[Federal Register Volume 85, Number 191 (Thursday, October 1, 2020)]
[Notices]
[Pages 61937-61940]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-21799]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comments 
Request; Patent Petitions Related to Application and Reexamination 
Processing Fees

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

ACTION: Notice of information collection; request for comment.

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SUMMARY: The United States Patent and Trademark Office (USPTO), in 
accordance with the Paperwork Reduction Act of 1995, invites comments 
on the extension and revision of an existing information collection: 
0651-0059 (Patent Petitions Related to Application and Reexamination 
Processing Fees). The purpose of this notice is to allow 60 days for 
public comment preceding submission of the information collection to 
OMB.

DATES: To ensure consideration, comments regarding this information 
collection must be received on or before November 30, 2020.

ADDRESSES: Interested persons are invited to submit written comments by 
any of the following methods. Do not submit Confidential Business 
Information or otherwise sensitive or protected information:
     Email: [email protected]. Include ``0651-
0059 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Kimberly Hardy, Office of the Chief Administrative 
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 ``0651-0059 comment'' in the 
subject line. Additional information about this information collection 
is also available at http://www.reginfo.gov under ``Information 
Collection Review.''

SUPPLEMENTARY INFORMATION:

[[Page 61938]]

I. Abstract

    The United States Patent and Trademark Office (USPTO) is required 
by 35 U.S.C. 131 et seq. to examine an application for patent and, when 
appropriate, issue a patent. The USPTO also is required to publish 
patent applications, with certain exceptions, promptly after the 
expiration of a period of 18 months from the earliest filing date for 
which a benefit is sought under Title 35, United States Code.
    Many actions taken by the USPTO during its examination of an 
application for patent or for reissue of a patent, or during its 
reexamination of a patent, are subject to review by an appeal to the 
Patent Trial and Appeal Board. For other USPTO actions, review is in 
the form of administrative review obtained via submission of a petition 
to the USPTO. USPTO petitions practice provides an opportunity for a 
patent applicant or owner to supply additional information that may be 
required in order for the USPTO to further process an application or 
patent.
    This information collection covers petitions filed in patent 
applications and reexamination proceedings, and accompanying fees as 
set forth in 37 CFR 1.17(f), (g), or (h). This information collection 
also covers the transmittals for the petition fees.

II. Method of Collection

    The items in this information collection can be submitted 
electronically through Electronic Filing System-Web (EFS-Web), on paper 
by mail, facsimile, or hand delivery to the USPTO.

III. Data

    OMB Number: 0651-0059.
    Form Number(s): (SB = Specimen Book; AIA = America Invents Act).

 PTO/SB/28 (EFS-Web only) (Petitions to Make Special Under 
Accelerated Examination Program)
 PTO/AIA/24a (Petitions for Express Abandonment to Avoid 
Publication Under 37 CFR 1.138(c))
 PTO/SB/23 (Petition for Extension of Time Under 37 CFR 
1.136(b))
 PTO/AIA/17P (Petition Fee Under 37 CFR 1.17(f), (g), and (h) 
Transmittal)
 PTO/SB/140 (Petition to Withdraw an Application from Issue)
    Type of Review: Revision of a currently approved information 
collection.
    Affected Public: Private sector; individuals or households.
    Estimated Number of Respondents: 40,922 respondents per year.
    Estimated Number of Responses: 40,922 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public from approximately 5 minutes (0.08 hours) to 12 hours to 
complete a response, depending on the complexity of the particular 
item. This includes the time to gather the necessary information, 
create the documents, and submit the completed request to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 72,958 hours.
    Estimated Total Annual Respondent Hourly Cost Burden: $29,183,200.

                           Table 1--Total Hourly Burden For Private Sector Respondents
----------------------------------------------------------------------------------------------------------------
                                                  Estimated    Estimated    Estimated
                                     Estimated      annual      time for      annual    Rate \1\ ($/  Estimated
    Item No.            Item           annual     responses     response      burden       hour)        annual
                                    respondents     (year)      (hours)    (hour/year)                  burden
                                                         (a)          (b)  (a) x (b) =          (d)  (c) x (d) =
                                                                                     c                         e
----------------------------------------------------------------------------------------------------------------
1..............  Petitions                4,146        4,146            4       16,583         $400   $6,633,200
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(f) include:
                    
                     Petition to
                     Accord a
                     Filing Date
                     Under 1.57(a).
                    
