[Federal Register Volume 87, Number 224 (Tuesday, November 22, 2022)]
[Notices]
[Pages 71307-71310]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-25362]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comment 
Request; Post Allowance and Reissue

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), as 
required by the Paperwork Reduction Act of 1995, invites comments on 
the extension and revision of an existing information collection: 0651-
0033 Post Allowance and Reissue. 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 February 21, 2023.

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-
0033 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Justin Isaac, 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 Parikha Mehta, Senior Legal Advisor, United 
States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 
22313-1450; by telephone at 571-272-3248; or by email at 
[email protected] with ``0651-0033 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: 

I. Abstract

    This collection of information covers the submission of issue fee 
payments, requests for certificates of correction, and reissue 
applications to the United States Patent and Trademark Office (USPTO). 
The 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 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. The rules outlining the procedures for 
payment of the issue fee and issuance of a patent are found at 37 CFR 
1.18, 1.311, and 1.314.
    This collection of information also covers several transactions 
that may be taken after issuance of a patent.

[[Page 71308]]

    Pursuant to 35 U.S.C. 254 and 255, a certificate of correction may 
be requested to correct an error or errors in an issued 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 original patentee, or the current patent 
owner if there has been a subsequent assignment, may apply for reissue 
of the patent. The reissue application process requires, among other 
items, 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 reissue application procedures are found 
at 37 CFR 1.171-1.173 and 1.175-1.178.
    The title of this item has been changed from ``Post Allowance and 
Refilling'' to ``Post Allowance and Reissue'' to better reflect the 
nature of the items in this information collection.

II. Method of Collection

    Electronically via the USPTO's patent electronic filing system, by 
mail, or by hand delivery to the USPTO.

III. Data

    OMB Control Number: 0651-0033.
    Forms: (AIA = America Invents Act; SB = Specimen Book; PTOL = 
Patent Trademark Office Legal Form).
 PTO/AIA/05, PTO/AIA/06, PTO/SB/51, PTO/SB/52 (Reissue 
Application Declaration by the Inventor or the Assignee)
 PTO/AIA/07 (Substitute Statement in Lieu of an Oath or 
Declaration for Reissue Patent Application (35 U.S.C. 115(d) and 37 CFR 
1.64)
 PTO/AIA/50 (Reissue Patent Application Transmittal)
 PTO/AIA/53, PTO/SB/53 (Reissue Application: Consent of 
Assignee; Statement of Non-Assignment)
 PTO/SB/44 (Certificate of Correction)
 PTO/SB/51S, (Supplemental Declaration for Reissue Patent 
Application to Correct ``Errors'' Statement (pre-AIA 37 CFR 1.175(c)))
 PTO/SB/56 (Reissue Application Fee Transmittal Form)
 PTOL-85B (Issue Fee Transmittal)
    Type of Review: Extension and revision of a currently approved 
information collection.
    Affected Public: Private sector; individuals or households.
    Respondent's Obligation: Required to obtain or retain benefits.
    Estimated Number of Annual Respondents: 426,301 respondents.
    Estimated Number of Annual Responses: 426,301 responses.
    Estimated Time per Response: The USPTO estimates that the responses 
in this information collection will take the public approximately 
between 30 minutes (0.5 hours) and 5.3 hours to complete. This includes 
the time to gather the necessary information, create the document, and 
submit the completed item to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 373,568 hours.
    Estimated Total Annual Respondent Hourly Cost Burden: $162,502,080.

                                       Table 1--Total Burden Hours and Hourly Costs to Private Sector Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                Hourly
                                            Estimated     Responses     Estimated       Estimated time per       Estimated       cost      Total annual
   Item No.              Item                annual          per         annual          response  (hour)     burden  (hour/    burden     cost for time
                                           respondents   respondent     responses                                  year)       rate \1\        spent
               ........................             (a)         (b)     (a) x (b) =  (d)....................     (c) x (d) =         (f)     (e) x (f) =
                                                                                (c)                                      (e)                         (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............  Certificate of                    58,200           1          58,200  1.3 (80 minutes).......          75,660        $435     $32,912,100
                Correction (PTO/SB/44).
2............  Petition to Correct                  534           1             534  0.8 (46 minutes).......             427         435         185,745
                Assignee After Payment
                of Issue Fee (37 CFR
                3.81(b)).
3............  Reissue Documentation...             698           1             698  5.3 (318 minutes)......           3,699         435       1,609,065
4............  Reissue Patent                       698           1             698  0.5 (30 minutes).......             349         435         151,815
                Application Transmittal.
               (PTO/SB/50).............
5............  Reissue Application                1,175           1           1,175  0.8 (46 minutes).......             940         435         408,900
                Declaration by the
                Inventor or the
                Assignee (PTO/SB/51/52,
                PTO/AIA/05/06) or
                Substitute Statement in
                Lieu of an Oath or
                Declaration for Reissue
                Patent Application (35
                U.S.C. 115(d) and 37
                CFR 1.64) (PTO/AIA/07).
6............  Supplemental Declaration              30           1              30  0.6 (36 minutes).......              18         435           7,830
                for Reissue Patent
                Application to Correct
                ``Errors'' Statement
                (37 CFR 1.175) (PTO/SB/
                51S).
7............  Reissue Application:                 889           1             889  0.5 (30 minutes).......             445         435         193,575
                Consent of Assignee;
                Statement of Non-
                assignment (PTO/SB/53,
                PTO/AIA/53).
8............  Reissue Application Fee              698           1             698  0.5 (30 minutes).......             349         435         151,815
                Transmittal Form (PTO/
                SB/56).
9............  Issue Fee Transmittal            350,588           1         350,588  0.8 (46 minutes).......         280,470         435     122,004,450
                (PTOL-85B).
              ------------------------------------------------------------------------------------------------------------------------------------------
                  Totals...............         413,510  ..........         413,510  .......................         362,357  ..........     157,625,295
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ 2021 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); pg. F-27. The USPTO uses the average billing rate for intellectual property attorneys in private firms which is $435 per hour.


