[Federal Register Volume 77, Number 56 (Thursday, March 22, 2012)]
[Notices]
[Pages 16813-16817]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-6888]
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DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Patent Processing (Updating)
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 revision of a 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 May 21, 2012.
ADDRESSES: You may submit comments by any of the following methods:
Email: [email protected]. Include ``0651-
0031 comment'' in the subject line of the message.
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 Rulemaking Portal: http://www.regulations.gov.
FOR FURTHER INFORMATION CONTACT: Requests for additional information
should be directed to the attention of Raul Tamayo, Legal Advisor,
Office of Patent Legal Administration, United States Patent and
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450, by
telephone at (571) 272-7728, or by email to [email protected] with
``Paperwork'' in the subject line. Additional information about this
collection is also available at http://www.reginfo.gov under
``Information Collection Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
The United States Patent and Trademark Office (USPTO) is required
by 35 U.S.C. 131 to examine an application for patent and, when
appropriate, issue a patent. Also, the USPTO is required to publish
patent applications, with certain exceptions, promptly after the
expiration of a period of eighteen months from the earliest filing date
for which a benefit is sought under Title 35, United States Code
(``eighteen-month publication''). Certain situations may arise which
require that additional information be supplied in order for the USPTO
to further process the patent or application. The USPTO administers the
statutes through various sections of the rules of practice in 37 CFR
Part 1.
The information in this collection can be used by the USPTO to
continue the processing of the patent or application to ensure that
applicants are complying with the patent regulations and to aid in the
prosecution of the application.
Modifications to this collection since the previous renewal
include: three requests for non-substantive change; separately
accounting for two requirements; the deletion of an item from the
collection, and adding electronic equivalents for the majority of the
paper forms. The USPTO is also planning to move items out of 0651-0031
into two new collections.
The three requests for non-substantive change include one in August
of 2010 making two changes to an existing form (PTOL-413A); and a
second in November of 2010 adding a form for an item that was currently
approved (Petition to Withdraw an Application
[[Page 16814]]
from Issue). The third request for non-substantive change involved six
items being deleted from this collection in December of 2011 that had
been moved into a new ICR, 0651-0059 Certain Patent Petitions Requiring
a Fee. These items include Petitions for Extension of Time under 37 CFR
1.136(b)(PTO/SB/23); Petition for Express Abandonment to Avoid
Publication under 1.138(c)(PTO/SB/24a); Petition for Request for
Documents in a Form Other Than That Provided by 1.19; Petitions under
37 CFR 1.17(g); Petitions under 37 CFR 1.17(h); and Petition to Make
Special under Accelerated Examination Program (PTO/SB28).
The two items being separately accounted for in this collection are
(i) Rule 1.130, 1.131, and 1.132 Affidavits or Declarations and (ii)
Amendments and Responses.
One item is being deleted from the collection, Request for
Processing of Replacement Drawings in Any Patent Application
Publication. The USPTO phased out these requests over the last several
years due to IT upgrades.
Currently, notices of appeal, requests for oral hearing, and pre-
appeal brief requests for review are covered under this collection. The
USPTO has determined that it would be beneficial to assign these items
to their own collection. The USPTO is planning to submit a request to
the OMB for a new collection, Matters Related to Patent Appeals, and is
planning to ultimately transfer these three notices and requests out of
the 0651-0031 inventory and into this new collection upon approval by
OMB.
The Leahy-Smith America Invents Act was enacted into law on
September 16, 2011 (See Pub. L. 112-29, 125 Stat. 284 (2011)). The
USPTO published a notice of proposed rulemaking titled ``Changes to
Implement Miscellaneous Post Patent Provisions of the Leahy-Smith
America Invents Act'' (RIN 0651-AC66) in the Federal Register. In the
notice, the USPTO proposed to rewrite 37 CFR 1.501 to reflect the
amendment to 35 U.S.C. 301 by section 6(g)(1) of the Leahy-Smith
America Invents Act. Proposed 37 CFR 1.501 provides that a submission
can include prior art and claim scope statements of the patent owner.
