[Federal Register Volume 81, Number 99 (Monday, May 23, 2016)]
[Notices]
[Pages 32298-32302]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-12042]


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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 this extension 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 July 22, 2016.

ADDRESSES: You may submit comments by any of the following methods:
     Email: [email protected]. Include ``0651-
0031 inquiry'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Marcie Lovett, Records Management Division Director, 
Office of the Chief Information Officer, United States Patent and 
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Raul Tamayo, Senior 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 ``0651-0031 inquiry'' 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. The USPTO is also 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.

II. Method of Collection

    The forms associated with this collection may be downloaded from 
the USPTO Web site in Portable Document Format (PDF), filled out 
electronically, and then either printed for mailing or submitted to the 
USPTO online through EFS-Web. The ``EFS-Web only'' items in this 
collection must be submitted to the USPTO online through EFS-Web. In 
addition, the USPTO provides an electronic interface on its Web site 
that the public can use to submit the information associated with the 
Electronic Applicant Initiated Interview Request Form.

III. Data

    OMB Number: 0651-0031.
    IC Instruments and Forms: PTO/AIA/22, PTO/AIA/24, PTO/AIA/24B, PTO/
AIA/31, PTO/AIA/32, PTO/AIA/33, PTO/AIA/40, PTO/AIA/41, PTO/AIA/96, 
PTO/SB/08a, PTO/SB/08b, PTO/SB/17i, PTO/SB/21, PTO/SB/22, PTO/SB/24, 
PTO/SB/24B, PTO/SB/25, PTO/SB/26, PTO/SB/27, PTO/SB/30, PTO/SB/31, PTO/
SB/32, PTO/SB/33, PTO/SB/35, PTO/SB/36, PTO/SB/37, PTO/SB/38, PTO/SB/
39, PTO/SB/43, PTO/SB/61, PTO/SB/63, PTO/SB/64, PTO/SB/64a, PTO/SB/67, 
PTO/SB/68, PTO/SB/91, PTO/SB/92, PTO/SB/96, PTO/SB/97, PTO/SB/130, PTO-
2053-A/B, PTO-2054-A/B, PTO-2055-A/B, PTOL-413A, and PTOL-413C.
    Type of Review: Revision of a Previously-Existing Information 
Collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; and non-profit institutions.
    Estimated Number of Respondents: 3,542,082 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public between 2 minutes (.03 hours) and 8 hours to submit a single 
item in this collection depending on the instrument used, including the 
time to gather the necessary information, prepare the appropriate form 
or petition, and submit the completed request to the USPTO. The time 
per response, estimated annual responses, and estimated annual hour 
burden associated with each instrument in this collection are shown in 
the table below.
    Estimated Total Annual Respondent Burden Hours: 3,631,187.33 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: 
$952,818,894.17. The USPTO expects that attorneys and/or paralegals 
will complete the instruments listed in the table below. The 
professional hourly rates for attorneys and paralegals, based on 
AIPLA's 2015 Report of the Economic Survey, are $410 and $125 
respectively. Using these hourly rates, the USPTO estimates that the 
total respondent cost burden for this collection is $952,818,894.17 per 
year.

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                                                   Estimated       Estimated
       IC No.                   Item             response time      annual      Estimated annual    Rate ($/hr)
                                                   (minutes)       responses     burden (hours)
                                                           (a)             (b)    (a) x (b)/60 =             (d)
                                                                                             (c)
----------------------------------------------------------------------------------------------------------------
1...................  EFS-Web IDS (Information             120         635,000      1,270,000.00          410.00
                       Disclosure Statements)
                       that do not require the
                       fee set forth in 37 CFR
                       1.17(p).

