Patent Processing (Updating), 30662-30665 [E6-8241]

Agencies

• Patent and Trademark Office

[Federal Register Volume 71, Number 103 (Tuesday, May 30, 2006)]
[Notices]
[Pages 30662-30665]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-8241]


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 PATENT AND TRADEMARK OFFICE


Patent Processing (Updating)

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 and other Federal agencies to take this 
opportunity to comment on the 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 31, 2006.

ADDRESSES: You may submit comments by any of the following methods:
    E-mail: Susan.Brown@uspto.gov. Include ``0651-0031 comment'' in the 
subject line of the message.
    Fax: 571-273-0112, marked to the attention of Susan Brown.
    Mail: Susan K. Brown, Records Officer, Office of the Chief 
Information Officer, Architecture, Engineering and Technical Services, 
Data Architecture and Services Division, U.S. Patent and Trademark 
Office, P.O. Box 1450, Alexandria, VA 22313-1450.
    Federal e-Rulemaking Portal: https://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Robert J. Spar, Director, Office 
of Patent Legal Administration, U.S. Patent and Trademark Office, P.O. 
Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-7700; or 
by e-mail at bob.spar@uspto.gov.

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. Also, the USPTO is 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.
    The USPTO is adding two new forms into this collection. PTO/SB/33, 
Pre-Appeal Brief Request for Review, is a new optional procedure that 
is intended to spare applicants the added time and expense of preparing 
an appeal brief for an application that ultimately may be categorized 
as ``not in condition for appeal.''
    Also new is form PTO/SB/28, Petition to Make Special Under 
Accelerated Examination Program. The requirement for the petition is 
already approved in the collection; however, the response time has been 
increased from 1 hour to 12 hours. Applicants who choose to participate 
in this optional procedure in order to receive the benefit of 
accelerated examination will have to share in the examination burden to 
a greater extent. In return, such applicants will receive the benefit 
of an early patentability determination for their claimed invention.
    A previously overlooked requirement, the Request for Corrected 
Filing Receipt, is also being added into the collection, in both paper 
and electronic formats. Forms for this requirement are currently under 
development.
    There are 41 forms associated with this collection.

II. Method of Collection

    By mail, facsimile, or hand delivery to the USPTO. The eIDS 
(electronic information disclosure statements), the electronic filing 
system (EFS) copy of the application for publication, and the request 
for corrected filing receipt may be submitted electronically over the 
Internet.

III. Data

    OMB Number: 0651-0031.
    Form Number(s): PTO/SB/08/08a/08b, PTO/SB/17i, PTO/SB/17P; PTO/SB/
21-28, PTO/SB/24A, PTO/SB/24B, PTO/SB/30-33, PTO/SB/35-39, PTO/SB/42-
43, PTO/SB/61-64, PTO/SB/64a, PTO/SB/67-68, PTO/SB/91-92, PTO/SB/96-97, 
PTO-2053-A/B, PTO-2054-A/B, PTO-2055-A/B, PTOL/413A.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Individuals or households; business or other for-
profit; not-for-profit institutions; farms; the Federal Government; and 
state, local or tribal governments.
    Estimated Number of Respondents: 2,604,029 responses per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public between 1 minute and 48 seconds (0.03 hours) to 12 hours 
(12.0 hours), depending upon the complexity of the situation, to 
gather, prepare, and submit the various documents in this information 
collection.
    Estimated Total Annual Respondent Burden Hours: 3,157,840 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $504,711,200 per 
year. The USPTO expects that the transmittal form; the petition for 
extension of time under 37 CFR 1.136(a); express abandonment under 
1.138; express abandonment to avoid publication under 1.138(c); 
requests to access, inspect and copy; deposit account order form; 
certificates of mailing/transmission; electronic filing system (EFS) 
copy of application for publication; the copy of the applicant or 
patentee's record of the application; the request for voluntary 
publication or republication; the petition for request for documents in 
a form other than that provided by 1.19; the request for processing of 
replacement drawings; and the request for corrected filing receipt will 
be prepared by paraprofessionals. Using the paraprofessional rate of 
$90 per hour, the USPTO estimates that the respondent cost burden for 
these items will be $191,469,600. The USPTO estimates that the 
remaining items in this collection will be prepared by associate 
attorneys in private firms. Using the professional hourly rate of $304 
per hour for associate attorneys in private firms, the USPTO estimates 
$313,241,600 per year for salary costs associated with respondents for 
the other items in this information collection. The total respondent 
cost burden is estimated to be $504,711,200 per year.

