[Federal Register Volume 72, Number 14 (Tuesday, January 23, 2007)]
[Notices]
[Pages 2869-2871]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-908]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Post Allowance and Refiling

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 March 26, 2007.

ADDRESSES: You may submit comments by any of the following methods:
     E-mail: [email protected]. Include ``0651-0033 
comment'' in the subject line of the message.
     Fax: 571-273-0112, marked to the attention of Susan Brown.
     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 Robert A. Clarke, Deputy Director, Office of 
Patent Legal Administration, U.S. Patent and Trademark Office, P.O. Box 
1450, Alexandria, VA 22313-1450; by telephone at 571-272-7735; or by e-
mail at [email protected].

SUPPLEMENTARY INFORMATION

I. Abstract

    The United States Patent and Trademark Office (USPTO) is required 
by 35 U.S.C. 131 and 151 to examine applications and, when appropriate, 
allow applications and issue them as patents. When an application for a 
patent is allowed by the USPTO, the USPTO issues a notice of allowance 
and the applicant must pay the specified issue fee (including the 
publication fee, if applicable) within three months to avoid 
abandonment of the application. If the appropriate fees are paid within 
the proper time period, the USPTO can then issue the patent. If the 
fees are not paid within the designated time period, the application is 
abandoned and the applicant may petition the Director to accept a 
delayed payment with a satisfactory showing that the delay was 
unavoidable. This Petition for Revival of an Application for Patent 
Abandoned Unavoidably (Form PTO/SB/61) is approved under information 
collection 0651-0031. The rules outlining the procedures for payment of 
the issue fee and issuance of a patent are found at 37 CFR 1.18 and 
1.311-1.317.
    Chapter 25 of Title 35 U.S.C. provides that there are several 
actions that the applicant may take after issuance of a patent, 
including requesting the correction of errors in a patent. For original 
patents that are deemed wholly or partly inoperative, applicants may 
file a reissue application, which entails several formal requirements 
including an oath or declaration stating that the errors in the patent 
were not the result of any deceptive intention on the part of the 
applicant. The rules outlining these procedures are found at 37 CFR 
1.171-1.178 and 1.322-1.325.
    Chapter 30 of Title 35 U.S.C. provides that any person at any time 
may file a request for reexamination by the USPTO of any claim of a 
patent on the basis of prior art patents or printed publications. Once 
initiated, the reexamination proceedings are substantially ex parte and 
do not permit input from third parties under Chapter 30, but Chapter 31 
also provides for inter partes reexamination allowing third parties to 
participate. If a request for ex parte or inter partes reexamination is 
denied, the requester may petition the Director to review the 
examiner's refusal of reexamination. The rules outlining ex parte and 
inter partes reexaminations are found at 37 CFR 1.510-1.570 and 1.902-
1.997.
    The USPTO is adding two items to this information collection, an 
electronic version of the Issue Fee Transmittal (Form PTOL-85B) and a 
petition to request an extension of time in ex parte or inter partes 
reexamination proceedings. The USPTO is developing a new version of the 
existing Issue Fee Transmittal that customers will be able to submit 
electronically through EFS-Web, the USPTO's latest electronic filing 
initiative. EFS-Web is a web-based patent application and document 
submission system that allows customers to file applications and 
associated documents through their standard web browser. EFS-Web offers 
many benefits to filers, including immediate notification that a 
submission has been received by the USPTO, automated processing of 
requests, and avoidance of postage and other paper delivery costs. The 
petition for an extension of time in an ex parte or inter partes 
reexamination allows patent owners to request additional time to take 
action in a reexamination proceeding for sufficient cause and for a 
reasonable time specified. This petition is an existing requirement 
that was not previously covered under this information collection. No 
form is provided for this petition.
    The public uses this information collection to request corrections 
of errors in issued patents, to request reissue patents, to request 
reexamination proceedings, and to ensure that the associated fees and 
documentation are submitted to the USPTO.

