[Federal Register Volume 74, Number 237 (Friday, December 11, 2009)]
[Notices]
[Pages 65733-65737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-29528]


=======================================================================
-----------------------------------------------------------------------

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.

-----------------------------------------------------------------------

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 this continuing information collection, as 
required by the Paperwork Reduction Act of 1995.

DATES: Written comments must be submitted on or before February 9, 
2010.

ADDRESSES: You may submit comments by any of the following methods:
     E-mail: [email protected]. Include ``0651-0012 
Admittance to Practice and Roster of Registered Patent Attorneys and 
Agents Admitted to Practice Before the USPTO comment'' in the subject 
line of the message.
     Fax: 571-273-0112, marked to the attention of Susan K. 
Fawcett.
     Mail: Susan K. Fawcett, Records Officer, Office of the 
Chief Information Officer, United States 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, Enrollment and 
Discipline Administrator, United States 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 [email protected].

SUPPLEMENTARY INFORMATION:

[[Page 65734]]

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 11.12. 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 eight forms associated with this information collection. 
Two new forms are being introduced into this collection: The 
Application for Reciprocal Recognition to Practice in Trademark Matters 
Before the United States Patent and Trademark Office Under 37 CFR 
11.14(c) by a Foreign Attorney or Agent (PTO-158T) and the Application 
for Registration in the USPTO Law School Pilot Program to Practice 
Before the United States Patent and Trademark Office by a Foreign 
Attorney or Agent (PTO-158LS).
    Three additional new items being introduced into the collection 
are: (1) Cover pages used for submitting correspondence to OED (for 
documents submitted with applications, requests for reconsideration, 
and petitions); (2) record keeping costs (a copy of every document 
submitted to OED in connection with an application for registration); 
and (3) electronic change of address submissions.

II. Method of Collection

    By mail to the USPTO when the individual desires to participate in 
the information collection and electronically when the individual is 
submitting a change of address.

III. Data

    OMB Number: 0651-0012.
    Form Number(s): PTO-158, PTO-158A, PTO/275, PTO-107A, PTO-1209, 
PTO-2126, PTO-2149 and PTO-2150. Two new forms being introduced into 
the collection are PTO-158T and PTO-158LS.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Businesses or other for-profits.
    Estimated Number of Respondents: 93,340 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public approximately 1 minute (0.02 hours) 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: 98,028 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $23,010,260. 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 
$1,206,660. The USPTO estimates that the remaining items in this 
collection will be prepared by attorneys in private firms. Using the 
professional hourly rate of $325 for attorneys in private firms, the 
USPTO estimates $21,803,600 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.........................           4,420           2,210
 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 (examination waived) FORM
 PTO-158A.
Application for Reciprocal Recognition to    30 minutes.........................              25              13
 Practice in Trademark Matters Before the
 United States Patent and Trademark Office
 Under 37 CFR 11.14(c) by a Foreign
 Attorney or Agent (examination waived)
 FORM PTO-158T.
Application for Registration in the USPTO    30 minutes.........................              60              30
 Law School Pilot Program to Practice
 Before the United States Patent and
 Trademark Office Under 37 CFR 11.14(c)
 (examination waived) (Law School Students
 Only) FORM PTO-158LS.
Registration examination to become a         7 hours............................           4,420          30,940
 registered practitioner.
Undertaking under 37 CFR 11.10(b) PTO/275..  20 minutes.........................             520             172
Data Sheet--Register of Patent Attorneys     10 minutes.........................           1,995             339
 and Agents (individuals passing the
 registration exam) PTO-107A.
Data Sheet--Register of Patent Attorneys     10 minutes.........................             100              17
 and Agents (Foreign applicants) PTO-107A.
Data Sheet--Register of Patent Attorneys     10 minutes.........................             100              17
 and 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.........................              30               5
Written request for reconsideration and      90 minutes.........................              30              45
 further review of disapproval notice of
 application.
Petition to the Director of the Office of    45 minutes.........................              20              15
 Enrollment and Discipline Under 37 CFR
 11.12(c).
Petition for reinstatement after             40 hours...........................               4             160
 disciplinary removal under 37 CFR 11.7(h).
Annual Practitioner Registration Fee FORM    10 minutes.........................          32,500           5,525
 PTO-2126.
Annual Fee, Limited Recognition FORM PTO-    10 minutes.........................             200              34
 2126.