[[Page 30663]]



----------------------------------------------------------------------------------------------------------------
                                                                                     Estimated       Estimated
                  Item                         Estimated time for  response           annual       annual burden
                                                                                     responses         hours
----------------------------------------------------------------------------------------------------------------
Information Disclosure Statements--      2 hours................................         423,000         846,000
 Paper.
eIDS (Information Disclosure             2 hours................................          47,000          94,000
 Statements).
Transmittal Form.......................  2 hours................................       1,039,500       2,079,000
Petition for Extension of Time under 37  6 minutes..............................         189,000          18,900
 CFR 1.136(a).
Petition for Extension of Time under 37  30 minutes.............................              54              27
 CFR 1.136(b).
Express Abandonment Under 37 CFR 1.138.  12 minutes.............................          13,825           2,765
Petition for Express Abandonment to      12 minutes.............................             500             100
 Avoid Publication Under 1.138(c).
Disclaimers............................  12 minutes.............................          15,000           3,000
Request for Expedited Examination of a   6 minutes..............................             130              13
 Design Application.
Notice of Appeal.......................  12 minutes.............................          16,500           3,300
Information Disclosure Citation in a     2 hours................................           1,830           3,660
 Patent.
Petition for Revival of an Application   8 hours................................             585           4,680
 for Patent Abandoned Unavoidably.
Petition for Revival of an Application   1 hour.................................           6,950           6,950
 for Patent Abandoned Unintentionally.
Petition for Revival of an Application   1 hour.................................           2,400           2,400
 for Patent Abandoned for Failure to
 Notify the Office of a Foreign or
 International Filing.
Requests to Access, Inspect and Copy...  12 minutes.............................          18,650           3,730
Deposit Account Order Form.............  12 minutes.............................           1,160             232
Certificates of Mailing/Transmission...  1 minute, 48 seconds...................         590,000          17,700
Statement Under 37 CFR 3.73(b).........  12 minutes.............................          19,450           3,890
Non-publication Request................  6 minutes..............................          31,500           3,150
Rescission of Previous Non-publication   6 minutes..............................             525              53
 Request (35 U.S.C. Sec.
 122(b)(2)(B)(ii)) and, if applicable,
 Notice of Foreign Filing (35 U.S.C.
 Sec.   122(b)(2)(B)(iii)).
Electronic Filing System (EFS) Copy of   2 hours, 30 minutes....................           1,000           2,500
 Application for Publication.
Copy of File Content Showing Redactions  4 hours................................              12              48
Copy of the Applicant or Patentee's      1 hour.................................             235             235
 Record of the Application (including
 copies of the correspondence, list of
 the correspondence, and statements
 verifying whether the record is
 complete or not).
Request for Continued Examination (RCE)  12 minutes.............................          56,000          11,200
 Transmittal.
Request for Oral Hearing Before the      12 minutes.............................             750             150
 Board of Patent Appeals and
 Interferences.
Request for Deferral of Examination 37   12 minutes.............................              53              11
 CFR 1.103(d).
Request for voluntary publication or     12 minutes.............................              70              14
 republication.
Applicant Initiated Interview Request    21 minutes.............................           1,600             560
 Form.
Petition for Request for Documents in a  1 hour.................................              50              50
 Form Other Than That Provided by 1.19.
Petitions under 37 CFR 1.17(f) include:  4 hours................................           3,300          13,200
    Petition to Accord a Filing Date
     under 1.57(a).
    Petition to Accord a Filing Date
     under 1.153(e).
    Petition for Decision on a Question
     Not Specifically Provided For.
    Petition to Suspend the Rules......
Petitions under 37 CFR 1.17(g) include:  2 hours................................           3,600           7,200
    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.
Petitions under 37 CFR 1.17(h) include   1 hour.................................          10,400          10,400
 existing petition not covered in any
 collection:.
    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.
Request for Processing of Replacement    1 hour.................................              50              50
 Drawings to Include the Drawings in
 Any Patent Application Publication.
Processing Fee Under 37 CFR 1.17(i)      5 minutes..............................             500              40
 Transmittal.
Petition Fee Under 37 CFR 1.17(f),(g)    5 minutes..............................          17,300           1,384
 and (h) Transmittal.
Request to Retrieve Electronic Priority  8 minutes..............................          36,800           4,784
 Application(s) Under 37 CFR 1.55(d).
Authorization to Permit Access to        6 minutes..............................          21,000           2,100
 Application by Participating Offices
 Under 37 CFR 1.14(h).
Petition for Express Abandonment to      12 minutes.............................           3,000             600
 Obtain a Refund.
Pre-Appeal Brief Request for Review....  30 minutes.............................           3,200           1,600
Request for Corrected Filing Receipt...  5 minutes..............................          25,000           2,000
Request for Corrected Filing Receipt     5 minutes..............................           2,050             164
 (electronic).
Petition to Make Special Under           12 hours...............................             500           6,000
 Accelerated Examination Program.
                                                                                 -------------------------------
    Total..............................  .......................................       2,604,029       3,157,840
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    Estimated Total Annual (non-hour) Respondent Cost Burden: 
$156,933,477. There are no capital start-up or maintenance costs 
associated with this information collection. However, this collection 
does have record keeping costs, postage costs, and filing fees.
    When submitting the information in this collection electronically, 
the applicant is strongly urged to retain a copy of the file submitted 
to the USPTO as evidence of authenticity and to keep the acknowledgment 
receipt as clear evidence that the file was received by the USPTO on 
the date noted. The

