data Sheet--Register of Patent Attorneys and    10 minutes......................             100              17
 Agents (Foreign applicants): PTO-107A.
Data Sheet--Register of Patent Attorneys and    10 minutes......................             100              17
 Agents (former examiners seeking
 registration): PTO-107A.
Oath or Affirmation: PTO-1209.................  5 minutes.......................           2,195             176
Reinstatement to the Register: PTO-107A.......  10 minutes......................              60              10
Written Request for Reconsideration and         90 minutes......................               5               8
 Further Review of Disapproval Notice of
 Application.
Petitions to the Director of the Office of      45 minutes......................               2               2
 Enrollment and Discipline.
Petition for Reinstatement after Disciplinary   40 hours........................               4             160
 Removal.
Annual Practitioner Registration Fee: Form PTO- 10 minutes......................          24,920           4,236
 2126.
Annual Fee, Limited Recognition: Form PTO-2126  10 minutes......................             200              34
Voluntary Inactive Status: Form PTO-2126......  10 minutes......................           2,000             340
Request for Restoration to Active Status from   10 minutes......................             700             119
 Voluntary Inactive Status: Form PTO-2126.
Balance Due on Restoration to Active Status     10 minutes......................             700             119
 from Voluntary Inactive Status: Form PTO-2126.
Delinquency Fee: Form PTO-2126................  10 minutes......................           2,100             357

[[Page 36522]]

 
Reinstatement Fee: (fee required to be paid     10 minutes......................             420              71
 after the due date of the required annual
 fee): Form PTO-2126.
Sponsor Application for USPTO Continuing Legal  1 hour..........................             350             350
 Education (CLE): Form PTO-2149.
Certification of Attendance at USPTO-approved   1 hour..........................             350             350
 CLE Training: Form PTO-2150.
Practitioner Request for Paper Version of CLE.  5 minutes.......................             100               8
On-line Version of the Seminar CLE............  2 hours.........................          28,000          56,000
Paper Version of the CLE......................  2 hours.........................             100             200
Practitioner's supporting documentation for a   40 hours........................               1              40
 motion to hold in abeyance a disciplinary
 proceeding because of a current disability or
 addiction.
                                                                                 -------------------------------
    Total.....................................  ................................          72,122          89,475
----------------------------------------------------------------------------------------------------------------

    Estimated Total Annual (non-hour) Respondent Cost Burden: 
3,940,412. 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 postage 
costs.
    There are record keeping costs as a result of the Oath which 
includes a notary public requirement. The average fee for having a 
document notarized is 2. The USPTO estimates that it will receive 2,195 
responses to this information collection per year as a result of this 
notary requirement, for a total cost of 4,390 per year.
    There are also filing fees associated with this collection. The 
application fees for registration to practice before the USPTO vary 
depending on whether the applicant is a current applicant, a former 
examiner, or a foreign resident. The fee for administration of the 
computerized examination to become a registered patent practitioner 
also varies depending on how the examination is administered. The total 
annual non-hour cost burden associated with filing fees is 3,919,900.

----------------------------------------------------------------------------------------------------------------
                                                                                                  Total non-hour
                              Item                                   Responses    Filing fee ($)    cost burden
                                                                                                     (a) x (b)
                                                                             (a)             (b)             (c)
----------------------------------------------------------------------------------------------------------------
Application for Registration to Practice Before the United                 3,500          $40.00     $140,000.00
 States Patent and Trademark Office.............................
Registration examination fee for administration of computerized               25          450.00       11,250.00
 examination to become a registered patent practitioner
 administered by the USPTO (USPTO-administered exam)............
Registration examination fee for administration of computerized            3,475          200.00      695,000.00
 examination to become a registered patent practitioner
 administered by a commercial entity (Computer exam)............
Application for Registration to Practice Before the United                   100           40.00        4,000.00
 States Patent and Trademark Office, as applicable when used for
 registration fees only (former examiners; examination waived)..
Application for Registration to Practice Before the United                   100           40.00        4,000.00
 States Patent and Trademark Office Under 37 CFR 11.6(c) by a
 Foreign Resident (examination waived)..........................
Undertaking under 37 CFR 11.10(b)...............................             520               0            0.00
Data Sheet--Register of Patent Attorneys and Agents (includes              2,195          100.00      219,500.00
 applicants that passed the examination, former examiners, and
 foreign applicants)............................................
Oath or Affirmation.............................................           2,195               0            0.00
Reinstatement to the Register...................................              60           40.00        2,400.00
Written Request for Reconsideration and further review of                      5          130.00          650.00
 Disapproval Notice of Application..............................
Petition to the Director of the Office of Enrollment and                       2          130.00          260.00
 Discipline.....................................................
Petition for Reinstatement after Disciplinary Removal...........               4        1,600.00        6,400.00
Annual Practitioner Registration Fee............................          24,920          100.00    2,492,000.00
Annual Fee, Limited Recognition.................................             200          100.00       20,000.00
Voluntary Inactive Status.......................................           2,000           25.00       50,000.00
Request for Restoration to Active from Voluntary Inactive Status             700           50.00       35,000.00
Balance Due on Restoration to Active from Voluntary Inactive                 700           75.00       52,500.00
 Status.........................................................
Delinquency Fee (fee paid after the due date and for CLE).......           2,100           50.00      105,000.00
Reinstatement Fee (required to be paid after the due date of the             420          100.00       42,000.00
 required annual fee or CLE)....................................
Sponsor Application for USPTO CLE...............................             350           60.00       21,000.00
Certification of Attendance at USPTO-approved CLE Training......             350               0            0.00
Practitioner request for paper version of CLE program and                    100           75.00        7,500.00
 furnished narrative............................................
Online version of the Seminar CLE...............................          28,000               0            0.00
Paper version of the CLE........................................             100               0            0.00
Practitioner's supporting documentation for a motion to hold in                1       11,440.00       11,440.00
 abeyance a disciplinary proceeding because of a current
 disability or addiction........................................
                                                                 -----------------------------------------------
    Total.......................................................          72,122  ..............    3,919,900.00
----------------------------------------------------------------------------------------------------------------