[[Page 71309]]


                                  Table 2--Total Burden Hours and Hourly Costs to Individual and Household Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                Hourly
                                            Estimated     Responses     Estimated       Estimated time per       Estimated       cost      Total annual
   Item No.              Item                annual          per         annual          response (hour)       burden (hour/    burden     cost for time
                                           respondents   respondent     responses                                  year)       rate \2\        Spent
               ........................             (a)         (b)     (a) x (b) =  (d)....................     (c) x (d) =         (f)     (e) x (f) =
                                                                                (c)                                      (e)                         (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............  Certificate of                     1,800           1           1,800  1.3 (80 minutes).......           2,340        $435      $1,017,900
                Correction (PTO/SB/44).
2............  Petition to Correct                   16           1              16  0.8 (46 minutes).......              13         435           5,655
                Assignee After Payment
                of Issue Fee (37 CFR
                3.81(b)).
3............  Reissue Documentation...              22           1              22  5.3 (320 minutes)......             117         435          50,895
4............  Reissue Patent                        22           1              22  0.5 (30 minutes).......              11         435           4,785
                Application Transmittal
                (PTO/SB/50).
5............  Reissue Application                   37           1              37  0.8 (46 minutes).......              30         435          13,050
                Declaration by the
                Inventor or the
                Assignee (PTO/SB/51/52,
                PTO/AIA/05/06) or
                Substitute Statement in
                Lieu of an Oath or
                Declaration for Reissue
                Patent Application (35
                U.S.C. 115(d) and 37
                CFR 1.64) (PTO/AIA/07).
6............  Supplemental Declaration               1           1               1  0.6....................               1         435             435
                for Reissue Patent
                Application to Correct
                ``Errors'' Statement
                (37 CFR 1.175) (PTO/SB/
                51S).
7............  Reissue Application:                  28           1              28  0.5....................              14         435           6,090
                Consent of Assignee;
                Statement of Non-
                assignment (PTO/SB/53,
                PTO/AIA/53).
8............  Reissue Application Fee               22           1              22  0.5....................              11         435           4,785
                Transmittal Form (PTO/
                SB/56).
9............  Issue Fee Transmittal             10,843           1          10,843  0.8 (46 minutes).......           8,674         435       3,773,190
                (PTOL-85B).
              ------------------------------------------------------------------------------------------------------------------------------------------
                Totals.................          12,791  ..........          12,791  .......................          11,211  ..........       4,876,785
--------------------------------------------------------------------------------------------------------------------------------------------------------
\2\ Ibid.

    Estimated Total Annual Respondent Non-hourly Cost Burden: 
$434,518,228.
    There are no maintenance costs, capital start-up costs, or 
recordkeeping costs associated with this information collection. 
However, the USPTO estimates that the total annual (nonhour) cost 
burden for this information collection, in the form of filing fees 
($434,478,795) and postage ($39,433), is $434,518,228.

Filing Fees

    The items with filing fees are listed in the table below.

