[Federal Register Volume 82, Number 31 (Thursday, February 16, 2017)]
[Notices]
[Pages 10897-10903]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-03124]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
Initial Patent Applications
ACTION: Proposed collection; comment request.
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SUMMARY: The United States Patent and Trademark Office (USPTO), as
required by the Paperwork Reduction Act of 1995, invites comments on a
proposed extension of an information collection: Initial Patent
Applications.
DATES: Written comments must be submitted on or before April 17, 2017.
ADDRESSES: You may submit comments by any of the following methods:
Email: [email protected]. Include ``0651-
0032 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 the attention of 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 at [email protected].
Additional information about this collection is also available at
http://www.reginfo.gov under ``Information Collection Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
The USPTO is required by Title 35 of the United States Code,
including 35 U.S.C. 131, to examine applications for patents. The USPTO
administers the patent statutes through various rules in Chapter 37 of
the Code of Federal Regulations, including 37 CFR 1.16 through 1.84.
Each patent applicant must provide sufficient information to allow the
USPTO to properly examine the application to determine whether it meets
the criteria set forth in the patent statues and regulations for
issuance as a
[[Page 10898]]
patent. For example, the patent statutes and regulations require that
an application for patent include the following information:
(1) a specification containing a description of the invention and at
least one claim defining the property right sought by the applicant;
(2) a drawing(s) or photograph(s), where necessary, for an
understanding of the invention;
(3) an oath or declaration signed by the applicant; and
(4) a filing fee.
The following types of patent applications are covered under the
present information collection:
New original utility, plant, design, and provisional
applications,
Continuation/divisional applications of international
applications,
Continued prosecution applications (design), and
Continuations/divisionals and continuation-in-part
applications of utility, plant, and design applications.
In addition, the present collection covers petitions to accept an
unintentionally delayed priority or benefit claim, petitions under 37
CFR 1.47 (pre-Leahy-Smith America Invents Act (AIA)) to accept a filing
by other than all of the inventors or a person not the inventor,
petitions under 37 CFR 1.6(g) to accord an application under 37 CFR
1.495(b) a receipt date, and papers filed under 37 CFR 1.41(c),
1.41(a)(2) (pre-AIA), 1.48(d), 1.53(c)(2), and 1.53(c)(2) (pre-Patent
Law Treaty (PLT) (AIA)) (the particular items covered under this
collection are identified in more detail at Table 1 below).
Most applications for patent, including new utility, design, and
provisional applications, can be submitted to the USPTO through EFS-
Web. EFS-Web is the USPTO's system for electronically filing of patent
correspondence and is accessible via the Internet on the USPTO Web
site. The Legal Framework for EFS-Web, available at http://www.uspto.gov/patents/process/file/efs/guidance/Newlegalframework.jsp,
provides a listing of patent applications and documents permitted to be
filed via EFS-Web and patent applications and documents not permitted
to be filed via EFS-Web.
There are 69 forms in this collection. This total incudes versions
of the inventor's oath and declaration forms that were created to
comply with the changes resulting from the AIA, e.g., forms AIA/01,
AIA/02, etc., as well as pre-AIA versions of the oath and declaration
forms, e.g., forms SB/01, SB/02, etc., and foreign language
translations of the oath and declaration forms, e.g., forms AIA/01CN,
SB/02CN, etc. Items in this collection that do not have forms
associated with them include the petitions and the papers filed under
37 CFR 1.41(c), 1.41(a)(2) (pre-AIA), 1.48(d), 1.53(c)(2), and
1.53(c)(2) (pre-PLT (AIA)).
II. Method of Collection
By mail, hand delivery, or facsimile (except that, in accordance
with 37 CFR 1.6(d), the items covered under this collection that may be
submitted by facsimile are limited to the petitions and the papers
filed under 37 CFR 1.41(c), 1.41(a)(2) (pre-AIA), 1.48(d), 1.53(c)(2),
and 1.53(c)(2) (pre-PLT (AIA))). Most of these items can also be
submitted through EFS-Web.
