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Patent Processing (Updating)

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Start Preamble

ACTION:

Proposed collection; comment request.

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 and other Federal agencies to take this opportunity to comment on this extension of a continuing information collection, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)).

DATES:

Written comments must be submitted on or before July 22, 2016.

ADDRESSES:

You may submit comments by any of the following methods:

  • Email: InformationCollection@uspto.gov. Include “0651-0031 inquiry” in the subject line of the message.
  • Federal Rulemaking Portal: http://www.regulations.gov.
  • 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.
Start Further Info

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 Raul.Tamayo@uspto.gov with “0651-0031 inquiry” in the subject line. Additional information about this collection is also available at http://www.reginfo.gov under “Information Collection Review.”

End Further Info End Preamble Start Supplemental Information

SUPPLEMENTARY INFORMATION:

I. Abstract

The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 131 to examine an application for patent and, when appropriate, issue a patent. The USPTO is also required to publish patent applications, with certain exceptions, promptly after the expiration of a period of eighteen months from the earliest filing date for which a benefit is sought under Title 35, United States Code (“eighteen-month publication”). Certain situations may arise which require that additional information be supplied in order for the USPTO to further process the patent or application. The USPTO administers the statutes through various sections of the rules of practice in 37 CFR part 1.

The information in this collection can be used by the USPTO to continue the processing of the patent or application to ensure that applicants are complying with the patent regulations and to aid in the prosecution of the application.

II. Method of Collection

The forms associated with this collection may be downloaded from the USPTO Web site in Portable Document Format (PDF), filled out electronically, and then either printed for mailing or submitted to the USPTO online through EFS-Web. The “EFS-Web only” items in this collection must be submitted to the USPTO online through EFS-Web. In addition, the USPTO provides an electronic interface on its Web site that the public can use to submit the information associated with the Electronic Applicant Initiated Interview Request Form.

III. Data

OMB Number: 0651-0031.

IC Instruments and Forms: PTO/AIA/22, PTO/AIA/24, PTO/AIA/24B, PTO/AIA/31, PTO/AIA/32, PTO/AIA/33, PTO/AIA/40, PTO/AIA/41, PTO/AIA/96, PTO/SB/08a, PTO/SB/08b, PTO/SB/17i, PTO/SB/21, PTO/SB/22, PTO/SB/24, PTO/SB/24B, PTO/SB/25, PTO/SB/26, PTO/SB/27, PTO/SB/30, PTO/SB/31, PTO/SB/32, PTO/SB/33, PTO/SB/35, PTO/SB/36, PTO/SB/37, PTO/SB/38, PTO/SB/39, PTO/SB/43, PTO/SB/61, PTO/SB/63, PTO/SB/64, PTO/SB/64a, PTO/SB/67, PTO/SB/68, PTO/SB/91, PTO/SB/92, PTO/SB/96, PTO/SB/97, PTO/SB/130, PTO-2053-A/B, PTO-2054-A/B, PTO-2055-A/B, PTOL-413A, and PTOL-413C.

Type of Review: Revision of a Previously-Existing Information Collection.

Affected Public: Individuals or households; businesses or other for-profits; and non-profit institutions.

Estimated Number of Respondents: 3,542,082 responses per year.

Estimated Time per Response: The USPTO estimates that it will take the public between 2 minutes (.03 hours) and 8 hours to submit a single item in this collection depending on the instrument used, 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 collection are shown in the table below.

Estimated Total Annual Respondent Burden Hours: 3,631,187.33 hours.

Estimated Total Annual Respondent (Hourly) Cost Burden: $952,818,894.17. The USPTO expects that attorneys and/or paralegals will complete the instruments listed in the table below. The professional hourly rates for attorneys and paralegals, based on AIPLA's 2015 Report of the Economic Survey, are $410 and $125 respectively. Using these hourly rates, the USPTO estimates that the total respondent cost burden for this collection is $952,818,894.17 per year.