[[Page 30664]]

USPTO estimates that it will take 5 seconds (0.001 hours) to print and 
retain a copy of the eIDS, the EFS application for publication and the 
request for corrected filing receipt submissions, and that 
approximately 50,050 submissions per year (47,000 eIDS, 1,000 EFS, and 
2,050 corrected filing receipt) will use this option, for a total of 50 
hours per year for printing this receipt. Using the paraprofessional 
rate of $90 per hour, the USPTO estimates that the record keeping cost 
associated with this collection will be $4,500 per year.
    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 
up to 2,553,979 submissions per year may be mailed to the USPTO at an 
average first-class postage cost of 63 cents, for a total postage cost 
of $1,609,007.
    There is also annual (non-hour) cost burden in the way of filing 
fees associated with this collection. The total estimated filing costs 
of $155,319,970 are calculated in the accompanying chart:

----------------------------------------------------------------------------------------------------------------
                                                                                                 Total non-hour
                      Item                        Responses            Filing fee ($)           cost burden  (a)
                                                                                                     x (b)
                                                         (a)  (b)............................                (c)
----------------------------------------------------------------------------------------------------------------
Submission of an Information Disclosure               42,200  $180.00........................      $7,596,000.00
 Statement (IDS) under 37 CFR 1.97(c) or (d).
Transmittal forms..............................    1,039,500  None...........................                  0
One month extension of time under 37 CFR              60,270  120.00.........................       7,232,400.00
 1.136(a).
One month extension of time under 37 CFR              23,503  60.00..........................       1,410,180.00
 1.136(a) (small entity).
Two month extension of time under 37 CFR              31,225  450.00.........................      14,051,250.00
 1.136(a).
Two month extension of time under 37 CFR              12,891  225.00.........................       2,900,475.00
 1.136(a) (small entity).
Three month extension of time under 37 CFR            32,724  1,020.00.......................      33,378,480.00
 1.136(a).
Three month extension of time under 37 CFR            16,413  510.00.........................       8,370,630.00
 1.136(a) (small entity).
Four month extension of time under 37 CFR              3,370  1,590.00.......................       5,358,300.00
 1.136(a).
Four month extension of time under 37 CFR              2,267  795.00.........................       1,802,265.00
 1.136(a) (small entity).
Five month extension of time under 37 CFR              2,163  2,160.00.......................       4,672,080.00
 1.136(a).
Five month extension of time under 37 CFR              4,174  1,080.00.......................       4,507,920.00
 1.136(a) (small entity).
Extension of time under 37 CFR 1.136(b)........           54  None...........................                  0
Express Abandonment under 37 CFR 1.138.........       13,825  None...........................                  0
Petition for express abandonment to avoid                500  130.00.........................          65,000.00
 publication under 37 CFR 1.138(c)).
Statutory Disclaimer...........................       11,250  130.00.........................       1,462,500.00
Statutory Disclaimer (small entity)............        3,750  65.00..........................         243,750.00
Requests for Expedited Examination of a design           130  900.00.........................         117,000.00
 application.
Notice of Appeal...............................       12,570  500.00.........................       6,285,000.00
Notice of Appeal (small entity)................        3,930  250.00.........................         982,500.00
Information Disclosure Citations...............        1,830  None...........................                  0
Petition to Revive Unavoidably Abandoned                 250  500.00.........................         125,000.00
 Application.
Petition to Revive Unavoidably Abandoned                 335  250.00.........................          83,750.00
 Application (small entity).
Petition to Revive Unintentionally Abandoned           3,700  1,500.00.......................       5,550,000.00
 Application.
Petition to Revive Unintentionally Abandoned           3,250  750.00.........................       2,437,500.00
 Application (small entity).
Petition for Revival of an Application for             1,440  1,300.00.......................       1,872,000.00
 Patent Abandoned for Failure to Notify the
 Office of a Foreign or International Filing.
Petition for Revival of an Application for               960  650.00.........................         624,000.00
 Patent Abandoned for Failure to Notify the
 Office of a Foreign or International Filing--
 Small Entity.
Requests to Access, Inspect and Copy...........       18,650  None...........................                  0
Deposit Account Order Form.....................        1,160  None...........................                  0
Certificates of Mailing/Transmission...........      590,000  None...........................                  0
Statement Under 37 CFR 3.73(b).................       19,450  None...........................                  0
Non-publication Request........................       31,500  None...........................                  0
Rescission of Non-publication Request..........          525  None...........................                  0
Electronic Filing System (EFS) Copy of                 1,000  None...........................                  0
 Application for Publication.
Electronic Filing System (EFS) Copy of                    70  430.00.........................          30,100.00
 Application for Voluntary Publication or
 Republication.
Copy of File Content Showing Redactions........           12  None...........................                  0
Copy of the Applicant or Patentee's Record of            235  None...........................                  0
 the Application (including copies of the
 correspondence, list of the correspondence,
 and statements verifying whether the record is
 complete or not).
Request for Continued Examination (RCE)               44,800  790.00.........................      35,392,000.00
 Transmittal.
Request for Continued Examination (RCE)               11,200  395.00.........................       4,424,000.00
 Transmittal (small entity).
Request for an Oral Hearing....................          600  1,000.00.......................         600,000.00
Request for an Oral Hearing (small entity).....          150  500.00.........................          75,000.00
Processing fee for deferral of examination.....           53  430.00.........................          22,790.00
Request for voluntary publication or                      70  130.00.........................           9,100.00
 republication.
Applicant initiated interview request form.....        1,600  None...........................                  0
Petition for request for documents in a form              50  130.00.........................           6,500.00
 other than that provided by 1.19.
Petitions under 37 CFR 1.17(f) include:........        3,300  400.00.........................       1,320,000.00
    Petition to Accord a Filing Date under
     1.57(a).
    Petition to Accord a Filing Date under
     1.153(e).
    Petition for Decision on a Question Not
     Specifically Provided For.
    Petition to Suspend the Rules..............
Petitions under 37 CFR 1.17(g) include:........        3,600  200.00.........................         720,000.00
    Petition to Access an Assignment Record....
    Petition for Access to an Application......