[[Page 32299]]

 
1...................  Information Disclosure               120          20,000         40,000.00          410.00
                       Statements that do not
                       require the fee set
                       forth in 37 CFR 1.17(p).
1...................  EFS-Web IDS (Information             120         115,000        230,000.00          410.00
                       Disclosure Statements)
                       that require the fee
                       set forth in 37 CFR
                       1.17(p).
1...................  Information Disclosure               120           5,000         10,000.00          410.00
                       Statements that require
                       the fee set forth in 37
                       CFR 1.17(p).
2...................  Electronic Transmittal               120         850,000      1,700,000.00          125.00
                       Form.
2...................  Transmittal Form........             120          50,000        100,000.00          125.00
3...................  Electronic Petition for                6         290,000         29,000.00          125.00
                       Extension of Time under
                       37 CFR 1.136(a).
3...................  Petition for Extension                 6          10,000          1,000.00          125.00
                       of Time under 37 CFR
                       1.136(a).
4...................  Electronic Express                    12           4,800            960.00          125.00
                       Abandonment under 37
                       CFR 1.138.
4...................  Express Abandonment                   12             200             40.00          125.00
                       under 37 CFR 1.138.
5...................  Electronic Statutory                  12          58,000         11,600.00          410.00
                       Disclaimers (including
                       terminal disclaimers).
5...................  Statutory Disclaimers                 12           2,000            400.00          410.00
                       (including terminal
                       disclaimers).
6...................  Electronic Request for                 6             390             39.00          410.00
                       Expedited Examination
                       of a Design Application.
6...................  Request for Expedited                  6              10              1.00          410.00
                       Examination of a Design
                       Application.
7...................  Electronic Notice of                  12          28,000          5,600.00          410.00
                       Appeal.
7...................  Notice of Appeal........              12           1,000            200.00          410.00
8...................  Electronic Petition for               60           7,500          7,500.00          410.00
                       Revival of an
                       Application for Patent
                       Abandoned
                       Unintentionally.
8...................  Petition for Revival of               60             500            500.00          410.00
                       an Application for
                       Patent Abandoned
                       Unintentionally.
9...................  Electronic Petition for               60             190            190.00          410.00
                       Revival of an
                       Application for Patent
                       Abandoned for Failure
                       to Notify the Office of
                       a Foreign or
                       International Filing.
9...................  Petition for Revival of               60              10             10.00         $410.00
                       an Application for
                       Patent Abandoned for
                       Failure to Notify the
                       Office of a Foreign or
                       International Filing.
10..................  Electronic Requests to                12          95,000         19,000.00          125.00
                       Access, Inspect and
                       Copy.
10..................  Requests to Access,                   12           5,000          1,000.00          125.00
                       Inspect and Copy.
11..................  Electronic Deposit                    12           1,600            320.00          125.00
                       Account Order Form.
11..................  Deposit Account Order                 12             100             20.00          125.00
                       Form.
12..................  Electronic Certificates                2         750,000         25,000.00          125.00
                       of Mailing or
                       Transmission.
12..................  Certificates of Mailing                2          50,000          1,666.66          125.00
                       or Transmission.
13..................  Electronic Statement                  12         240,000         48,000.00          410.00
                       Under 37 CFR 3.73(c).
13..................  Statement Under 37 CFR                12          10,000          2,000.00          410.00
                       3.73(c).
14..................  Electronic Non-                        6          23,000          2,300.00          410.00
                       publication Request.
14..................  Non-publication Request.               6           1,000            100.00          410.00
15..................  Electronic Rescission of               6             900             90.00          410.00
                       Previous Non-
                       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).
15..................  Rescission of Previous                 6              50              5.00          410.00
                       Non-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).
16..................  Electronic Filing System             150               1              2.50          125.00
                       (EFS) Copy of
                       Application for
                       Publication.
17..................  Copy of File Content                 240               1              4.00          410.00
                       Showing Redactions.
18..................  Copy of the Applicant or             120              10             20.00          125.00
                       Patentee's Record of
                       the Application
                       (including copies of
                       the correspondence,
                       list of the
                       correspondence, and
                       statements verifying
                       whether the record is
                       complete or not).
19..................  EFS-Web Request for                   12         165,000         33,000.00          410.00
                       Continued Examination
                       (RCE) Transmittal.
19..................  Request for Continued                 12           5,000          1,000.00          410.00
                       Examination (RCE)
                       Transmittal.
20..................  Electronic Request for                12             950            190.00          410.00
                       Oral Hearing Before the
                       Patent Trial and Appeal
                       Board.
20..................  Request for Oral Hearing              12              50             10.00          410.00
                       Before the Patent Trial
                       and Appeal Board.
21..................  Electronic Request for                12             700            140.00          410.00
                       Suspension of Action or
                       Deferral of Examination
                       Under 37 CFR 1.103(b),
                       (c), or (d).
21..................  Request for Suspension                12              50             10.00          410.00
                       of Action or Deferral
                       of Examination Under 37
                       CFR 1.103(b), (c), or
                       (d).
22..................  EFS-Web Request for                   12             290             58.00          125.00
                       Voluntary Publication
                       or Republication
                       (includes publication
                       fee for republication).