[[Page 65735]]

 
Voluntary Inactive Status FORM PTO-2126....  10 minutes.........................           2,000             340
Request for Restoration to Active Status     10 minutes.........................             700             119
 from Voluntary Inactive Status FORM PTO-
 2126.
Balance of Annual Fee Due on Restoration to  10 minutes.........................             700             119
 Active Status from Voluntary Inactive
 Status FORM PTO-2126.
Delinquency Fee for Annual Fee FORM PTO-     10 minutes.........................           2,100             357
 2126.
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     1 hour.............................             350             350
 Legal Education (CLE) FORM PTO-2149.
Certification of Attendance at USPTO-        1 hour.............................             350             350
 approved CLE Training FORM PTO-2150.
Practitioner request for paper version of    5 minutes..........................             100               8
 CLE.
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  40 hours...........................               1              40
 a motion to hold in abeyance a
 disciplinary proceeding because of a
 current disability or addiction.
Cover pages used for submitting              1 minute...........................           7,500             150
 correspondence to OED (for documents
 submitted with applications, Requests for
 Reconsideration, and petitions).
Change of address--electronic submission...  2 minutes..........................           4,200             126
                                            --------------------------------------------------------------------
    Total..................................  ...................................          93,340          98,028
----------------------------------------------------------------------------------------------------------------

    Estimated Total Annual (non-hour) Respondent Cost Burden: 
$5,710,143. 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. Also, 
there is another record keeping cost being added into the collection. 
The General Requirements Bulletin recommends that ``applicants should 
make and keep a copy of every document submitted to the office in 
connection with an application for registration.'' The USPTO estimates 
that it will take an applicant approximately 5 minutes (0.08 hours) to 
print and retain a copy of the submissions and that approximately 4,700 
responses will be made per year, for a total of 376 hours. Using the 
professional rate of $325 per hour for attorneys in private firms, the 
USPTO estimates that the record keeping cost associated with this copy 
requirement will be $122,200 per year, for a total record keeping cost 
of $126,590.
    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 $5,561,840.

----------------------------------------------------------------------------------------------------------------
                                                                                                  Total non-hour
                              Item                                 Responses (a)  Filing fee ($)    cost burden
                                                                                        (b)        (a) x (b) (c)
----------------------------------------------------------------------------------------------------------------
Non-Refundable Application Fee for Registration to Practice                4,420          $40.00     $176,800.00
 Before the United States Patent and Trademark Office (includes
 both the computerized exam and the USPTO-administered exam)....
Non-Refundable Application Fee for Enrollment and/or                          35        1,600.00       56,000.00
 Reinstatement to Practice Before the United States Patent and
 Trademark Office Under 37 CFR 1.21(a)(10) (those who must prove
 fitness to practice)...........................................
Application fee 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)..........................
Application fee for Reciprocal Recognition to Practice in                     25           40.00        1,000.00
 Trademark Matters Before the United States Patent and Trademark
 Office Under 37 CFR 11.14(c) by a Foreign Attorney/Agent
 (examination waived)...........................................
Application Fee for Registration in the USPTO Law School Pilot                60            0.00            0.00
 Program to Practice Before the United States Patent and
 Trademark Office Under 37 CFR 11.14(c) (examination waived)
 (Law School students only).....................................
Registration examination fee for administration of computerized               20          450.00        9,000.00
 examination to become a registered patent practitioner
 administered by the USPTO (USPTO-administered exam)............
Registration examination fee for administration of computerized            4,400          200.00      880,000.00
 examination to become a registered patent practitioner
 administered by a commercial entity (Computer exam)............
Undertaking under 37 CFR 11.10(b)...............................             520            0.00            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            0.00            0.00
Reinstatement to the Register...................................              30          100.00        3,000.00

[[Page 65736]]

 
Written request for reconsideration and further review of                     30          130.00        3,900.00
 disapproval notice of application..............................
Petition to the Director of the Office of Enrollment and                      20          130.00        2,600.00
 Discipline under 11.12(c)......................................
Petition for reinstatement after disciplinary removal under                    4        1,600.00        6,400.00
 11.7(h)........................................................
Annual Practitioner Registration Fee............................          32,500          118.00    3,835,000.00
Annual Fee, Limited Recognition.................................             200          118.00       23,600.00
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 of annual fee due on restoration to active from                      700           93.00       65,100.00
 voluntary inactive status......................................
Delinquency fee for annual fee (fee paid after the due date and            2,100           50.00      105,000.00
 for CLE).......................................................
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            0.00            0.00
Practitioner request for paper version of CLE program and                    100           75.00        7,500.00
 furnished narrative............................................
On-line version of the Seminar CLE..............................          28,000            0.00            0.00
Paper version of the CLE........................................             100            0.00            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........................................
Cover pages used for submitting correspondence to OED (includes            7,500            0.00            0.00
 ``Request for Reconsideration'' cover page)....................
Change of address--electronic submission........................           4,200            0.00            0.00
                                                                 -----------------------------------------------
    Total.......................................................          93,375  ..............    5,561,840.00
----------------------------------------------------------------------------------------------------------------

    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 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 44 cents for one ounce to $4.80 for one 
pound, depending on the individual submission. The total annual non-
hour cost burden associated with postage costs is $21,713.