III. Data
OMB Number: 0651-0032.
Form Number(s): PTO/SB/01, 01A, 02, 02A, 02B, 02CN, 02DE, 02ES,
02FR, 02IT, 02JP, 02KR, 02LR, 02NL, 02RU, 02SE, 03, 03A, 04, 06, 07, 14
EFS-Web, 16, 16 EFS-Web, 17, 29, 29A, and 101-110. This collection also
includes the following AIA forms: PTO/AIA01 through AIA04, AIA08
through AIA11, AIA14 and 15, AIA18 and 19, and AIA01CN and 01DE, 01ES,
01FR, 01IT, 01JP, 01KR, 01NL, 01RU, 01SE, 02CN, 02DE, 02ES, 02FR, 02IT,
02JP, 02KR, 02NL, 02RU, and 02SE.
Type of Review: Revision of a currently approved collection.
Affected Public: Individuals or households; businesses or other for
profits; not-for-profits institutions; and the Federal Government.
Estimated Number of Respondents: 470,403 responses per year. The
USPTO estimates that approximately 130,313 of these responses will be
from small entities. This estimate reflects a 25% small entity
responses rate for all items in the collection, except for design-
related items in the collection, for which a 50% small entity response
rate is estimated. The USPTO also estimates that 406,995 of the
responses will be filed electronically.
Estimated Time Per Response: The USPTO estimates that it takes the
public approximately 30 minutes to 40 hours (0.50 to 40 hours) to
complete this information, depending on the complexity of the request.
This includes the time to gather the necessary information, prepare the
application, petition, or paper submission, and submit the completed
request to the USPTO. The USPTO calculates that, on balance, it takes
the same amount of time to complete these steps and submit items to the
USPTO, whether the applicant submits in paper form or electronically.
Estimated Total Annual Respondent Burden Hours: 12,776,282 hours
per year.
Estimated Total Annual Respondent Cost Burden: $5,238,275,620 per
year. The USPTO expects that all of the information in this collection
will be prepared by an attorney. Using the professional hourly rate of
$410 for attorneys in private firms, the USPTO estimates that the total
respondent cost for this collection is $5,238,275,620 per year.
Table 1--Total Hourly Burden
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Estimated Estimated
time for Estimated annual Estimated annual
IC # Item response annual burden Rate ($/hr) burden
(hours) responses hours
(a) (b) (a) x (b) = (d) (c) x (d) = (e)
(c)
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1............................................. Original New Utility 40 300 12,000 $410 $4,920,000.00
Applications--No Application
Data Sheet.
1............................................. Electronic Original New Utility 40 13,700 548,000 410 224,680,000.00
Applications--No Application
Data Sheets.
2............................................. Original New Plant Applications-- 9 300 2,700 410 1,107,000.00
No Application Data Sheet.
3............................................. Original New Design Applications-- 7 100 700 410 287,000.00
No Application Data Sheet.
[[Page 10899]]
3............................................. Electronic Original Design 7 3,200 22,400 410 9,184,000.00
Applications--No Application
Data Sheet.
4............................................. Original New Utility 40 5,400 216,000 410 88,560,000.00
Applications--Application Data
Sheet.
4............................................. Electronic Original New Utility 40 265,600 10,624,000 410 4,355,840,000.00
Applications--Application Data
Sheet.
5............................................. Original New Plant Applications-- 9 1,100 9,900 410 4,059,000.00
Application Data Sheet.
6............................................. Original New Design Applications-- 7 900 6,300 410 2,583,000.00
Application Data Sheet.
6............................................. Electronic New Design 7 42,800 299,600 410 122,836,000.00
Applications--Application Data
Sheet.
7............................................. Continuation/Divisional of an 4 200 800 410 328,000.00
International Application.
7............................................. Electronic Continuation/ 4 10,800 43,200 410 17,712,000.00
Divisional of an International
Application.
