[Federal Register Volume 83, Number 141 (Monday, July 23, 2018)]
[Notices]
[Pages 34834-34835]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-15612]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
Proposed Collection; Comment Request; Fee Deficiency Submissions
AGENCY: United States Patent and Trademark Office, Commerce.
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 to comment on the proposed renewal of this
information collection, as required by the Paperwork Reduction Act.
DATES: Written comments must be submitted on or before September 21,
2018.
ADDRESSES: Written comments may be submitted by any of the following
methods:
Email: [email protected]. Include ``0070 Fee
Deficiency Submissions'' in the subject line of the message.
Federal Rulemaking Portal: http://www.regulations.gov.
Mail: Marcie Lovett, Director, Records and Information
Governance Division, Office of the Chief Technology 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
(USPTO), P.O. Box 1450, Alexandria, VA 22313- 1450; by telephone at
571-272-7728; or by email at [email protected] with ``Information
Collection: 0070'' 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 Leahy-Smith America Invents Act (``Act'') was enacted into law
on September 16, 2011 (Pub. L. 112-29, 125 Stat. 283 (2011)). Under
section 10(b) of the Act, eligible small entities shall receive a 50
percent fee reduction from the undiscounted fees for filing, searching,
examining, issuing, appealing, and maintaining patent applications and
patents. The Act further provides that micro entities shall receive a
75 percent fee reduction from the undiscounted fees for filing,
searching, examining, issuing, appealing, and maintaining patent
applications and patents.
This information collection covers the submissions made by patent
applicants and patentees to excuse fee payment errors that result from
changes in their small or micro entity status, in accordance with the
procedures set forth in 37 CFR 1.28(c) and 1.29(k). Specifically, 37
CFR 1.28(c) provides a procedure by which patent applicants and
patentees may be excused for erroneous payments of fees in the small
entity amount. 37 CFR 1.29(k) provides a procedure by which patent
applicants and patentees may be excused for erroneous payments of fees
in the micro entity amount.
Applicants who change their entity status may need to submit
additional payments in order to have their applications associated with
the correct category. A small or micro entity can be established in
good faith, and a patent applicant pay a maintenance fee as a small or
micro entity in good faith but later discover that such status was
established in error or that through errors USPTO was not notified of a
loss of entitlement to such status. The USPTO will excuse the error if
a deficiency payment and other requirements are submitted in compliance
with 37 CFR 1.28(c) or 1.29(k). This is known as a ``1.28(c) petition''
or ``1.29(k) petition.''
Thus, this information collection is necessary so that patent
applicants and patentees may pay the balance of fees due (i.e., fee
deficiency payment) in instances when the micro or small entity fee
amount was paid in error. The USPTO requires the information in order
to process and properly record a fee deficiency payment, and to avoid
questions arising later, either for the USPTO or for the applicant or
patentee as to whether the proper fees have been paid in the
application or patent. Failure to correct to the error in entity status
will result in the charging of patent application fees that correspond
with the correct entity status at the discretion of the Agency. If
these fees are not paid, patent protection lapses and rights provided
by the patent are no longer enforceable.
II. Method of Collection
The items in this collection may be submitted online using EFS-Web,
the USPTO's Web-based electronic filing system, or on paper by either
mail or hand delivery.
III. Data
OMB Number: 0651-0070.
IC Instruments: There are no forms in this collection.
Type of Review: Renewal of a previously existing information
collection.
Affected Public: Businesses or other for-profits; not-for-profit
institutions; individuals or households.
Estimated Number of Respondents: 2,500 responses per year. Of this
total, the USPTO expects that 2,450 responses will be submitted
electronically through EFS-Web and 50 will be submitted on paper.
Estimated Time per Response: The USPTO estimates that it will take
the public approximately 2 hours to submit the information in this
collection,
[[Page 34835]]
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 information
collection is shown in the table below.
Estimated Total Annual Hour Burden: 5,000 hours.
Estimated Total Annual Cost Burden (Hourly): $2,190,000.00. The
USPTO expects that attorneys will complete the instruments associated
with this information collection. The professional hourly rate used for
the calculation is the $438 average rate for attorneys in private firms
as published in the 2017 Report of the Economic Survey by the American
Intellectual Property Law Association (AIPLA). Using this hourly rate,
the USPTO estimates $2,190,000.00 per year for the total hourly costs
associated with respondents.
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Estimated time Estimated
IC No. Information collection instrument for response annual Estimated annual Rate ($/hr) Total cost ($/hr)
(hours) responses burden hours
................................. (a) (b) (a) x (b) = (c) (d) (c) x (d) = (e)
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1.............................. Submissions Under 37 CFR 1.28(c). 2 1,875 3,750 $438.00 $1,642,500.00
2.............................. Submissions Under 37 CFR 1.29(k). 2 625 1,250 438.00 547,500.00
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Total...................... ................................. .............. 2,500 5,000 .............. 2,190,000.00
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Estimated Total Annual Cost Burden (Non-Hourly): $335.00. There are
no capital startup, maintenance, or operating fees are associated with
this collection. There are, however, postage costs associated with this
collection. Specifically, customers may incur postage costs when
submitting the information in this collection to the USPTO by mail
through the United States Postal Service. The USPTO estimates that the
average first class postage cost for a one-pound, priority mail
submission will be $6.70 and approximately 60 submissions will be
submitted to the USPTO requiring postage.
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Information collection Total non-hour
IC No. instrument Responses (yr) Postage costs cost burden (yr)
............................... (a) (b) (a) x (b) = (c)
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1........................... Submissions Under 37 CFR 38 $6.70 $254.60
1.28(c).
2........................... Submissions Under 37 CFR 12 6.70 80.40
1.29(k).
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Total................... ............................... 50 .............. 335.00
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Therefore, the USPTO estimates that the total annual (non-hour)
cost burden for this collection, in the form of postage costs is
$335.00 per year.
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,
including the validity of the methodology and assumptions used; (c)
ways to enhance the quality, utility, and clarity of the information to
be collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology, e.g.,
permitting electronic submission of responses.
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.
Marcie Lovett,
Director, Records and Information Governance Division, Office of the
Chief Technology Officer, USPTO.
[FR Doc. 2018-15612 Filed 7-20-18; 8:45 am]
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