In light of the proposed rulemaking, the USPTO submitted a request for
a new information collection, Post Patent Public Submissions, and
requested that the existing item ``Information Disclosure Citation in a
Patent'' (PTO/SB/42) be transferred out of the 0651-0031 Patent
Processing (Updating) approved inventory and into this new collection
when this new collection is approved by OMB.
II. Method of Collection
In general, the items in this collection can be submitted to the
USPTO on paper by mail, facsimile, or hand delivery, or electronically
through EFS-Web, the USPTO's Web-based electronic filing system.
III. Data
OMB Number: 0651-0031.
Form Number(s): PTO/SB/08/08a/08b, PTO/SB/17i, PTO/SB/21-22, PTO/
SB/24-27, PTO/SB/24B, PTO/SB/30-33, PTO/SB/35-39, PTO/SB/42-43, PTO/SB/
61-64, PTO/SB/64a, PTO/SB/67-68, PTO/SB/91-92, PTO/SB/96-97, PTO-2053-
A/B, PTO-2054-A/B, PTO-2055-A/B, PTOL/413A.
Type of Review: Revision of a currently approved collection.
Affected Public: Individuals or households; business or other for-
profit; not-for-profit institutions.
Estimated Number of Respondents: 4,777,532 responses per year.
Estimated Time per Response: The USPTO estimates that it will take
the public an average of 1 minute, 48 seconds (0.03 hours) to 10 hours
to complete the collections of information described in this
submission, depending on the nature of the information. This includes
time to gather the necessary information, create the documents, and
mail the completed request, depending upon the complexity of the
situation. The time estimates shown for the electronic forms are based
on the average amount of time needed to complete and electronically
file the associated forms.
Estimated Total Annual Respondent Burden Hours: 11,972,777 hours.
Estimated Total Annual Respondent Cost Burden: $3,573,910,186. The
USPTO expects that attorneys and paraprofessionals will complete and
submit this information. The estimated hourly rate for attorneys is
$340 and the paraprofessional rate is $122.
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Estimated Estimated
Item Estimated time for response annual annual burden
responses hours
----------------------------------------------------------------------------------------------------------------
EFS-Web IDS (Information Disclosure 2 hours............................ 500,000 1,000,000
Statements) that do not require the fee
set forth in 37 CFR 1.17(p).
Information Disclosure Statements that do 2 hours............................ 40,000 80,000
not require the fee set forth in 37 CFR
1.17(p).
EFS-Web IDS (Information Disclosure 2 hours............................ 100,000 200,000
Statements) that require the fee set forth
in 37 CFR 1.17(p).
Information Disclosure Statements that 2 hours............................ 10,000 20,000
require the fee set forth in 37 CFR
1.17(p).
Electronic Transmittal Form................ 2 hours............................ 1,020,000 2,040,000
Transmittal Form........................... 2 hours............................ 80,000 160,000
Electronic Petition for Extension of Time 6 minutes.......................... 295,000 29,500
under 37 CFR 1.136(a).
Petition for Extension of Time under 37 CFR 6 minutes.......................... 20,100 2,010
1.136(a).
Electronic Express Abandonment under 37 CFR 12 minutes......................... 6,500 1,300
1.138.
Express Abandonment under 37 CFR 1.138..... 12 minutes......................... 500 100
Electronic Disclaimers..................... 12 minutes......................... 40,000 8,000
Disclaimers................................ 12 minutes......................... 5,000 1,000
Electronic Request for Expedited 6 minutes.......................... 370 37
Examination of a Design Application.
Request for Expedited Examination of a 6 minutes.......................... 30 3
Design Application.
Electronic Notice of Appeal................ 12 minutes......................... 34,900 6,980
Notice of Appeal........................... 12 minutes......................... 2,600 520
Electronic Information Disclosure Citation 10 hours........................... 930 9,300
in a Patent.
Information Disclosure Citation in a Patent 10 hours........................... 70 700
Electronic Petition for Revival of an 8 hours............................ 330 2,640
Application for Patent Abandoned
Unavoidably.
Petition for Revival of an Application for 8 hours............................ 30 240
Patent Abandoned Unavoidably.
Electronic Petition for Revival of an 1 hour............................. 7,400 7,400
Application for Patent Abandoned
Unintentionally.
Petition for Revival of an Application for 1 hour............................. 600 600
Patent Abandoned Unintentionally.