[[Page 32300]]

 
22..................  Request for Voluntary                 12              10              2.00          125.00
                       Publication or
                       Republication (includes
                       publication fee for
                       republication).
23..................  Electronic Applicant                  24          11,000          4,400.00          410.00
                       Initiated Interview
                       Request Form.
23..................  Applicant Initiated                   24           3,500          1,400.00          410.00
                       Interview Request Form.
24..................  Electronic Processing                  5             340             28.33          410.00
                       Fee Under 37 CFR
                       1.17(i) Transmittal.
24..................  Processing Fee Under 37                5              10              0.83          410.00
                       CFR 1.17(i) Transmittal.
25..................  Electronic Request to                  8          11,500          1,533.33          410.00
                       Retrieve Electronic
                       Priority Application(s)
                       Under 37 CFR 1.55(h).
25..................  Request to Retrieve                    8             500             66.67          410.00
                       Electronic Priority
                       Application (s) Under
                       37 CFR 1.55(h).
26..................  Electronic Authorization               6          14,500          1,450.00          410.00
                       or Rescission of
                       Authorization to Permit
                       Access to Application-
                       as-filed by
                       Participating Offices
                       Under 37 CFR 1.14(h).
26..................  Authorization or                       6             500             50.00          410.00
                       Rescission of
                       Authorization to Permit
                       Access to Application-
                       as-filed by
                       Participating Offices
                       Under 37 CFR 1.14(h).
27..................  Electronic Petition for               12           1,550            310.00          410.00
                       Express Abandonment to
                       Obtain a Refund.
27..................  Petition for Express                  12              50             10.00          410.00
                       Abandonment to Obtain a
                       Refund.
28..................  Electronic Pre-Appeal                300          10,500         52,500.00          410.00
                       Brief Request for
                       Review.
28..................  Pre-Appeal Brief Request             300             500          2,500.00          410.00
                       for Review.
29..................  EFS-Web Request for                    5          29,000          2,416.67          125.00
                       Corrected Filing
                       Receipt.
29..................  Request for Corrected                  5           1,000             83.33          125.00
                       Filing Receipt.
30..................  Request for First Action             150           1,200          3,000.00          410.00
                       Interview (Pilot
                       Program) (Electronic
                       only).
31..................  Petition to Make Special             120           2,000          4,000.00          410.00
                       Based on Age for
                       Advancement of
                       Examination under 37
                       CFR 1.102(c)(1) (EFS-
                       Web only).
32..................  Electronic Filing a                  480             110            880.00          410.00
                       submission after final
                       rejection (see 37 CFR
                       1.129(a)).
32..................  Filing a submission                  480              10             80.00          410.00
                       after final rejection
                       (see 37 CFR 1.129(a)).
33..................  Electronic correction of              45           2,900          2,175.00          410.00
                       inventorship after
                       first office action on
                       the merits.
33..................  Correction of                         45             100             75.00          410.00
                       inventorship after
                       first office action on
                       the merits.
34..................  Electronic request for                45          14,500         10,875.00          410.00
                       correction in a patent
                       application relating to
                       inventorship or an
                       inventor name, or order
                       of names, other than in
                       a reissue application
                       (37 CFR 1.48).
34..................  Request for correction                45             500            375.00          410.00
                       in a patent application
                       relating to
                       inventorship or an
                       inventor name, or order
                       of names, other than in
                       a reissue application
                       (37 CFR 1.48).
35..................  Electronic request to                 12           9,500          1,900.00          410.00
                       correct or update the
                       name of the applicant
                       under 37 CFR
                       1.46(c)(1), or change
                       the applicant under 37
                       CFR 1.46(c)(2).
35..................  Request to correct or                 12             500            100.00          410.00
                       update the name of the
                       applicant under 37 CFR
                       1.46(c)(1), or change
                       the applicant under 37
                       CFR 1.46(c)(2).
                                               -----------------------------------------------------------------
    Total...........  ........................  ..............       3,542,082      3,631,187.33  ..............
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    Estimated Total Annual (Non-hour) Respondent Cost Burden: 
$420,815,258.45. There are no recordkeeping, maintenance, or capital 
start-up costs associated with this information collection. There is, 
however, a non-hour cost burden in the form of postage costs and filing 
fees.