                     Petition to
                     Accord a
                     Filing Date
                     Under 1.53(e).
                    
                     Petition for
                     Decision on a
                     Question Not
                     Specifically
                     Provided For.
                    
                     Petition to
                     Suspend the
                     Rules.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
2..............  Petitions               10,313       10,313            2       20,626          400    8,250,400
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(g) include:
                    
                     Petition to
                     Access an
                     Assignment
                     Record.
                    
                     Petition for
                     Access to an
                     Application.
                    
                     Petition for
                     Expungement
                     and Return of
                     Information.
                    
                     Petition to
                     Suspend
                     Action in an
                     Application.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
3..............  Petitions               23,866       23,866            1       23,866          400    9,546,400
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(h) include:
                    
                     Petition for
                     Accepting
                     Color
                     Drawings or
                     Photographs.
                    
                     Petition for
                     Entry of a
                     Model or
                     Exhibit.
                    
                     Petition to
                     Withdraw an
                     Application
                     from Issue.
                    
                     Petition to
                     Defer
                     Issuance of a
                     Patent.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
4..............  Petitions to Make          798          798           12        9,576          400    3,830,400
                  Special Under
                  Accelerated
                  Examination
                  Program (EFS-Web
                  only).
5..............  Petitions for              570          570           .2          114          400       45,600
                  Express
                  Abandonment to
                  Avoid
                  Publication
                  Under 37 CFR
                  1.138(c).
6..............  Petition for                 1            1           .5            1          400          400
                  Extension of
                  Time Under 37
                  CFR 1.136(b).
                                   -----------------------------------------------------------------------------
    Total......  .................       39,694       39,694  ...........       70,766  ...........   28,306,400
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\1\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the
  American Intellectual Property Law Association (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms which is $400 per hour.


[[Page 61939]]


                     Table 2--Total Hourly Burden For Individuals And Households Respondents
----------------------------------------------------------------------------------------------------------------
                                                  Estimated    Estimated    Estimated
                                     Estimated      annual      time for      annual    Rate \2\ ($/  Estimated
    Item No.            Item           annual     responses     response      burden       hour)        annual
                                    respondents     (year)      (hours)    (hour/year)                  burden
                                                         (a)          (b)  (a) x (b) =          (d)  (c) x (d) =
                                                                                     c                         e
----------------------------------------------------------------------------------------------------------------
1..............  Petitions                  128          128            4          512         $400     $204,800
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(f) include:
                    
                     Petition to
                     Accord a
                     Filing Date
                     Under 1.57(a).
                    
                     Petition to
                     Accord a
                     Filing Date
                     Under 1.53(e).
                    
                     Petition for
                     Decision on a
                     Question Not
                     Specifically
                     Provided For.
                    
                     Petition to
                     Suspend the
                     Rules.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
2..............  Petitions                  319          319            2          638          400      255,200
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(g) include:
                    
                     Petition to
                     Access an
                     Assignment
                     Record.
                    
                     Petition for
                     Access to an
                     Application.
                    
                     Petition for
                     Expungement
                     and Return of
                     Information.
                    
                     Petition to
                     Suspend
                     Action in an
                     Application.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
3..............  Petitions                  738          738            1          738          400      295,200
                  (corresponding
                  to the fee)
                  Under 37 CFR
                  1.17(h) include:
                    
                     Petition for
                     Accepting
                     Color
                     Drawings or
                     Photographs.
                    
                     Petition for
                     Entry of a
                     Model or
                     Exhibit.
                    
                     Petition to
                     Withdraw an
                     Application
                     from Issue.
                    
                     Petition to
                     Defer
                     Issuance of a
                     Patent.
                    