II. Method of Collection

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

III. Data

    OMB Number: 0651-0033.
    Form Number(s): PTO/SB/44/50/51/51S/52/53/56/57/58 and PTOL-85B.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Businesses or other for-profits; not-for-profit 
institutions.
    Estimated Number of Respondents: 224,926 responses per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public from 1.8 minutes (0.03 hours) to 2 hours to gather the 
necessary information, prepare the appropriate form or other document, 
and submit the information to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 68,245 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $12,486,080 per 
year. The USPTO expects that the information in this collection will be 
prepared by attorneys, except for the Issue Fee Transmittal, which will 
be prepared by paraprofessionals. Using the professional rate of $304 
per hour for associate attorneys in private firms, the USPTO estimates 
that the respondent cost burden for attorneys submitting the 
information in this collection will be $9,012,080 per year. Using the 
paraprofessional rate of $90 per hour, the USPTO expects that the 
respondent cost burden for submitting the Issue Fee Transmittal will be 
$3,474,000 per year.

[[Page 2870]]



----------------------------------------------------------------------------------------------------------------
                                                                                     Estimated       Estimated
               Item                        Form No.          Estimated time for       annual      annual  burden
                                                                  response           responses         hours
----------------------------------------------------------------------------------------------------------------
Certificate of Correction.........  PTO/SB/44............  1 hour...............          25,000          25,000
Reissue Documentation.............  None.................  2 hours..............           1,100           2,200
Reissue Patent Application          PTO/SB/50............  12 minutes...........           1,100             220
 Transmittal.
Reissue Application Declaration by  PTO/SB/51/52.........  30 minutes...........           1,100             550
 the Inventor or the Assignee.
Supplemental Declaration for        PTO/SB/51S...........  1.8 minutes..........             700              21
 Reissue Patent Application to
 Correct ``Errors'' Statement (37
 CFR 1.175).
Reissue Application: Consent of     PTO/SB/53............  6 minutes............           1,075             108
 Assignee; Statement of Non-
 assignment.
Reissue Application Fee             PTO/SB/56............  12 minutes...........           1,100             220
 Transmittal Form.
Request for Ex Parte Reexamination  PTO/SB/57............  2 hours..............             500           1,000
 Transmittal Form.
Request for Inter Partes            PTO/SB/58............  2 hours..............             100             200
 Reexamination Transmittal Form.
Petition to Review Refusal to       None.................  1 hour...............             100             100
 Grant Ex Parte Reexamination.
Petition to Review Refusal to       None.................  1 hour...............               1               1
 Grant Inter Partes Reexamination.
Petition to Request Extension of    None.................  30 minutes...........              50              25
 Time in Ex Parte or Inter Partes
 Reexamination.
Issue Fee Transmittal.............  PTOL-85B.............  12 minutes...........         154,400          30,880
Issue Fee Transmittal (EFS-Web)...  PTOL-85B.............  12 minutes...........          38,600           7,720
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½
    Totals........................  .....................  .....................         224,926          68,245
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    Estimated Total Annual Non-hour Respondent Cost Burden: 
$273,113,430 per year. There are no capital start-up or maintenance 
costs associated with this information collection. However, this 
collection does have annual (non-hour) costs in the form of filing 
fees, postage costs, and recordkeeping costs.
    The total estimated annual filing fees for this collection are 
calculated in the accompanying table. The Reissue Application Fee 
Transmittal Form includes the fees for the reissue application under 37 
CFR 1.16, including the basic filing fee, search fee, and examination 
fee. These fees cover all parts of the application, including reissue 
documentation, reissue application transmittal, reissue application 
declarations, and consent of assignee or statement of non-assignment. 
There is no fee for the supplemental declaration for a reissue patent 
application to correct an ``errors'' statement.
    Additionally, there are several different issue fees under 37 CFR 
1.18 depending on the type of patent being issued, whether a 
publication fee is required, and whether the inventor is entitled to 
the discounted small entity fee. The additional publication fee may not 
be owed at the time of patent issue for any of the following reasons: 
(1) The application requested non-publication under 35 U.S.C. 
122(b)(2)(B)(i); (2) the application will not be published due to 
national security concerns as provided in 35 U.S.C. 122(d); (3) the 
applicant has paid the publication fee prior to issue due to a request 
for early or amended publication under 37 CFR 1.219; or (4) the 
application was filed prior to November 29, 2000 and therefore not 
subject to eighteen-month publication under 35 U.S.C. 122(b). The USPTO 
estimates that the total filing costs associated with this collection 
will be $273,013,030 per year.