IC No.ItemEstimated response time (minutes)Estimated annual responsesEstimated annual burden (hours)Rate ($/hr)
(a)(b)(a) × (b)/60 = (c)(d)
1EFS-Web IDS (Information Disclosure Statements) that do not require the fee set forth in 37 CFR 1.17(p)120635,0001,270,000.00410.00
Start Printed Page 32299
1Information Disclosure Statements that do not require the fee set forth in 37 CFR 1.17(p)12020,00040,000.00410.00
1EFS-Web IDS (Information Disclosure Statements) that require the fee set forth in 37 CFR 1.17(p)120115,000230,000.00410.00
1Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p)1205,00010,000.00410.00
2Electronic Transmittal Form120850,0001,700,000.00125.00
2Transmittal Form12050,000100,000.00125.00
3Electronic Petition for Extension of Time under 37 CFR 1.136(a)6290,00029,000.00125.00
3Petition for Extension of Time under 37 CFR 1.136(a)610,0001,000.00125.00
4Electronic Express Abandonment under 37 CFR 1.138124,800960.00125.00
4Express Abandonment under 37 CFR 1.1381220040.00125.00
5Electronic Statutory Disclaimers (including terminal disclaimers)1258,00011,600.00410.00
5Statutory Disclaimers (including terminal disclaimers)122,000400.00410.00
6Electronic Request for Expedited Examination of a Design Application639039.00410.00
6Request for Expedited Examination of a Design Application6101.00410.00
7Electronic Notice of Appeal1228,0005,600.00410.00
7Notice of Appeal121,000200.00410.00
8Electronic Petition for Revival of an Application for Patent Abandoned Unintentionally607,5007,500.00410.00
8Petition for Revival of an Application for Patent Abandoned Unintentionally60500500.00410.00
9Electronic Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing60190190.00410.00
9Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing601010.00$410.00
10Electronic Requests to Access, Inspect and Copy1295,00019,000.00125.00
10Requests to Access, Inspect and Copy125,0001,000.00125.00
11Electronic Deposit Account Order Form121,600320.00125.00
11Deposit Account Order Form1210020.00125.00
12Electronic Certificates of Mailing or Transmission2750,00025,000.00125.00
12Certificates of Mailing or Transmission250,0001,666.66125.00
13Electronic Statement Under 37 CFR 3.73(c)12240,00048,000.00410.00
13Statement Under 37 CFR 3.73(c)1210,0002,000.00410.00
14Electronic Non-publication Request623,0002,300.00410.00
14Non-publication Request61,000100.00410.00
15Electronic Rescission of Previous Non-publication Request (35 U.S.C. 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii)690090.00410.00
15Rescission of Previous Non-publication Request (35 U.S.C. 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii)6505.00410.00
16Electronic Filing System (EFS) Copy of Application for Publication15012.50125.00
17Copy of File Content Showing Redactions24014.00410.00
18Copy of the Applicant or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not)1201020.00125.00
19EFS-Web Request for Continued Examination (RCE) Transmittal12165,00033,000.00410.00
19Request for Continued Examination (RCE) Transmittal125,0001,000.00410.00
20Electronic Request for Oral Hearing Before the Patent Trial and Appeal Board12950190.00410.00
20Request for Oral Hearing Before the Patent Trial and Appeal Board125010.00410.00
21Electronic Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)12700140.00410.00
21Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)125010.00410.00
22EFS-Web Request for Voluntary Publication or Republication (includes publication fee for republication)1229058.00125.00
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22Request for Voluntary Publication or Republication (includes publication fee for republication)12102.00125.00
23Electronic Applicant Initiated Interview Request Form2411,0004,400.00410.00
23Applicant Initiated Interview Request Form243,5001,400.00410.00
24Electronic Processing Fee Under 37 CFR 1.17(i) Transmittal534028.33410.00
24Processing Fee Under 37 CFR 1.17(i) Transmittal5100.83410.00
25Electronic Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(h)811,5001,533.33410.00
25Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h)850066.67410.00
26Electronic Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)614,5001,450.00410.00
26Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)650050.00410.00
27Electronic Petition for Express Abandonment to Obtain a Refund121,550310.00410.00
27Petition for Express Abandonment to Obtain a Refund125010.00410.00
28Electronic Pre-Appeal Brief Request for Review30010,50052,500.00410.00
28Pre-Appeal Brief Request for Review3005002,500.00410.00
29EFS-Web Request for Corrected Filing Receipt529,0002,416.67125.00
29Request for Corrected Filing Receipt51,00083.33125.00
30Request for First Action Interview (Pilot Program) (Electronic only)1501,2003,000.00410.00
31Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only)1202,0004,000.00410.00
32Electronic Filing a submission after final rejection (see 37 CFR 1.129(a))480110880.00410.00
32Filing a submission after final rejection (see 37 CFR 1.129(a))4801080.00410.00
33Electronic correction of inventorship after first office action on the merits452,9002,175.00410.00
33Correction of inventorship after first office action on the merits4510075.00410.00
34Electronic request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)4514,50010,875.00410.00
34Request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)45500375.00410.00
35Electronic request to correct or update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2)129,5001,900.00410.00
35Request to correct or update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2)12500100.00410.00
Total3,542,0823,631,187.33