                     Petition Fee
                     Under 37 CFR
                     1.17(f), (g),
                     and (h)
                     Transmittal.
5..............  Petitions to Make           25           25           12          300          400      120,000
                  Special Under
                  Accelerated
                  Examination
                  Program (EFS-Web
                  only).
6..............  Petitions for               18           18           .2            4          400        1,600
                  Express
                  Abandonment to
                  Avoid
                  Publication
                  Under 37 CFR
                  1.138(c).
                                   -----------------------------------------------------------------------------
    Total......  .................        1,228        1,228  ...........        2,192  ...........      876,800
----------------------------------------------------------------------------------------------------------------
\2\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the
  American Intellectual Property Law Association (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms which is $400 per hour.

    Estimated Total Annual Non-Hour Respondent Cost Burden: $3,195,134.
    There are no capital start-up, operation, or maintenance costs 
associated with this information collection. However, this information 
collection does have annual non-hour costs in the form of postage costs 
and filing fees.

                                      Table 3--Annual Non-Hour Cost Burden
----------------------------------------------------------------------------------------------------------------
                                                                     Estimated                    Estimated non-
             Item No.                           Item                  annual      Estimated cost     hour cost
                                                                     responses                        burden
                                                                             (a)             (b)       (a) x (b)
----------------------------------------------------------------------------------------------------------------
1................................  Petitions requiring the                 1,089            $420        $457,380
                                    petition fee set forth in 37
                                    CFR 1.17 (f) (Group I)
                                    (large entity).
1................................  Petitions requiring the                   840             210         176,400
                                    petition fee set forth in 37
                                    CFR 1.17 (f) (Group I)
                                    (small entity).
1................................  Petitions requiring the                   208             105          21,840
                                    petition fee set forth in 37
                                    CFR 1.17 (f) (Group I)
                                    (micro entity).
2................................  Petitions requiring the                 4,739             220       1,042,580
                                    petition fee set forth in 37
                                    CFR 1.17 (g) (Group II)
                                    (large entity).
2................................  Petitions requiring the                   515             110          56,650
                                    petition fee set forth in 37
                                    CFR 1.17 (g) (Group II)
                                    (small entity).
2................................  Petitions requiring the                    62              55           3,410
                                    petition fee set forth in 37
                                    CFR 1.17 (g) (Group II)
                                    (micro entity).
3................................  Petitions requiring the                 8,310             140       1,163,400
                                    petition fee set forth in 37
                                    CFR 1.17 (h) (Group III)
                                    (large entity).
3................................  Petitions requiring the                 3,777              70         264,390
                                    petition fee set forth in 37
                                    CFR 1.17 (h) (Group III)
                                    (small entity).
3................................  Petitions requiring the                   214              35           7,490
                                    petition fee set forth in 37
                                    CFR 1.17 (h) (Group III)
                                    (micro entity).
                                                                 -----------------------------------------------
    * Total......................  .............................  ..............  ..............       3,193,540
----------------------------------------------------------------------------------------------------------------


[[Page 61940]]

    Respondents may also incur postage costs when submitting items in 
this information collection. Although the USPTO prefers that items in 
this information collection be submitted electronically, items may be 
submitted to the USPTO by mail through the United States Postal 
Service. The USPTO expects that approximately 99 percent of the items 
in this information collection will be submitted electronically, 
resulting in 198 mailed submissions. The average cost for a four-ounce 
2-Day Priority Mail legal flat rate envelope shipped first-class via 
USPS is $8.05. Therefore, the USPTO estimates that the postage costs 
for the mailed submissions in this information collection will total 
$1,594.
    Respondent's Obligation: Required to obtain or retain benefits.

IV. Request for Comments

    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.
    All comments submitted in response to this notice are a matter of 
public record. USPTO will include or summarize each comment in the 
request to OMB to approve this information collection. Before including 
an address, phone number, email address, or other personal identifying 
information in a comment, be aware that the entire comment-- including 
personal identifying information--may be made publicly available at any 
time. While you may ask in your comment to withhold personal 
identifying information from public view, USPTO cannot guarantee that 
it will be able to do so.

Christopher G. Baker,
Information Collections Officer, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2020-21799 Filed 9-29-20; 11:15 am]
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