Electronic Petition for Revival of an 1 hour............................. 230 230
Application for Patent Abandoned for
Failure to Notify the Office of a Foreign
or International Filing.
[[Page 16815]]
Petition for Revival of an Application for 1 hour............................. 20 20
Patent Abandoned for Failure to Notify the
Office of a Foreign or International
Filing.
Electronic Requests to Access, Inspect and 12 minutes......................... 121,000 24,200
Copy.
Requests to Access, Inspect and Copy....... 12 minutes......................... 9,000 1,800
Electronic Deposit Account Order Form...... 12 minutes......................... 90 18
Deposit Account Order Form................. 12 minutes......................... 10 2
Electronic Certificates of Mailing, 1 minute,.......................... 930,000 27,900
Transmission. 48 seconds.........................
Certificates of Mailing, Transmission...... 1 minute,.......................... 70,000 2,100
48 seconds.........................
Electronic Statement Under 37 CFR 3.73(b).. 12 minutes......................... 140,000 28,000
Statement Under 37 CFR 3.73(b)............. 12 minutes......................... 10,000 2,000
Electronic Non-publication Request......... 6 minutes.......................... 21,500 2,150
Non-publication Request.................... 6 minutes.......................... 1,500 150
Electronic Rescission of Previous Non- 6 minutes.......................... 1,000 100
publication Request (35 U.S.C.
122(b)(2)(B)(ii)) and, if applicable,
Notice of Foreign Filing (35 U.S.C.
122(b)(2)(B)(iii)).
Rescission of Previous Non-publication 6 minutes.......................... 100 10
Request (35 U.S.C. 122(b)(2)(B)(ii)) and,
if applicable, Notice of Foreign Filing
(35 U.S.C. Sec. 122(b)(2)(B)(iii)).
Electronic Filing System (EFS) Copy of 2 hours,........................... 1 3
Application for Publication. 30 minutes.........................
Copy of File Content Showing Redactions.... 4 hours............................ 1 4
Copy of the Applicant or Patentee's Record 2 hours............................ 20 40
of the Application (including copies of
the correspondence, list of the
correspondence, and statements verifying
whether the record is complete or not).
EFS-Web Request for Continued Examination 12 minutes......................... 150,000 30,000
(RCE) Transmittal.
Request for Continued Examination (RCE) 12 minutes......................... 10,000 2,000
Transmittal.
Electronic Request for Oral Hearing Before 12 minutes......................... 1,100 220
the Board of Patent Appeals and
Interferences.
Request for Oral Hearing Before the Board 12 minutes......................... 100 20
of Patent Appeals and Interferences.
Electronic Request for Suspension of Action 12 minutes......................... 560 112
or Deferral of Examination Under 37 CFR
1.103(b), (c), or (d).
Request for Suspension of Action or 12 minutes......................... 40 8
Deferral of Examination Under 37 CFR
1.103(b), (c), or (d).
EFS-Web Request for Voluntary Publication 12 minutes......................... 650 130
or Republication.
Request for Voluntary Publication or 12 minutes......................... 50 10
Republication.
Electronic Applicant Initiated Interview 24 minutes......................... 1,900 760
Request Form.
Applicant Initiated Interview Request Form. 24 minutes......................... 100 40
Electronic Processing Fee Under 37 CFR 5 minutes.......................... 3,300 264
1.17(i) Transmittal.
Processing Fee Under 37 CFR 1.17(i) 5 minutes.......................... 200 16
Transmittal.
Electronic Request to Retrieve Electronic 8 minutes.......................... 60,000 7,800
Priority Application(s) Under 37 CFR
1.55(d).
Request to Retrieve Electronic Priority 8 minutes.......................... 5,000 650
Application(s) Under 37 CFR 1.55(d).
Electronic Authorization to Permit Access 6 minutes.......................... 19,000 1,900
to Application by Participating Offices
Under 37 CFR 1.14(h).
Authorization to Permit Access to 6 minutes.......................... 1,000 100
Application by Participating Offices Under
37 CFR 1.14(h).
Electronic Petition for Express Abandonment 12 minutes......................... 2,000 400
to Obtain a Refund.