8............................................. Utility Continuation/Divisional 4 1,500 6,000 410 2,460,000.00
Applications.
8............................................. Electronic Utility Continuation/ 4 73,500 294,000 410 120,540,000.00
Divisional Applications.
9............................................. Plant Continuation/Divisional 3 200 600 410 246,000.00
Application.
10............................................ Design Continuation/Divisional 1 100 100 410 41,000.00
Application.
10............................................ Electronic Design Continuation/ 1 2,900 2,900 410 1,189,000.00
Divisional Applications.
11............................................ Continued Prosecution 1 20 20 410 8,200.00
Applications--Design (Request
Transmittal and Receipt).
11............................................ Electronic Continued Prosecution 1 880 880 410 360,800.00
Applications--Design (Request
Transmittal and Receipt).
12............................................ Utility Continuation-in-Part 20 300 6,000 410 2,460,000.00
Applications.
12............................................ Electronic Utility Continuation- 20 13,300 266,000 410 109,060,000.00
in-Part Applications.
13............................................ Plant Continuation-in-Part 5 1 5 410 2,050.00
Applications.
14............................................ Design Continuation-in-Part 3 20 60 410 24,600.00
Applications.
14............................................ Electronic Design Continuation-in- 3 830 2,490 410 1,020,900.00
Part Applications.
15............................................ Provisional Application for 18 4,000 72,000 410 29,520,000.00
Patent Cover Sheet.
15............................................ Electronic Provisional 18 184,000 331,200 410 135,792,000.00
Application for Patent Cover
Sheet.
16............................................ Petition to Accept 1 100 100 410 41,000.00
Unintentionally Delay Priority/
Benefit Claim.
16............................................ Electronic Petition to Accept 1 3,400 3,400 410 1,394,000.00
Unintentionally Delayed Priority/
Benefit Claim.
17............................................ Petition Under 37 CFR 1.47 (pre- 1 1 1 410 4410
AIA) to Accept a Filing by Other
Than all the Inventors or a
Person not the Inventor.
17............................................ Electronic Petition Under 37 CFR 1 50 50 410 20,500.00
1.47 (pre-AIA) to Accept a
Filing by Other Than all the
Inventors or a Person not the
Inventor.
18............................................ Petition under 37 CFR 1.6(g) to 0.50 1 1 410 410.00
According the Application under
37 CFR 1.495(b) a Receipt Date.
19............................................ Papers filed under the following: 0.75 200 150 $410 $61,500.00
1.41(c) or 1.41(a)(2) (pre-AIA)--
to supply the name or names of
the inventor or inventors after
the filing date without a cover
sheet as prescribed by 37 CFR
1.51 (c)(1) in a provisional
application..
1.48(d)--for correction of
inventorship in a provisional
application..
1.53 (c)(2) or 1.53(c)(2) (pre-
PLT (AIA))--to convert a
nonprovisional application filed
under 1.53(b) to a provisional
application filed under 1.53(c).
[[Page 10900]]
19............................................ Electronic Papers filed under the 0.75 6,300 4.725 $410 $1,937,250.00
following:.
1.41(c) or 1.41(a)(2) (pre-AIA)--
to supply the name or names of
the inventor or inventors after
the filing date without a cover
sheet as prescribed by 37 CFR
1.51 (c)(1) in a provisional
application..
1.48(d)--for correction of
inventorship in a provisional
application..
1.53 (c)(2) or 1.53(c)(2) (pre-
PLT (AIA))--to convert a
nonprovisional application filed
under 1.53(b) to a provisional
application filed under 1.53(c).
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Total..................................... ................................. ........... 470,403 12,776,282 ........... $5,238,275,620.00
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Estimated Total Annual Non-hour Respondent Cost Burden:
$1,195,268,438.53.
There is no maintenance, operation, capital start-up, or
recordkeeping costs associated with this information collection.
However, this collection does have annual (non-hour) costs in the form
of postage and drawing costs, as well as filing fees.
