[Federal Register Volume 87, Number 247 (Tuesday, December 27, 2022)]
[Notices]
[Pages 79283-79286]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-28151]


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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; Secrecy and License to Export

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-
0034 Secrecy and License to Export. 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 27, 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.
     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

[[Page 79284]]

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 ``0651-0034 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

    In the interest of national security, patent laws and regulations 
place certain limitations on the disclosure of information contained in 
patents and patent applications and on the filing of applications for 
patents in foreign countries.

A. Secrecy Orders

    Whenever the publication or disclosure of an invention by the 
publication of an application or by the granting of a patent is, in the 
opinion of the head of an interested Government agency, determined to 
be detrimental to national security, the Commissioner for Patents at 
the United States Patent and Trademark Office (USPTO) must issue a 
secrecy order and withhold the publication of a patent application and 
the grant of a patent for such period as the national interest 
requires. A patent will not be issued on the application, nor will the 
application be published, as long as the secrecy order is in force. If 
a secrecy order is applied to an international application, the 
application will not be forwarded to the International Bureau as long 
as the secrecy order is in effect.
    The Commissioner for Patents can issue three types of secrecy 
orders, each of a different scope. The first type, Secrecy Order and 
Permit for Foreign Filing in Certain Countries, is intended to permit 
the widest utilization of the technical data in the patent application 
while still controlling any publication or disclosure that would result 
in an unlawful exportation. The second type, the Secrecy Order and 
Permit for Disclosing Classified Information, is to treat classified 
technical data presented in a patent application in the same manner as 
any other classified material. The third type of secrecy order is used 
where the other types of orders do not apply, including orders issued 
by direction of agencies other than the Department of Defense.
    Under the provision of 35 U.S.C. 181, a secrecy order remains in 
effect for a period of one year from its date of issuance. A secrecy 
order may be renewed for additional periods of not more than one year 
upon notice by a government agency that the national interest continues 
to so require. The applicant is notified of such renewal.
    When the USPTO places a secrecy order on a patent application, the 
regulations authorize the applicant to petition the USPTO for permits 
to allow disclosure, modification, or rescission of the secrecy order, 
or to obtain a general or group permit. In each of these circumstances, 
the petition is forwarded to the appropriate defense agency for 
decision. Also, the Commissioner for Patents at the USPTO may rescind 
any order upon notification by the heads of the departments and the 
chief officers of the agencies who caused the order to be issued that 
the disclosure of the invention is no longer deemed detrimental to the 
national security.
    Unless expressly ordered otherwise, action on the application and 
prosecution by the applicant will proceed during the time the 
application is under secrecy order to the point indicated in 37 CFR 
5.3. See the Manual of Patent Examining Procedure (MPEP) Section 130 
(9th ed., rev. 10.2019, June 2020). For example, prosecution of a 
national application under secrecy order may proceed only to the point 
where it is found to be in condition for allowance. See 37 CFR 5.3(c). 
Prosecution of international applications under secrecy order, on the 
other hand, will proceed only to the point before record and search 
copies would be transmitted to the international authorities or the 
applicant. See 37 CFR 5.3(d). National applications under secrecy order 
that come to a final rejection must be appealed or otherwise prosecuted 
to avoid abandonment. See 37 CFR 5.3(a). Appeals in such cases must be 
completed by the applicant. Unless specifically ordered by the 
Commissioner for Patents, these appeals will not be set for hearing 
until the secrecy order is removed. See id.

B. Foreign Filing License

    In addition, this information collection covers information 
gathered with respect to foreign filing licenses. The filing of a 
patent application is considered a request for a foreign filing 
license. However, in some instances an applicant may need a license for 
filing patent applications in foreign countries prior to a filing in 
the USPTO or sooner than the anticipated licensing of a pending patent 
application.
    For such circumstances, this information collection covers 
petitions for a foreign filing license either with or without a 
corresponding United States application. In addition, this information 
collection covers petitions to change the scope of a license and 
petitions for a retroactive license for instances when a patent 
application is filed through error in a foreign country without the 
appropriate filing license.
    This information collection includes the information needed by the 
USPTO to review the various types of petitions regarding secrecy orders 
and foreign filing licenses. This collection of information is required 
by 35 U.S.C. 181-183 and 184-186 and administered by the USPTO through 
37 CFR 5.1-5.5, 5.11-5.15, and 5.18-5.25.

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: 0651-0034.
    Forms: None.
    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: 7,524 respondents.
    Estimated Number of Annual Responses: 7,524 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 4 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: 4,503 hours.
    Estimated Total Annual Respondent Hourly Cost Burden: $1,958,805.