Petition for Express Abandonment to Obtain 12 minutes......................... 100 20
a Refund.
Electronic Pre-Appeal Brief Request for 5 hours............................ 14,700 73,500
Review.
Pre-Appeal Brief Request for Review........ 5 hours............................ 1,100 5,500
EFS-Web Request for Corrected Filing 5 minutes.......................... 22,000 1,760
Receipt.
Request for Corrected Filing Receipt....... 5 minutes.......................... 2,000 160
Electronic Request for First Action 2 hours,........................... 1,500 3,750
Interview (Pilot Program). 30 minutes.........................
Petition to Make Special Based on Age for 2 hours............................ 2,300 4,600
Advancement of Examination under 37 CFR
1.105(c)(1) (EFS-Web only).
Rule 1.130, 1.131, and 1.132 Affidavits or 10 hours........................... 50,000 500,000
Declarations.
Electronic Amendments and Responses........ 8 hours............................ 893,000 7,144,000
Amendments and Responses................... 8 hours............................ 67,000 536,000
��������������������������������������������
Totals................................. ................................... 4,777,532 11,972,777
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Estimated Total Annual (Non-Hour) Respondent Cost Burden:
$357,380,557. This collection has postage costs and filing fees.
The public may submit the paper forms and petitions in this
collection to the USPTO by mail through the United States Postal
Service. If the submission is sent by first-class mail, the public may
also include a signed certification of the date of mailing in order to
receive credit for timely filing. Therefore, the USPTO estimates that
up to 386,271 submissions per year may be mailed. The USPTO estimates
that the average submission will be mailed in a standard manila
envelope with a weight of 3 ounces at a cost of $1.28, resulting in a
total postage cost of $494,427 per year for this collection.
There is annual (non-hour) cost burden in the way of filing fees
associated with this collection of $356,886,130, as shown in the
accompanying table.
[[Page 16816]]
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Total non-hour
Item Responses Filing fee $ cost burden (a x
(yr) b)
(a) (b) (c)
----------------------------------------------------------------------------------------------------------------
EFS-Web Information Disclosure Statements (IDS) that require the 100,000 $180.00 $18,000,000.00
fee set forth in 37 CFR 1.17(p)................................
Information Disclosure Statements (IDS) that require the fee set 10,000 180.00 1,800,000.00
forth in 37 CFR 1.17(p)........................................
Transmittal Forms............................................... 1,100,000 None 0.00
One-month extension of time under 37 CFR 1.136(a)............... 110,000 150.00 16,500,000.00
One-month extension of time under 37 CFR 1.136(a) (small entity) 40,000 75.00 3,000,000.00
Two-month extension of time under 37 CFR 1.136(a)............... 50,000 560.00 28,000,000.00
Two-month extension of time under 37 CFR 1.136(a) (small entity) 21,000 280.00 5,880,000.00
Three-month extension of time under 37 CFR 1.136(a)............. 50,000 1,270.00 63,500,000.00
Three-month extension of time under 37 CFR 1.136(a) (small 31,000 635.00 19,685,000.00
entity)........................................................
Four-month extension of time under 37 CFR 1.136(a).............. 3,300 1,980.00 6,534,000.00
Four-month extension of time under 37 CFR 1.136(a) (small 2,500 990.00 2,475,000.00
entity)........................................................
Five-month extension of time under 37 CFR 1.136(a).............. 3,800 2,690.00 10,222,000.00
Five-month extension of time under 37 CFR 1.136(a) (small 3,500 1,345.00 4,707,500.00
entity)........................................................
Express abandonment under 37 CFR 1.138.......................... 7,000 None 0.00
Statutory Disclaimer............................................ 35,500 160.00 5,680,000.00
Statutory Disclaimer (small entity)............................. 9,500 80.00 760,000.00
Request for expedited examination of a design application....... 400 900.00 360,000.00
Electronic Notice of Appeal..................................... 27,900 620.00 17,298,000.00
Electronic Notice of Appeal (small entity)...................... 7,000 310.00 2,170,000.00
Notice of Appeal................................................ 2,100 620.00 1,302,000.00
Notice of Appeal (small entity)................................. 500 310.00 155,000.00
Information Disclosure Citations................................ 1,000 None 0.00
Petition to Revive Unavoidably Abandoned Application............ 120 620.00 74,400.00
Petition to Revive Unavoidably Abandoned Application (small 240 310.00 74,400.00
entity)........................................................