----------------------------------------------------------------------------------------------------------------
                                                                                                  Total non-hour
                              Item                                 Responses (a)   Postage cost     cost burden
                                                                                      ($) (b)      (a) x (b) (c)
----------------------------------------------------------------------------------------------------------------
Application for Registration to Practice Before the United                 4,420           $0.61       $2,696.00
 States Patent and Trademark Office (includes both the
 computerized exam and the USPTO-administered exam).............
Application for Registration to Practice Before the United                   100            0.61           61.00
 States Patent and Trademark Office (former examiners;
 examination waived)............................................
Application for Registration to Practice Before the United                   100            0.44           44.00
 States Patent and Trademark Office Under 37 CFR 11.6(c) by a
 Foreign Resident (examination waived)..........................
Application for Reciprocal Recognition to Practice in Trademark               25            0.61           15.00
 Matters Before the United States Patent and Trademark Office
 Under 37 CFR 11.14(c) by a Foreign Attorney or Agent
 (examination waived)...........................................
Application for Registration in the USPTO Law School Pilot                    60            0.00            0.00
 Program to Practice Before the United States Patent and
 Trademark Office Under 37 CFR 11.14(c) (examination waived)
 (Law School Students only).....................................
Registration examination to become a registered practitioner....           4,420            0.00            0.00
Undertaking under 37 CFR 11.10(b)...............................             520            0.00            0.00
Data Sheet--Register of Patent Attorneys and Agents (includes              2,195            0.44          966.00
 applicants that passed the examination, former examiners, and
 foreign applicants)............................................
Oath or Affirmation.............................................           2,195            0.00            0.00
Reinstatement to the Register...................................              30            0.44           13.00
Written request for reconsideration and further review of                     30            0.61           18.00
 disapproval notice of application..............................
Petition to the Director of the Office of Enrollment and                      20            1.73           35.00
 Discipline under 37 CFR 11.12(c)...............................
Petition for reinstatement after disciplinary removal under 37                 4            0.78            3.00
 CFR 11.7(h)....................................................
Annual Practitioner Registration Fee............................          32,500            0.44       14,300.00
Annual Fee, Limited Recognition.................................             200            0.44           88.00
Voluntary Inactive Status.......................................           2,000            0.44          880.00
Request for Restoration to Active from Voluntary Inactive Status             700            0.44          308.00
Balance of annual fee due on restoration to active from                      700            0.44          308.00
 voluntary inactive status......................................
Delinquency Fee for annual fee (fee paid after the due date and            2,100            0.44          924.00
 for CLE).......................................................
Reinstatement fee (required to be paid after the due date of the             420            0.44          185.00
 required annual fee or CLE)....................................
Sponsor application for USPTO CLE...............................             350            1.73          606.00
Certification of Attendance at USPTO-approved CLE Training......             350            0.61          214.00
Practitioner request for paper version of CLE program and                    100            0.44           44.00
 furnished narrative............................................

[[Page 65737]]

 
On-line version of the Seminar CLE..............................          28,000            0.00            0.00
Paper version of the CLE........................................             100            0.00            0.00
Practitioner's supporting documentation for a motion to hold in                1            4.80            5.00
 abeyance a disciplinary proceeding because of a current
 disability or addiction........................................
Cover pages used for submitting correspondence to OED (includes            7,500            0.00            0.00
 ``Request for Reconsideration'' cover page)....................
Change of Address--electronic submission........................           4,200            0.00            0.00
                                                                 -----------------------------------------------
    Total.......................................................          93,340  ..............       21,713.00
----------------------------------------------------------------------------------------------------------------

    The USPTO estimates that the total (non-hour) respondent cost 
burden for this collection in the form of recordkeeping costs, filing 
fees, and postage costs is $5,710,143.

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: December 7, 2009.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. E9-29528 Filed 12-10-09; 8:45 am]
BILLING CODE 3510-16-P