Although the USPTO prefers that the items in this collection be
submitted electronically, the items may be submitted by mail through
the United States Postal Service (USPS). The USPTO estimates that the
average cost for sending a patent application by Priority Mail
Express[supreg] will be $19.99 and that up to 14,441 may be mailed to
the USPTO, resulting in $288,675.59 in the postage costs.
The USPTO estimates that the petitions and other papers covered
under this collection, if submitted by mail, will be sent by first-
class mail; a postage rate of $0.94. The USPTO estimates that up to 301
submissions may be mailed per year, thus resulting in $282.94 in first-
class mailing costs.
Patent applicants can submit drawings with the applications covered
under this collection. As a basis for estimating the drawing costs, the
USPTO expects that all applicants will have their drawings prepared by
patent illustration firms. Estimates for the drawings can vary greatly,
depending on the number of figures that need to be produced, the total
number of pages for the drawings, and the complexity of the drawings.
Because there are many variables involved, the USPTO is using the
average of the cost ranges found for the application drawings to derive
the estimated cost per sheet that is then used to calculate the total
drawing costs.
The utility, plant, and design continuation and divisional
applications use the same drawings as the initial filings, so they are
not included in these totals. The continuation-in-part applications may
use some of the same drawings as the initial applications and some new
drawings may be submitted, so those numbers are included in these
estimates. The drawings for the continued prosecution applications also
are included in the drawing cost totals.
The USPTO estimates that total drawing costs is $608,610,280. The
break-down of costs for utility, design, plant, and provisional
drawings is broken down in table 2 below.
Table 2--Drawing Cost to Respondents
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Estimated annual Drawing cost amounts Drawing totals (c) (a)
IC # Item response (a) ($) (b) x (b)
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Utility Application Drawings... 298,800 $1,150.00 $343,620,000.00
Design Application Drawings.... 47,120 1,930.00 90,941,600.00
Plant Application Drawings 1,601 680.00 1,088,680.00
(Photographs).
Provisional Application 150,400 1,150.00 172,960,000.00
Drawings.
Total Drawing Costs............ 497,921 608,610,280.00
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In this collection, there is also an annual (non-hour) cost burden
in the way of filing fees. Many of the fees had previously been housed
within information collection 0651-0072 (America Invents Act Section 10
Patent Fee Adjustments), but these fees have been returned to this
collection. The total estimated filing costs for this collection is
$586,369,200 and is detailed in table 3 below.
[[Page 10901]]
Table 3--Total Non-Hour Respondent Cost
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Estimated annual
IC # Item response (a) Amount (b) Totals (c) (a) x (b)
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1, 4........................................ Basic Filing fee--Utility 235,200 $280.00 $65,856,000.00
(Paper Filing--Also Requires
Non-Electronic Filing Fee
Under 1.16(t)) (large entity).
1, 4........................................ Basic Filing fee--Utility 80,500 140.00 11,270,000.00
(Paper Filing--Also Requires
Non-Electronic Filing Fee
Under 1.16(t)) (small entity).
1, 4........................................ Basic Filing fee--Utility 17,000 70.00 1,190,000.00
(Paper Filing--Also Requires
Non-Electronic Filing Fee
Under 1.16(t)) (micro entity).
1, 4........................................ Utility Application Size Fee-- 13,500 400.00 5,400,000.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (large
entity).
1, 4........................................ Utility Application Size Fee-- 6,500 200.00 1,300,000.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (small
entity).
1, 4........................................ Utility Application Size Fee-- 160 100.00 16,000.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (micro
entity).
1, 4........................................ Utility Search Fee (large 233,900 600.00 140,340,000.00
entity).
1, 4........................................ Utility Search Fee (small 79,600 300.00 23,880,000.00
entity).
1, 4........................................ Utility Search Fee (micro 16,700 150.00 2,505,000.00
entity).
1, 4........................................ Utility Examination Fee (large 234,900 720.00 169,128,000.00
entity).
1, 4........................................ Utility Examination Fee (small 80,000 360.00 28,800,000.00
entity).