Petition to Revive Unintentionally Abandoned Application........ 3,800 1,860.00 7,068,000.00
Petition to Revive Unintentionally Abandoned Application (small 4,200 930.00 3,906,000.00
entity)........................................................
Petition for revival of an application for patent abandoned for 200 1,860.00 372,000.00
failure to notify the office of a foreign or international
filing.........................................................
Petition for revival of an application for patent abandoned for 50 930.00 46,500.00
failure to notify the office of a foreign or international
filing (small entity)..........................................
Requests to Access, Inspect and Copy............................ 130,000 None 0.00
Deposit Account Order Form...................................... 100 None 0.00
Certificates of Mailing/Transmission............................ 1,000,000 None 0.00
Statement under 37 CFR 3.73(b).................................. 150,000 None 0.00
Non-publication Request......................................... 23,000 None 0.00
Rescission of Previous Non-publication Request (35 U.S.C. 1,100 None 0.00
122(b)(2)(B)(ii)) and, if applicable, Notice of Foreign Filing
(35 U.S.C. 122(b)(2)(B)(iii))..................................
EFS Copy of Application for Publication......................... 1 None 0.00
Copy of File Content Showing Redactions......................... 1 130.00 130.00
Copy of the Applicant or Patentee's Record of the Application 20 None 0.00
(including copies of the correspondence, list of the
correspondence, and statements verifying whether the record is
complete or not)...............................................
Request for Continued Examination (RCE) Transmittal............. 131,000 930.00 121,830,000.00
Request for Continued Examination (RCE) Transmittal (small 29,000 465.00 13,485,000.00
entity)........................................................
Electronic Request for Oral Hearing............................. 900 1,240.00 1,116,000.00
Electronic Request for Oral Hearing (small entity).............. 200 620.00 124,000.00
Request for Oral Hearing........................................ 60 1,240.00 74,400.00
Request for Oral Hearing (small entity)......................... 40 620.00 24,800.00
Processing fee for requests for suspension of action or 600 130.00 78,000.00
deferrals of examination under 37 CFR 1.103(b),(c),or(d).......
Request for voluntary publication or republication under 37 CFR 300 430.00 129,000.00
1.221(a).......................................................
Applicant initiated interview request form...................... 2,000 None 0.00
Processing fee under 37 CFR 1.17(i) transmittal................. 3,500 130.00 455,000.00
Request to retrieve electronic priority application(s) under 37 65,000 None 0.00
CFR 1.55(d)....................................................
Authorization to permit access to application by participating 20,000 None 0.00
offices under 37 CFR 1.17(h)...................................
Petition for express abandonment to obtain a refund............. 2,100 None 0.00
Electronic Pre-Appeal Brief Request for Review.................. 11,700 None 0.00
Electronic Pre-Appeal Brief Request for Review (small entity)... 3,000 None 0.00
Pre-Appeal Brief Request for Review............................. 900 None 0.00
Pre-Appeal Brief Request for Review (small entity).............. 200 None 0.00
Request for Corrected filing receipt (electronic)............... 22,000 None 0.00
Request for Corrected filing receipt............................ 2,000 None 0.00
Electronic Request for First Action Interview (Pilot Program)... 1,500 None 0.00
Petition to Make Special Based on Age for Advancement of 2,300 None 0.00
Examination Under 37 CFR 1.105(c)(1) (EFS-Web only)............
Rule 1.130, 1.131, and 1.132 Affidavits or Declarations......... 50,000 None 0.00
Electronic Amendments and Responses............................. 893,000 None 0.00
Amendments and Responses........................................ 67,000 None 0.00
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[[Page 16817]]
TOTAL....................................................... 4,237,132 ............ 356,886,130.00
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The USPTO estimates that the total (non-hour) respondent cost
burden for this collection in the form of postage costs and filing fees
will be $357,380,557.
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 will also become a matter of public record.
Dated: March 19, 2012.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2012-6888 Filed 3-21-12; 8:45 am]
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