    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. The 
actions of the OED will be based exclusively on the written record in 
the USPTO (37 CFR 1.2). Personal attendance is

[[Page 36523]]

unnecessary. All documents may be submitted to the USPTO by first-class 
mail through the United States Postal Service. Mailed submissions 
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 for responses to this collection will vary from 39 cents for one 
ounce to $4.05, depending on the individual submission. The total 
annual non-hour cost burden associated with postage costs is $16,122.

----------------------------------------------------------------------------------------------------------------
                                                                                                  Total non-hour
                              Item                                   Responses     Postage cost     cost burden
                                                                                        ($)          (a) x (b)
                                                                             (a)             (b)             (c)
----------------------------------------------------------------------------------------------------------------
Application for Registration to Practice Before the United                 3,500           $0.63       $2,205.00
 States Patent and Trademark Office (includes both the
 computerized exam and the USPTO-administered exam).............
Application for Registration to Practice Before the United                   100            0.63           63.00
 States Patent and Trademark Office (former examiners;
 examination waived)............................................
Application for Registration to Practice Before the United                   100            0.39           39.00
 States Patent and Trademark Office Under 37 CFR 11.6(c) by a
 Foreign Resident (applicant does not take the exam)............
Registration Examination to become a Registered Practitioner....           3,500               0            0.00
Undertaking under 37 CFR 11.10(b)...............................             520               0            0.00
Data Sheet--Register of Patent Attorneys and Agents (includes              2,195            0.39          856.00
 applicants that passed the examination, former examiners, and
 foreign applicants)............................................
Oath or Affirmation.............................................           2,195               0            0.00
Reinstatement to the Register...................................              60            0.39           23.00
Written Request for Reconsideration and further review of                      5            0.63            3.00
 Disapproval Notice of Application..............................
Petition to the Director of the Office of Enrollment and                       2            1.59            3.00
 Discipline.....................................................
Petition for Reinstatement after Disciplinary Removal...........               4            0.87            3.00
Annual Practitioner Registration Fee............................          24,920            0.39        9,719.00
Annual Fee, Limited Recognition.................................             200            0.39           78.00
Voluntary Inactive Status.......................................           2,000            0.39          780.00
Request for Restoration to Active from Voluntary Inactive Status             700            0.39          273.00
Balance Due on Restoration to Active from Voluntary Inactive                 700            0.39          273.00
 Status.........................................................
Delinquency Fee (fee paid after the due date and for CLE).......           2,100            0.39          819.00
Reinstatement Fee (required to be paid after the due date of the             420            0.39          164.00
 required annual fee or CLE)....................................
Sponsor Application for USPTO CLE...............................             350            1.59          557.00
Certification of Attendance at USPTO Approved CLE Training......             350            0.63          221.00
Practitioner request for paper version of CLE program and                    100            0.39           39.00
 furnished narrative............................................
On-line version of the Seminar CLE..............................          28,000               0            0.00
Paper version of the CLE........................................             100               0            0.00
Practitioner's supporting documentation for a motion to hold in                1            4.05            4.00
 abeyance a disciplinary proceeding because of a current
 disability or addiction........................................
                                                                 -----------------------------------------------
    Total.......................................................          72,122  ..............       16,122.00
----------------------------------------------------------------------------------------------------------------

    The USPTO estimates that the total (non-hour) respondent cost 
burden for this collection in the form of record keeping costs, filing 
fees, and postage costs is $3,940,412.

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: June 20, 2006.
Susan K. Brown,
Records Officer, USPTO, Office of the Chief Information Officer, 
Architecture, Engineering and Technical Services, Data Architecture and 
Services Division.
[FR Doc. E6-10085 Filed 6-26-06; 8:45 am]
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