[Federal Register Volume 81, Number 162 (Monday, August 22, 2016)]
[Notices]
[Pages 56610-56612]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-19921]



[[Page 56610]]

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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 October 21, 
2016.

ADDRESSES: You may submit comments by any of the following methods:
     Email: [email protected]. Include ``0651-
0033 comment'' in the subject line of the message.
     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.
     Federal Rulemaking Portal: http://www.regulations.gov.

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]. Additional information about this 
collection is also available at http://www.reginfo.gov under 
``Information Collection Review.''

SUPPLEMENTARY INFORMATION:

I. Abstract

    This collection of information encompasses the action an applicant 
must take to submit an issue fee payment to the USPTO. 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 (applicant may petition the Director to accept a delayed 
payment with a satisfactory showing that the delay was unintentional; 
the Petition for Revival of an Application for Patent Abandoned 
Unintentionally (Form PTO/SB/64) 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.
    This collection of information also encompasses several actions 
that may be taken after issuance of a patent, pursuant to Chapter 25 of 
Title 35 U.S.C. A certificate of correction may be requested to correct 
an error or errors in the patent. If the USPTO determines that the 
request should be approved, the USPTO will issue a certificate of 
correction. For an original patent that is believed to be wholly or 
partly inoperative or invalid, the assignee(s) or inventor(s) may apply 
for reissue of the patent, which entails several formal requirements, 
including provision of an oath or declaration specifically identifying 
at least one error being relied upon as the basis for reissue and 
stating the reason for the belief that the original patent is wholly or 
partly inoperative or invalid (e.g., a defective specification or 
drawing, or claiming more or less than the patentee had the right to 
claim in the patent). The rules outlining these procedures are found at 
37 CFR 1.171-1.178 and 1.322-1.325.

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/52/53/56/141, PTO/AIA/05/06/07, 
and PTOL-85B.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; and not-for-profit institutions.
    Estimated Number of Respondents: 379,600 responses per year. The 
USPTO estimates that approximately 25% of these responses will be from 
small entities (22%) and micro entities (3%).
    Estimated Time per Response: The USPTO estimates that it will take 
the public from 12 minutes (0.20 hours) to 5 hours to gather the 
necessary information, prepare the appropriate form or document, and 
submit the information to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 207,065 hours.
    Estimated Total Annual Respondent Cost Burden: $35,734,150.00. The 
USPTO expects that the information in this collection will be prepared 
by attorneys at an estimated rate of $410 per hour, except for the 
Issue Fee Transmittal, which will be prepared by paraprofessionals at 
an estimated rate of $125 per hour. Therefore, the USPTO estimates that 
the respondent cost burden for this collection will be approximately 
$35,734,150.00 per year.

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                                                                                         Estimated       Estimated
         IC No.                     Item           Estimated time for  response (hr)      annual       annual burden    Rate ($/hr)    Total cost burden
                                                                                         responses         hours                            ($/hr)
                                                   (a)..............................             (b)     (a) x (b) =             (d)     (c) x (d) = (e)
                                                                                                                 (c)
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1.......................  Certificate of           1................................          28,000       28,000.00         $410.00      $11,480,000.00
                           Correction (PTO/SB/44).
2.......................  Petition to Correct      0.50 (30 minutes)................             850          425.00          410.00          174,250.00
                           Assignee After Payment
                           of Issue Fee (37 CFR
                           3.81(b)) (PTO/SB/141).
3.......................  Reissue Documentation..  5................................             950        4,750.00          410.00        1,947,500.00
4.......................  Reissue Patent           0.20 (12 minutes)................             950          190.00          410.00           77,900.00
                           Application
                           Transmittal (PTO/SB/
                           50)Office (RO/US) (PTO-
                           1382).

[[Page 56611]]

 
5.......................  Reissue Application      0.50 (30 minutes)................           1,350          675.00          410.00          276,750.00
                           Declaration by the
                           Inventor or the
                           Assignee (PTO/SB/51/52
                           and PTO/AIA/05/06) or
                           Substitute Statement
                           in Lieu of an Oath or
                           Declaration for
                           Reissue Patent
                           Application (35 U.S.C.
                           Sec.   115(d) and 37
                           CFR 1.64) (PTO/AIA/07).
6.......................  Supplemental             0.30 (18 minutes)................             250           75.00          410.00           30,750.00
                           Declaration for
                           Reissue Patent
                           Application to Correct
                           ``Errors'' Statement
                           (37 CFR 1.175) (PTO/SB/
                           51S).
7.......................  Reissue Application:     0.20 (12 minutes)................           1,300          260.00          410.00          106,600.00
                           Consent of Assignee;
                           Statement of Non-
                           assignment (PTO/SB/53).
8.......................  Reissue Application Fee  0.20 (12 minutes)................             950          190.00          410.00           77,900.00
                           Transmittal Form (PTO/
                           SB/56).
9.......................  Issue Fee Transmittal    0.50 (30 minutes)................          35,000       17,500.00          125.00        2,187,500.00
                           (PTOL-85B).
10......................  Issue Fee Transmittal    0.50 (30 minutes)................         310,000      155,000.00          125.00       19,375,000.00
                           (electronic) (PTOL-
                           85B).
                                                  ------------------------------------------------------------------------------------------------------
    Totals..............  .......................  .................................         379,600      207,065.00  ..............       35,734,150.00
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    Estimated Total Annual Non-hour Respondent Cost Burden: 
$274,403,312.19. There are no capital start-up, maintenance, or 
recordkeeping costs associated with this information collection. 
However, this collection does have annual (non-hour) costs in the forms 
of postage costs.