                                              Table 3--Filing Fees
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                                                                     Estimated
            Item No.                       Type of cost               annual          Amount          Totals
                                                                     responses
----------------------------------------------------------------------------------------------------------------
1..............................  Certificate of correction                 9,521            $160      $1,523,360
                                  (Undiscounted entity).
1..............................  Certificate of correction                 2,394             160         383,040
                                  (Small entity).
1..............................  Certificate of correction                    90             160          14,400
                                  (Micro entity.
3..............................  Basic filing fee--Reissue                 1,501             320         480,320
                                  (Undiscounted entity).
3..............................  Basic filing fee--Reissue                   528             160          84,480
                                  (Small entity).
3..............................  Basic filing fee--Reissue                    65              80           5,200
                                  (Micro entity).
3..............................  Basic Filing Fee--Reissue                    25             320           8,000
                                  (Design CPA) (Undiscounted
                                  entity).
3..............................  Basic Filing Fee--Reissue                     5             160             800
                                  (Design CPA) (Small entity).
3..............................  Basic Filing Fee--Reissue                     5              80             400
                                  (Design CPA) (Micro entity).
3..............................  Reissue Search Fee or Reissue             1,544             700       1,080,800
                                  Design CPA Search Fees
                                  (Undiscounted entity).
3..............................  Reissue Search Fee or Reissue               580             350         203,000
                                  Design CPA Search Fees (Small
                                  entity).
3..............................  Reissue Search Fee or Reissue                72             175          12,600
                                  Design CPA Search Fees (Micro
                                  entity).
3..............................  Reissue independent claims in               561             480         269,280
                                  excess of three (Undiscounted
                                  entity).
3..............................  Reissue independent claims in               176             240          42,240
                                  excess of three (Small entity).
3..............................  Reissue independent claims in                21             120           2,520
                                  excess of three (Micro entity).
3..............................  Reissue claims in excess of 20            4,531             100         453,100
                                  (Undiscounted entity).
3..............................  Reissue claims in excess of 20            1,495              50          74,750
                                  (Small entity).
3..............................  Reissue claims in excess of 20              115              25           2,875
                                  (Micro entity).
3, 4...........................  Reissue Application Size Fee--               46             420          19,320
                                  for each additional 50 sheets
                                  that exceeds 100 sheets
                                  (Undiscounted entity).
3, 4...........................  Reissue Application Size Fee--               10             210           2,100
                                  for each additional 50 sheets
                                  that exceeds 100 sheets (Small
                                  entity).
3, 4...........................  Reissue Application Size Fee--                8             105             840
                                  for each additional 50 sheets
                                  that exceeds 100 sheets (Micro
                                  entity).
3..............................  Reissue Examination Fee or                1,542           2,320       3,577,440
                                  Reissue Design CPA Examination
                                  Fee (Undiscounted entity).

[[Page 71310]]

 
3..............................  Reissue Examination Fee or                  577           1,160         669,320
                                  Reissue Design CPA Examination
                                  Fee (Small entity).
3..............................  Reissue Examination Fee or                   70             580          40,600
                                  Reissue Design CPA Examination
                                  Fee (Micro entity).
9..............................  Utility issue fee (Undiscounted         294,254           1,200     353,104,800
                                  entity).
9..............................  Utility issue fee (Small                 79,574             600      47,744,400
                                  entity).
9..............................  Utility issue fee (Micro                  9,678             300       2,903,400
                                  entity).
9..............................  Design issue fee (Undiscounted           18,674             740      13,818,760
                                  entity).
9..............................  Design issue fee (Small entity)          14,600             370       5,402,000
9..............................  Design issue fee (Micro entity)           6,228             185       1,152,180
9..............................  Plant issue fee (Undiscounted               641             840         538,440
                                  entity).
9..............................  Plant issue fee (Small entity).             598             420         251,160
9..............................  Plant issue fee (Micro entity).               7             210           1,470
9..............................  Reissue issue fee (Undiscounted             448           1,200         537,600
                                  entity).
9..............................  Reissue issue fee (Small                    120             600          72,000
                                  entity).
9..............................  Reissue issue fee (Micro                      6             300           1,800
                                  entity).
                                --------------------------------------------------------------------------------
                                    Total Filing Fees...........         450,310  ..............     434,478,795
----------------------------------------------------------------------------------------------------------------

Postage

    Although the USPTO prefers that the items in this information 
collection be submitted electronically, responses may be submitted by 
mail through the United States Postal Service (USPS). Customers may 
incur postage costs when submitting the information in this information 
collection to the USPTO by mail. The USPTO expects that approximately 
1% (4,263) of the responses for this information collection will be 
submitted by mail. The USPTO estimates that the average postage cost 
for a mailed submission, using a Priority Mail 2-day flat rate legal 
envelope, will be $9.25 and that approximately 4,263 submissions will 
be mailed to the USPTO per year. Therefore, the USPTO estimates that 
postage costs in this collection will be $39,433.

IV. Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate whether the 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 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 personally 
identifiable information (PII) in a comment, be aware that the entire 
comment--including PII--may be made publicly available at any time. 
While you may ask in your comment to withhold PII from public view, 
USPTO cannot guarantee that it will be able to do so.

Justin Isaac,
Information Collections Officer, Office of the Chief Adminstrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2022-25362 Filed 11-21-22; 8:45 am]
BILLING CODE 3510-16-P