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                                                                  Estimated
              Item                          Form No.               annual        Fee  amount   Estimated  annual
                                                                  responses                       filing costs
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Certificate of Correction.......  PTO/SB/44..................          25,000         $100.00      $2,500,000.00
Reissue Documentation...........  None.......................           1,100            0.00               0.00
Reissue Patent Application        PTO/SB/50..................           1,100            0.00               0.00
 Transmittal.
Reissue Application Declaration   PTO/SB/51/52...............           1,100            0.00               0.00
 by the Inventor or the Assignee.
Supplemental Declaration for      PTO/SB/51S.................             700            0.00               0.00
 Reissue Patent Application to
 Correct ``Errors'' Statement
 (37 CFR 1.175).
Reissue Application: Consent of   PTO/SB/53..................           1,075            0.00               0.00
 Assignee; Statement of Non-
 assignment.
Reissue Application Fee           PTO/SB/56..................             657        1,400.00         919,800.00
 Transmittal Form.
Reissue Application Fee           PTO/SB/56..................             443          700.00         310,100.00
 Transmittal Form (small entity).
Request for Ex Parte              PTO/SB/57..................             500        2,520.00       1,260,000.00
 Reexamination Transmittal Form.
Request for Inter Partes          PTO/SB/58..................             100        8,800.00         880,000.00
 Reexamination Transmittal Form.
Petition to Review Refusal to     None.......................             100          130.00          13,000.00
 Grant Ex Parte Reexamination.
Petition to Review Refusal to     None.......................               1          130.00             130.00
 Grant Inter Partes
 Reexamination.
Petition to Request Extension of  None.......................              50          200.00          10,000.00
 Time in Ex Parte or Inter
 Partes Reexamination.
Issue Fee (utility patent, no     PTOL-85B...................          25,000        1,400.00      35,000,000.00
 publication fee).
Issue Fee (utility patent, no     PTOL-85B...................           9,000          700.00       6,300,000.00
 publication fee, small entity).
Issue Fee (utility patent, with   PTOL-85B...................         105,000        1,700.00     178,500,000.00
 publication fee).
Issue Fee (utility patent, with   PTOL-85B...................          36,000        1,000.00      36,000,000.00
 publication fee, small entity).
Issue Fee (design patent, no      PTOL-85B...................           8,500          800.00       6,800,000.00
 publication fee).

[[Page 2871]]

 
Issue Fee (design patent, no      PTOL-85B...................           8,500          400.00       3,400,000.00
 publication fee, small entity).
Issue Fee (plant patent, no       PTOL-85B...................             120        1,100.00         132,000.00
 publication fee).
Issue Fee (plant patent, no       PTOL-85B...................              80          550.00          44,000.00
 publication fee, small entity).
Issue Fee (plant patent, with     PTOL-85B...................             480        1,400.00         672,000.00
 publication fee).
Issue Fee (plant patent, with     PTOL-85B...................             320          850.00         272,000.00
 publication fee, small entity).
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½
    Totals......................  ...........................         224,926  ..............     273,013,030.00
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    Customers may incur postage costs when submitting the information 
in this collection to the USPTO by mail. The USPTO estimates that the 
average first-class postage cost for a mailed submission will be 52 
cents and that up to 186,326 submissions will be mailed to the USPTO 
per year. The total estimated postage cost for this collection is 
$96,890 per year.
    When submitting the electronic version of the Issue Fee 
Transmittal, the applicant is strongly urged to retain a copy of the 
acknowledgment receipt as evidence that the form was received by the 
USPTO on the date noted. The USPTO estimates that it will take 5 
seconds (0.001 hours) to print and retain a copy of the acknowledgment 
receipt and that 38,600 submissions per year will submit the issue fee 
electronically, for a total of approximately 39 hours per year for 
printing this receipt. Using the paraprofessional rate of $90 per hour, 
the USPTO estimates that the recordkeeping cost associated with this 
requirement will be $3,510 per year.
    The total non-hour respondent cost burden for this collection in 
the form of filing fees, postage costs, and recordkeeping costs is 
$273,113,430 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 16, 2007.
Susan K. Brown,
Records Officer, USPTO Office of the Chief Information Officer, 
Architecture, Engineering and Technical Services, Data Architecture and 
Services Division.
 [FR Doc. E7-908 Filed 1-22-07; 8:45 am]
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