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                                                                              Estimated annual                                    Total non-hour cost
               IC No.                 Information collection instrument          responses                Filing fee ($)              burden (yr)
                                                                                               (a)                        (b)            (a) x (b) = (c)
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1..................................  Certificate of correction.........                     12,200                    $100.00              $1,220,000.00
3..................................  Basic filing fee--Reissue (Large                          850                     280.00                 238,000.00
                                      entity).
3..................................  Basic filing fee--Reissue (Small                          250                     140.00                  35,000.00
                                      entity).
3..................................  Basic filing fee--Reissue (Micro                           10                      70.00                     700.00
                                      entity).
3..................................  Reissue Search Fee (Large entity).                        850                     600.00                 510,000.00
3..................................  Reissue Search Fee (Small entity).                        250                     300.00                  75,000.00
3..................................  Reissue Search Fee (Micro entity).                         10                     150.00                   1,500.00
3..................................  Reissue independent claims in                           1,150                     420.00                 483,000.00
                                      excess of three (Micro entity).
3..................................  Reissue independent claims in                             200                     210.00                  42,000.00
                                      excess of three (Small entity).
3..................................  Reissue independent claims in                              15                     105.00                   1,575.00
                                      excess of three (Micro entity).
3..................................  Reissue claims in excess of 20                          7,535                      80.00                 602,800.00
                                      (Large entity).
3..................................  Reissue claims in excess of 20                          2,030                      40.00                  81,200.00
                                      (Small entity).
3..................................  Reissue claims in excess of 20                             90                      20.00                   1,800.00
                                      (Micro entity).
8..................................  Reissue Application Size Fee--for                          25                     400.00                  10,000.00
                                      each additional 50 sheets that
                                      exceeds 100 sheets (Large entity).
8..................................  Reissue Application Size Fee--for                           5                     200.00                   1,000.00
                                      each additional 50 sheets that
                                      exceeds 100 sheets (Small entity).
8..................................  Reissue Application Size Fee--for                           0                     100.00                       0.00
                                      each additional 50 sheets that
                                      exceeds 100 sheets (Micro entity).
8..................................  Reissue Examination Fee (Large                            840                   2,160.00               1,814,400.00
                                      entity).
8..................................  Reissue Examination Fee (Small                            245                   1,080.00                 264,600.00
                                      entity).
8..................................  Reissue Examination Fee (Micro                             10                     540.00                   5,400.00
                                      entity).

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9, 10..............................  Utility issue fee (Large entity)..                    236,380                     960.00             226,924,800.00
9, 10..............................  Utility issue fee (Small entity)..                     57,830                     480.00              27,758,400.00
9, 10..............................  Utility issue fee (Micro entity)..                      5,625                     240.00               1,350,000.00
9, 10..............................  Design issue fee (Large entity)...                     15,230                     560.00               8,528,800.00
9, 10..............................  Design issue fee (Small entity)...                     11,150                     280.00               3,122,000.00
9, 10..............................  Design issue fee (Micro entity)...                      2,210                     140.00                 309,400.00
9, 10..............................  Plant issue fee (Large entity)....                        610                     760.00                 463,600.00
9, 10..............................  Plant issue fee (Small entity)....                        655                     380.00                 248,900.00
9, 10..............................  Plant issue fee (Micro entity)....                         10                     190.00                   1,900.00
9, 10..............................  Reissue issue fee (Large entity)..                        265                     960.00                 254,400.00
9, 10..............................  Reissue issue fee (Small entity)..                         90                     480.00                  43,200.00
9, 10..............................  Reissue issue fee (Micro entity)..                          5                     240.00                   1,200.00
                                                                        --------------------------------------------------------------------------------
    Total..........................  ..................................                    356,625  .........................             274,394,575.00
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    Customers may incur postage costs when submitting the information 
in this collection by the USPTO by mail. The USPTO estimates that the 
average first-class postage cost for a mailed submission will be 49 
cents and that approximately 5% submissions will be mailed to the USPTO 
per year, for a total estimated postage cost of $8,737.19 per year.
    The total annual (non-hour) respondent cost burden for this 
collection is estimated to be approximately $274,403,312.19 per year.

IV. Request for Comments

    Comments submitted in response to this notice will be summarized 
and/or included in the request for OMB approval. All comments will 
become a matter of public record.
    The USPTO is soliciting public comments to:
    (a) Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility; (b) 
Evaluate the accuracy of the agency's estimate of the burden of the 
proposed collection of information, including the validity of the 
methodology and assumptions used; (c) Enhance the quality, utility, and 
clarity of the information to be collected; and (d) Minimize the burden 
of the collection of information on those who are to respond, including 
through the use of appropriate automated, electronic, mechanical, or 
other technological collection techniques or other forms of information 
technology, e.g., permitting electronic submission of responses.

Marcie Lovett,
Records Management Division Director, Office of the Chief Information 
Officer.
[FR Doc. 2016-19921 Filed 8-19-16; 8:45 am]
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