Postage

    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 
approximately 167,161 submissions per year may be mailed. The USPTO 
estimates that the average submission will be mailed in a standard 
flat-rate priority mail envelope at a cost of $6.45, resulting in a 
total postage cost of $1,078,188.45.

Filing Fees

[[Page 32301]]



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                                                                Estimated
           IC No.                         Item                   annual        Filing fee    Total annual  (non-
                                                                responses    per response *   hour)  cost burden
                                                                        (a)             (b)      (a) x (b) = (c)
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1..........................  Information Disclosure                  90,000         $180.00       $16,200,000.00
                              Statements (IDS) that require
                              the fee set forth in 37 CFR
                              1.17(p).
1..........................  IDS that require the fee set         S: 27,500       S: $90.00     S: $2,475,000.00
                              forth in 37 CFR 1.17(p)              M: 2,500       M: $45.00       M: $112,500.00
                              (small entity).
3..........................  One-month Extension of Time            102,500         $200.00       $20,500,000.00
                              under 37 CFR 1.136(a).
3..........................  One-month Extension of Time          S: 38,000      S: $100.00     S: $3,800,000.00
                              under 37 CFR 1.136(a) (small         M: 4,000       M: $50.00       M: $200,000.00
                              entity).
3..........................  Two-month Extension of Time             43,600         $600.00       $26,160,000.00
                              under 37 CFR 1.136(a).
3..........................  Two-month Extension of Time          S: 22,000      S: $300.00     S: $6,600,000.00
                              under 37 CFR 1.136(a) (small         M: 2,100      M: $150.00       M: $315,000.00
                              entity).
3..........................  Three-month Extension of Time           40,000       $1,400.00       $56,000,000.00
                              under 37 CFR 1.136(a).
3..........................  Three-month Extension of Time        S: 32,000      S: $700.00    S: $22,400,000.00
                              under 37 CFR 1.136(a) (small         M: 3,000      M: $350.00     M: $1,050,000.00
                              entity).
3..........................  Four-month Extension of Time             2,500       $2,200.00        $5,500,000.00
                              under 37 CFR 1.136(a).
3..........................  Four-month Extension of Time          S: 2,500    S: $1,100.00     S: $2,750,000.00
                              under 37 CFR 1.136(a) (small           M: 350      M: $550.00       M: $192,500.00
                              entity).
3..........................  Five-month Extension of Time             3,500       $3,000.00       $10,500,000.00
                              under 37 CFR 1.136(a).
3..........................  Five-month Extension of Time          S: 3,700    S: $1,000.00     S: $3,700,000.00
                              under 37 CFR 1.136(a) (small           M: 250      M: $500.00       M: $125,000.00
                              entity).
5..........................  Statutory Disclaimer                    60,000         $160.00        $9,600,000.00
                              (including terminal
                              disclaimer).
5..........................  Statutory Disclaimer                     6,289         $160.00        $1,006,240.00
                              (including terminal
                              disclaimer) (small entity).
6..........................  Request for Expedited                      200         $900.00          $180,000.00
                              Examination of a Design
                              Application.
6..........................  Request for Expedited                   S: 160      S: $450.00        S: $72,000.00
                              Examination of a Design                 M: 40      M: $225.00         M: $9,000.00
                              Application (small entity).
7..........................  Notice of Appeal..............          22,500         $800.00       $18,000,000.00
7..........................  Notice of Appeal (small               S: 6,000      S: $400.00     S: $2,400,000.00
                              entity).                               M: 500      M: $200.00       M: $100,000.00
8..........................  Petition for Revival of an               3,500       $1,700.00        $5,950,000.00
                              Application for Patent
                              Abandoned Unintentionally.
8..........................  Petition for Revival of an               4,500         $850.00        $3,825,000.00
                              Application for Patent
                              Abandoned Unintentionally
                              (small entity).
9..........................  Petition for revival of an                 150       $1,700.00          $255,000.00
                              application for patent
                              abandoned for failure to
                              notify the office of a
                              foreign or international
                              filing.
9..........................  Petition for revival of an                  50         $850.00           $42,500.00
                              application for patent
                              abandoned for failure to