1, 4........................................ Utility Examination Fee (micro 16,800 180.00 3,024,000.00
entity).
2, 5........................................ Basic Filing Fee--Plant (large 570 180.00 102,600.00
entity).
2, 5........................................ Basic Filing Fee--Plant (small 580 90.00 52,200.00
entity).
2, 5........................................ Basic Filing Fee--Plant (micro 10 45.00 450.00
entity).
2, 5........................................ Plant Application Size Fee--for 0 400.00 0.00
Each Additional 50 Sheets That
Exceeds 100 Sheets (large
entity).
2, 5........................................ Plant Application Size Fee--for 0 200.00 0.00
Each Additional 50 Sheets That
Exceeds 100 Sheets (small
entity).
2, 5........................................ Plant Application Size Fee--for 0 100.00 0.00
Each Additional 50 Sheets That
Exceeds 100 Sheets (micro
entity).
2, 5........................................ Plant Search Fee (large entity) 570 380.00 216,600.00
2, 5........................................ Plant Search Fee (small entity) 575 190.00 109,250.00
2, 5........................................ Plant Search Fee (micro entity) 10 95.00 950.00
2, 5........................................ Plant Examination Fee (large 560 580.00 324,800.00
entity).
2, 5........................................ Plant Examination Fee (small 570 290.00 165,300.00
entity).
2, 5........................................ Plant Examination Fee (micro 10 145.00 1,450.00
entity).
3, 6........................................ Basic Filing Fee--Design (large 20,100 180.00 3,618,000.00
entity).
3, 6........................................ Basic Filing Fee--Design (small 17,900 90.00 1,611,000.00
entity).
3, 6........................................ Basic Filing Fee--Design (micro 4,700 45.00 211,500.00
entity).
3, 6........................................ Basic Filing Fee--Design (CPA) 550 180.00 99,000.00
(large entity).
3, 6........................................ Basic Filing Fee--Design (CPA) 340 90.00 30,600.00
(small entity).
3, 6........................................ Basic Filing Fee--Design (CPA) 30 45.00 1,350.00
(micro entity).
3, 6........................................ Design Application Size Fee-- 115 400.00 46,000.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (large
entity).
3, 6........................................ Design Application Size Fee-- 60 200.00 12,000.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (small
entity).
3, 6........................................ Design Application Size Fee-- 1 100.00 100.00
for Each Additional 50 Sheets
That Exceeds 100 Sheets (micro
entity).
3, 6........................................ Design Search Fee (large 20,400 120.00 2,448,000.00
entity).
3, 6........................................ Design Search Fee (small 18,000 60.00 1,080,000.00
entity).
3, 6........................................ Design Search Fee (micro 4,600 30.00 138,000.00
entity).
3, 6........................................ Design Examination Fee (large 20,200 460.00 9,292,000.00
entity).
3, 6........................................ Design Examination Fee (small 17,800 230.00 4,094,000.00
entity).
3, 6........................................ Design Examination Fee (micro 4,600 115.00 529,000.00
entity).
15.......................................... Provisional Application Size 4,300 400.00 1,720,000.00
Fee--for Each Additional 50
Sheets That Exceeds 100 Sheets
(large entity).
[[Page 10902]]
15.......................................... Provisional Application Size 4,600 200.00 920,000.00
Fee--for Each Additional 50
Sheets That Exceeds 100 Sheets
(small entity).
15.......................................... Provisional Application Size 135 100.00 13,500.00
Fee--for Each Additional 50
Sheets That Exceeds 100 Sheets
(micro entity).
15.......................................... Provisional Application Filing 56,100 260.00 14,586,000.00
Fee (large entity).
15.......................................... Provisional Application Filing 68,800 130.00 8,944,000.00
Fee (small entity).
15.......................................... Provisional Application Filing 30,000 65.00 1,950,000.00
Fee (micro entity).