[[Page 30665]]

 
    Petition for Expungement and Return of
     Information.
    Petition to Suspend Action in an
     Application.
Petitions under 37 CFR 1.17(h) include existing       10,400  130.00.........................       1,352,000.00
 petition not covered in any collection:.
    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.....
Request for processing of replacement drawings            50  130.00.........................           6,500.00
 to include the drawings in any patent
 application publication.
Processing fee under 37 CFR 1.17(I) transmittal          500  130.00.........................          65,000.00
Petition Fee Under 37 CFR 1.17(f),(g) and (h)         17,300  None...........................                  0
 Transmittal.
Request to retrieve electronic priority               36,800  None...........................                  0
 application(s) under 37 CFR 1.55(d).
Authorization to permit access to application         21,000  None...........................                  0
 by participating offices under 37 CFR 1.17(h).
Petition for express abandonment to obtain a           3,000  None...........................                  0
 refund.
Pre-Appeal Brief Request for Review (filed with        2,400  None...........................                  0
 the Notice of Appeal).
Pre-Appeal Brief Request for Review (filed               800  130.00.........................         104,000.00
 later than the Notice of Appeal).
Correction Request Form........................       25,000  None...........................                  0
Correction Request Form (electronic)...........        2,050  None...........................                  0
Petition to Make Special Under Accelerated               500  130.000........................          65,000.00
 Examination Program.
                                                -------------                                 ------------------
    Total......................................    2,176,299  ...............................     155,319,970.00
----------------------------------------------------------------------------------------------------------------

    The USPTO estimates that the total (non-hour) respondent cost 
burden for this collection in the form of record keeping costs, postage 
costs, and filing fees is $156,933,477.

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, including through 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 will also become a matter of public record.

    Dated: May 22, 2006.
Susan K. Brown,
Records Officer, USPTO, Office of the Chief Information Officer, 
Architecture, Engineering and Technical Services, Data Architecture and 
Services Division.
 [FR Doc. E6-8241 Filed 5-26-06; 8:45 am]
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