Estimated Total Annual (Non-hour) Respondent Cost Burden: $420,815,258.45. There are no recordkeeping, maintenance, or capital start-up costs associated with this information collection. There is, however, a non-hour cost burden in the form of postage costs and filing fees.

Postage

The public may submit the paper forms and petitions in this collection to the USPTO by mail through the United States Postal Service. If the submission is sent by first-class mail, the public may also include a signed certification of the date of mailing in order to receive credit for timely filing. Therefore, the USPTO estimates that approximately 167,161 submissions per year may be mailed. The USPTO estimates that the average submission will be mailed in a standard flat-rate priority mail envelope at a cost of $6.45, resulting in a total postage cost of $1,078,188.45.

Filing FeesStart Printed Page 32301

IC No.ItemEstimated annual responsesFiling fee per response *Total annual (non-hour) cost burden
(a)(b)(a) × (b) = (c)
1Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p)90,000$180.00$16,200,000.00
1IDS that require the fee set forth in 37 CFR 1.17(p) (small entity)S: 27,500 M: 2,500S: $90.00 M: $45.00S: $2,475,000.00 M: $112,500.00
3One-month Extension of Time under 37 CFR 1.136(a)102,500$200.00$20,500,000.00
3One-month Extension of Time under 37 CFR 1.136(a) (small entity)S: 38,000 M: 4,000S: $100.00 M: $50.00S: $3,800,000.00 M: $200,000.00
3Two-month Extension of Time under 37 CFR 1.136(a)43,600$600.00$26,160,000.00
3Two-month Extension of Time under 37 CFR 1.136(a) (small entity)S: 22,000 M: 2,100S: $300.00 M: $150.00S: $6,600,000.00 M: $315,000.00
3Three-month Extension of Time under 37 CFR 1.136(a)40,000$1,400.00$56,000,000.00
3Three-month Extension of Time under 37 CFR 1.136(a) (small entity)S: 32,000 M: 3,000S: $700.00 M: $350.00S: $22,400,000.00 M: $1,050,000.00
3Four-month Extension of Time under 37 CFR 1.136(a)2,500$2,200.00$5,500,000.00
3Four-month Extension of Time under 37 CFR 1.136(a) (small entity)S: 2,500 M: 350S: $1,100.00 M: $550.00S: $2,750,000.00 M: $192,500.00
3Five-month Extension of Time under 37 CFR 1.136(a)3,500$3,000.00$10,500,000.00
3Five-month Extension of Time under 37 CFR 1.136(a) (small entity)S: 3,700 M: 250S: $1,000.00 M: $500.00S: $3,700,000.00 M: $125,000.00
5Statutory Disclaimer (including terminal disclaimer)60,000$160.00$9,600,000.00
5Statutory Disclaimer (including terminal disclaimer) (small entity)6,289$160.00$1,006,240.00
6Request for Expedited Examination of a Design Application200$900.00$180,000.00
6Request for Expedited Examination of a Design Application (small entity)S: 160 M: 40S: $450.00 M: $225.00S: $72,000.00 M: $9,000.00
7Notice of Appeal22,500$800.00$18,000,000.00
7Notice of Appeal (small entity)S: 6,000 M: 500S: $400.00 M: $200.00S: $2,400,000.00 M: $100,000.00
8Petition for Revival of an Application for Patent Abandoned Unintentionally3,500$1,700.00$5,950,000.00
8Petition for Revival of an Application for Patent Abandoned Unintentionally (small entity)4,500$850.00$3,825,000.00