16.......................................... Surcharge--Late Filing Fee, 86,400 140.00 12,096,000.00
Search Fee, Examination Fee,
Inventor's Oath or
Declaration, or Application
Filed Without at least One
Claim or by Reference (large
entity).
16.......................................... Surcharge--Late Filing Fee, 38,200 70.00 2,674,000.00
Search Fee, Examination Fee,
Inventor's Oath or
Declaration, or Application
Filed Without at least One
Claim or by Reference (small
entity).
16.......................................... Surcharge--Late Filing Fee, 4,500 35.00 157,500.00
Search Fee, Examination Fee,
Inventor's Oath or
Declaration, or Application
Filed Without at least One
Claim or by Reference (micro
entity).
16.......................................... Surcharge--Late Provisional 1,800 60.00 108,000.00
Filing Fee or Cover Sheet
(large entity).
16.......................................... Surcharge--Late Provisional 2,700 30.00 81,000.00
Filing Fee or Cover Sheet
(small entity).
16.......................................... Surcharge--Late Provisional 3,000 15.00 45,000.00
Filing Fee or Cover Sheet
(micro entity).
17.......................................... Petition Under 37 CFR 1.47 (pre- 1 200.00 200.00
AIA) to Accept a Filing by
Other Than all the Inventors
or a Person not the Inventor
(large entity).
17.......................................... Petition Under 37 CFR 1.47 (pre- 1 100.00 100.00
AIA) to Accept a Filing by
Other Than all the Inventors
or a Person not the Inventor
(small entity).
17.......................................... Petition Under 37 CFR 1.47 (pre- 1 50.00 50.00
AIA) to Accept a Filing by
Other Than all the Inventors
or a Person not the Inventor
(micro entity).
17.......................................... Electronic Petition Under 37 38 200.00 7,600.00
CFR 1.47 (pre-AIA) to Accept a
Filing by Other Than the
Inventors or a Person not the
Inventor (large entity).
17.......................................... Electronic Petition Under 37 9 100.00 900.00
CFR 1.47 (pre-AIA) to Accept a
Filing by Other Than the
Inventors or a Person not the
Inventor (small entity).
17.......................................... Electronic Petition Under 37 3 50.00 150.00
CFR 1.47 (pre-AIA) to Accept a
Filing by Other Than the
Inventors or a Person not the
Inventor (micro entity).
18.......................................... Petition under 37 CFR 1.6(g) to 1 0.00 0.00
accord the Application under
37 CFR 1.495(b) a Receipt Date.
Each Independent Claim in 55,100 420.00 23,142,000.00
Excess of Three (large entity).
Each Independent Claim in 20,500 210.00 4,305,000.00
Excess of Three (small entity).
Each Independent Claim in 1,900 105.00 199,500.00
Excess of Three (micro entity).
Each Claim in Excess of 20 362,900 80.00 29,032,000.00
(large entity).
Each Claim in Excess of 20 199,400 40.00 7,976,000.00
(small entity).
[[Page 10903]]
Each Claim in Excess of 20 12,600 20.00 252,000.00
(micro entity).
Multiple Dependent Claim (large 1,200 780.00 936,000.00
entity).
Multiple Dependent Claim (small 800 390.00 312,000.00
entity).
Multiple Dependent Claim (micro 90 195.00 17,550.00
entity).
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Total Filing Fee........................ ............................... 2,102,690 ....................... 586,369,200.00
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The USPTO estimates that the total annual (non-hour) respondent
cost burden for this collection in the form of postage costs, drawing
costs, and filing fees is estimated to be approximately
$1,164,394,638.53 per year.
IV. Request for Comments
Comments submitted in response to this notice will be summarized
and/or included in the USPTO's request for OMB approval. All comments
will become a matter of public record.
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.
Dated: February 9, 2017.
Rhonda Foltz,
Office of Information Management Services Director, OCIO, United States
Patent and Trademark Office.
[FR Doc. 2017-03124 Filed 2-15-17; 8:45 am]
BILLING CODE 3510-16-P