[[Page 79285]]



                                       Table 1--Total Burden Hours and Hourly Costs to Private Sector Respondents
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                                                                                                                                             Estimated
                                             Estimated     Responses per     Estimated    Estimated time     Estimated     Rate \1\  ($/      annual
     Item No.               Item              annual        respondent        annual       for response   burden  (hour/       hour)        respondent
                                            respondents                      responses        (hours)          year)                        cost burden
                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =             (f)     (e) x (f) =
                                                                                     (c)                             (e)                             (g)
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1.................  Petition for                      10               1              10               3              30            $435         $13,050
                     Rescission of
                     Secrecy Order.
2.................  Petition to Disclose              10               1              10               2              20             435           8,700
                     or Modification of
                     Secrecy Order.
3.................  Petition for General               1               1               1               1               1             435             435
                     and Group Permits.
4.................  Petition for                   6,860               1           6,860             0.5           3,430             435       1,492,050
                     Expedited Handling
                     of License (no
                     corresponding
                     application).
5.................  Petition for                     294               1             294             0.5             147             435          63,945
                     Expedited Handling
                     of License
                     (corresponding U.S.
                     application).
6.................  Petition for                       3               1               3             0.5               2             435             870
                     Changing Scope of
                     License.
7.................  Petition for                     196               1             196               4             784             435         341,040
                     Retroactive License.
                                         ---------------------------------------------------------------------------------------------------------------
                       Totals...........           7,374  ..............           7,374  ..............           4,414  ..............       1,920,090
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\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. (https://www.aipla.org/home/news-publications/economic-survey).


                                  Table 2--Total Burden Hours and Hourly Costs to Individual and Household Respondents
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                                                                                             Estimated                                       Estimated
                                             Estimated     Responses per     Estimated       time for        Estimated     Rate \2\  ($/      annual
     Item No.               Item              annual        respondent        annual         response     burden  (hour/       hour)        respondent
                                            respondents                      responses        (hours)          year)                        cost burden
                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =             (f)     (e) x (f) =
                                                                                     (c)                             (e)                             (g)
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4.................  Petition for                     140               1             140             0.5              70            $435         $30,450
                     Expedited Handling
                     of License (no
                     corresponding
                     application).
5.................  Petition for                       6               1               6             0.5               3             435           1,305
                     Expedited Handling
                     of License
                     (corresponding U.S.
                     application).
7.................  Petition for                       4               1               4               4              16             435           6,960
                     Retroactive License.
                                         ---------------------------------------------------------------------------------------------------------------
                       Totals...........             150  ..............             150  ..............              89  ..............          38,715
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    Estimated Total Annual Respondent Non-hourly Cost Burden: 
$1,477,829.
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    \2\ Ibid.
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    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 (non-hour) cost 
burden for this information collection, in the form of filing fees 
($1,477,135) and postage ($694), is $1,477,829.
Filing Fees
    The items with filing fees are listed in the table below.

                                              Table 3--Filing Fees
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                                                                                                    Total  non-
            IC No.                            Item                   Responses      Filing fee      hour  cost
                                                                                        ($)           burden
                                                                             (a)             (b)     (a) x (b) =
                                                                                                             (c)
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4.............................  Petition for Expedited Handling            5,600            $220      $1,232,000
                                 of License (no corresponding
                                 application) (undiscounted
                                 entity).
4.............................  Petition for Expedited Handling            1,260             110         138,600
                                 of License (no corresponding
                                 application) (small entity).
4.............................  Petition for Expedited Handling              140              55           7,700
                                 of License (no corresponding
                                 application) (micro entity).
5.............................  Petition for Expedited Handling              240             220          52,800
                                 of License (corresponding U.S.
                                 application) (undiscounted
                                 entity).
5.............................  Petition for Expedited Handling               54             110           5,940
                                 of License (corresponding U.S.
                                 application) (small entity).
5.............................  Petition for Expedited Handling                6              55             330
                                 of License (corresponding U.S.
                                 application) (micro entity).
6.............................  Petition for Changing Scope of                 1             220             220
                                 License (undiscounted entity).
6.............................  Petition for Changing Scope of                 1             110             110
                                 License (small entity).
6.............................  Petition for Changing Scope of                 1              55              55
                                 License (micro entity).
7.............................  Petition for Retroactive License             160             220          35,200
                                 (undiscounted entity).
7.............................  Petition for Retroactive License              36             110           3,960
                                 (small entity).

[[Page 79286]]

 
7.............................  Petition for Retroactive License               4              55             220
                                 (micro entity).
                                                                 -----------------------------------------------
                                   Totals.......................           7,503  ..............       1,477,135
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Postage
    The USPTO estimates that 99% of the petitions in this information 
collection are submitted electronically, by facsimile, or hand carried 
because of the quick turnaround required, and only 1% of the 7,524 
petitions will be submitted in the 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 75 
submissions will be mailed to the USPTO per year. Therefore, the USPTO 
estimates that postage costs in this collection will be $694.

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. 2022-28151 Filed 12-23-22; 8:45 am]
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