9Petition for revival of an application for patent abandoned for failure to notify the office of a foreign or international filing150$1,700.00$255,000.00
9Petition for revival of an application for patent abandoned for failure to notify the office of a foreign or international filing (small entity)50$850.00$42,500.00
17Copy of File Content Showing Redactions1$130.00$130.00
19Request for Continued Examination (RCE) Transmittal (First Request)78,400$1,200.00$94,080,000.00
19Request for Continued Examination (RCE) Transmittal (First Request) (small entity)S: 28,000 M: 5,600S: $600.00 M: $300.00S: $16,800,000.00 M: $1,680,000.00
19Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests)40,600$1,700.00$69,020,000.00
19Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (small entity)S: 14,500 M: 2,900S: $850.00 M: $425.00S: $12,325,000.00 M: $1,232,500.00
20Request for Oral Hearing Before the Patent Trial and Appeal Board700$1,300$910,000.00
20Request for Oral Hearing Before the Patent Trial and Appeal Board (small entity)S: 240 M: 10S: $650.00 M: $325.00S: $156,000.00 M: $3,250.00
21Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)520$140.00$72,800.00
21Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (small entity)S: 190 M: 40S: $70.00 M: $35.00S: $13,300.00 M: $1,400.00
22Request for Voluntary Publication or Republication (includes publication fee for republication)300$130.00$39,000.00
24Processing Fee Under 37 CFR 1.17(i) Transmittal340$130.00$44,200.00
32Filing a submission after final rejection (see 37 CFR 1.129(a))60$840.00$50,400.00
32Filing a submission after final rejection (see 37 CFR 1.129(a)) (small entity)S: 50 M: 10S: $420.00 M: $210.00S: $21,000.00 M: $2,100.00
33Correction of inventorship after first office action on the merits2,100$600.00$1,260,000.00
33Correction of inventorship after first office action on the merits (small entity)S: 750 M: 150S: $300.00 M: $150.00S: $225,000.00 M: $22,500.00
34Request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)10,500$140.00$1,470,000.00
34Request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)S: 3,750 M: 750S: $70.00 M: $35.00S: $262,500.00 M: $26,250.00
Total740,425$419,737,070.00
* “S” and “M” denote “Small Entity” and “Micro Entity” and reference the lower fee rates offered to small entities.
Start Printed Page 32302

Therefore, the USPTO estimates that the total annual (non-hour) cost burden for this collection will be $420,815,258.45, with $1,078,188.45 in postage costs and $419,737,070.00 in filing fees.

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;

(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.

Comments submitted in response to this notice will be summarized or included in the request for OMB approval of this information collection; they also will become a matter of public record.

Start Signature

Dated: May 16, 2016.

Marcie Lovett,

Records Management Division Director, OCIO, United States Patent and Trademark Office.

End Signature End Supplemental Information

[FR Doc. 2016-12042 Filed 5-20-16; 8:45 am]

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