                              notify the office of a
                              foreign or international
                              filing (small entity).
17.........................  Copy of File Content Showing                 1         $130.00              $130.00
                              Redactions.
19.........................  Request for Continued                   78,400       $1,200.00       $94,080,000.00
                              Examination (RCE) Transmittal
                              (First Request).
19.........................  Request for Continued                S: 28,000      S: $600.00    S: $16,800,000.00
                              Examination (RCE) Transmittal        M: 5,600      M: $300.00     M: $1,680,000.00
                              (First Request) (small
                              entity).
19.........................  Request for Continued                   40,600       $1,700.00       $69,020,000.00
                              Examination (RCE) Transmittal
                              (Second and Subsequent
                              Requests).
19.........................  Request for Continued                S: 14,500      S: $850.00    S: $12,325,000.00
                              Examination (RCE) Transmittal        M: 2,900      M: $425.00     M: $1,232,500.00
                              (Second and Subsequent
                              Requests) (small entity).
20.........................  Request for Oral Hearing                   700          $1,300          $910,000.00
                              Before the Patent Trial and
                              Appeal Board.
20.........................  Request for Oral Hearing                S: 240      S: $650.00       S: $156,000.00
                              Before the Patent Trial and             M: 10      M: $325.00         M: $3,250.00
                              Appeal Board (small entity).
21.........................  Request for Suspension of                  520         $140.00           $72,800.00
                              Action or Deferral of
                              Examination Under 37 CFR
                              1.103(b), (c), or (d).
21.........................  Request for Suspension of               S: 190       S: $70.00        S: $13,300.00
                              Action or Deferral of                   M: 40       M: $35.00         M: $1,400.00
                              Examination Under 37 CFR
                              1.103(b), (c), or (d) (small
                              entity).
22.........................  Request for Voluntary                      300         $130.00           $39,000.00
                              Publication or Republication
                              (includes publication fee for
                              republication).
24.........................  Processing Fee Under 37 CFR                340         $130.00           $44,200.00
                              1.17(i) Transmittal.
32.........................  Filing a submission after                   60         $840.00           $50,400.00
                              final rejection (see 37 CFR
                              1.129(a)).
32.........................  Filing a submission after                S: 50      S: $420.00        S: $21,000.00
                              final rejection (see 37 CFR             M: 10      M: $210.00         M: $2,100.00
                              1.129(a)) (small entity).
33.........................  Correction of inventorship               2,100         $600.00        $1,260,000.00
                              after first office action on
                              the merits.
33.........................  Correction of inventorship              S: 750      S: $300.00       S: $225,000.00
                              after first office action on           M: 150      M: $150.00        M: $22,500.00
                              the merits (small entity).
34.........................  Request for correction in a             10,500         $140.00        $1,470,000.00
                              patent application relating
                              to inventorship or an
                              inventor name, or order of
                              names, other than in a
                              reissue application (37 CFR
                              1.48).
34.........................  Request for correction in a           S: 3,750       S: $70.00       S: $262,500.00
                              patent application relating            M: 750       M: $35.00        M: $26,250.00
                              to inventorship or an
                              inventor name, or order of
                              names, other than in a
                              reissue application (37 CFR
                              1.48).
                                                            ----------------------------------------------------
    Total..................  ..............................         740,425  ..............      $419,737,070.00
----------------------------------------------------------------------------------------------------------------
* ``S'' and ``M'' denote ``Small Entity'' and ``Micro Entity'' and reference the lower fee rates offered to
  small entities.


[[Page 32302]]

    Therefore, the USPTO estimates that the total annual (non-hour) 
cost burden for this collection will be $420,815,258.45, with 
$1,078,188.45 in postage costs and $419,737,070.00 in filing fees.

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: May 16, 2016.
Marcie Lovett,
Records Management Division Director, OCIO, United States Patent and 
Trademark Office.
[FR Doc. 2016-12042 Filed 5-20-16; 8:45 am]
 BILLING CODE 3510-16-P