Proposed Collection; Comment Request; “Rules for Patent Maintenance Fees”, 11178-11181 [2015-04212]
Download as PDF
<![CDATA[
11178
Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices
prepare an environmental assessment or
environmental impact statement.
Concurrent with the publication of
this notice in the Federal Register,
NMFS is forwarding copies of the
application to the Marine Mammal
Commission and its Committee of
Scientific Advisors.
Dated: February 24, 2015.
Julia Harrison,
Chief, Permits and Conservation Division,
Office of Protected Resources, National
Marine Fisheries Service.
[FR Doc. 2015–04167 Filed 2–27–15; 8:45 am]
BILLING CODE 3510–22–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
Submission for OMB Review;
Comment Request; Recording
Assignments
The Department of Commerce will
submit to the Office of Management and
Budget (OMB) for clearance the
following proposal for collection of
information under the provisions of the
Paperwork Reduction Act (44 U.S.C.
Chapter 35).
Agency: United States Patent and
Trademark Office, Commerce
Title: Recording Assignments
OMB Control Number: 0651–0027
Form Number(s):
• PTO–1594
• PTO–1595
Type of Request: Regular
Number of Respondents: 524,298
Average Hours per Response: 0.5
Burden Hours: 262,150 annually
Cost Burden: $2,954,726
asabaliauskas on DSK5VPTVN1PROD with NOTICES
Needs and Uses:
This collection of information is
required by 35 U.S.C. 261 and 262 for
patents and 15 U.S.C. 1057 and 1060 for
trademarks. These statutes authorize the
United States Patent and Trademark
Office (USPTO) to record patent and
trademark assignment documents,
including transfers of properties (i.e.
patents and trademarks), liens, licenses,
assignments of interest, security
interests, mergers, and explanations of
transactions or other documents that
record the transfer of ownership of a
particular patent or trademark property
from one party to another. Assignments
are recorded for applications, patents,
and trademark registrations.
The USPTO administers these statutes
through 37 CFR 2.146, 2.171, and 37
CFR part 3. These rules permit the
public, corporations, other federal
agencies, and Government-owned or
VerDate Sep<11>2014
16:55 Feb 27, 2015
Jkt 235001
Government-controlled corporations to
submit patent and trademark
assignment documents and other
documents related to title transfers to
the USPTO to be recorded. In
accordance with 37 CFR 3.54, the
recording of an assignment document by
the USPTO is an administrative action
and not a determination of the validity
of the document or of the effect that the
document has on the title to an
application, patent, or trademark.
Affected Public: Businesses or other
for-profits; not-for-profit institutions.
Frequency: On occasion
Respondent’s Obligation: Required to
Obtain or Retain Benefits
OMB Desk Officer: Nicholas A. Fraser,
email: Nicholas_A._Fraser@
omb.eop.gov.
Once submitted, the request will be
publicly available in electronic format
through reginfo.gov. Follow the
instructions to view Department of
Commerce collections currently under
review by OMB.
Paper copies can be obtained by:
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0027
Recording Assignments’’ in the subject
line of the message.
• 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.
Written comments and
recommendations for the proposed
information collection should be sent on
or before April 1, 2015 to Nicholas A.
Fraser, OMB Desk Officer, via email to
Nicholas_A._Fraser@omb.eop.gov, or by
fax to 202–395–5167, marked to the
attention of Nicholas A. Fraser.
Dated: February 20, 2015.
Marcie Lovett,
Records Management Division Director,
USPTO, Office of the Chief Information
Officer.
[FR Doc. 2015–04214 Filed 2–27–15; 8:45 am]
BILLING CODE 3510–16–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
Proposed Collection; Comment
Request; ‘‘Rules for Patent
Maintenance Fees’’
United States Patent and
Trademark Office, Commerce.
ACTION: Notice.
AGENCY:
The United States Patent and
Trademark Office (USPTO), as part of its
SUMMARY:
PO 00000
Frm 00025
Fmt 4703
Sfmt 4703
continuing effort to reduce paperwork
and respondent burden, invites the
general public and other Federal
agencies to comment on proposed and/
or continuing information collections,
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 May 1, 2015.
ADDRESSES: Written comments may be
submitted by any of the following
methods:
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0016 Rules for
Patent Maintenance Fees’’ in the subject
line of the message.
• 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.
• Federal Rulemaking Portal: https://
www.regulations.gov.
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 (USPTO),
P.O. Box 1450, Alexandria, VA 22313–
1450; by telephone at 571–272–7728; or
by email at Raul.Tamayo@uspto.gov
with ‘‘Paperwork’’ in the subject line.
Additional information about this
collection is also available at https://
www.reginfo.gov under ‘‘Information
Collection Review.’’
SUPPLEMENTARY INFORMATION:
I. Abstract
Under 35 U.S.C. § 41 and 37 CFR
1.20(e)–(i) and 1.362–1.378, the United
States Patent and Trademark Office
(USPTO) charges fees for maintaining in
force all utility patents based on
applications filed on or after December
12, 1980. Payment of these maintenance
fees is due at 3 1/2, 7 1/2, and 11 1/2
years after the date the patent was
granted. If the USPTO does not receive
payment of the appropriate maintenance
fee and any applicable surcharge within
a grace period of six months following
each of the above due dates (at 4, 8, or
12 years after the date of grant), the
patent will expire at that time. After a
patent expires, it is no longer
enforceable. Maintenance fees are not
required for design or plant patents, or
for reissue patents if the patent being
reissued did not require maintenance
fees.
Payments of maintenance fees that are
submitted during the six-month grace
period before patent expiration must
include the appropriate surcharge as
E:\FR\FM\02MRN1.SGM
02MRN1
11179
Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices
indicated by 37 CFR 1.20(h).
Submissions of maintenance fee
payments and surcharges must include
the relevant patent number and the
corresponding United States application
number in order to identify the correct
patent and ensure proper crediting of
the fee being paid.
If the USPTO refuses to accept and
record a maintenance fee payment that
was submitted prior to the expiration of
a patent, the patentee may petition the
Director to accept and record the
maintenance fee under 37 CFR 1.377.
This petition must be accompanied by
the fee indicated in 37 CFR 1.17(g),
which may be refunded if it is
determined that the refusal to accept the
maintenance fee was due to an error by
the USPTO.
If a patent has expired due to
nonpayment of a maintenance fee, the
patentee may petition the Director to
accept a delayed payment of the
maintenance fee under 37 CFR 1.378.
The Director may accept the payment of
a maintenance fee after the expiration of
the patent if the petitioner shows to the
satisfaction of the Director that the delay
in payment was unintentional. Petitions
to accept unintentionally delayed
payment must also be accompanied by
the required maintenance fee and
appropriate surcharge under 37 CFR
1.20(i). If the Director accepts the
maintenance fee payment upon petition,
then the patent is reinstated. If the
USPTO denies a petition to accept
delayed payment of a maintenance fee
in an expired patent, the patentee may
petition the Director to reconsider that
decision under 37 CFR 1.378(e). This
petition must be accompanied by the fee
indicated in 37 CFR 1.17(f), which may
be refunded if it is determined that the
refusal to accept the maintenance fee
was due to an error by the USPTO.
The rules of practice (37 CFR 1.33(d)
and 1.363) permit applicants, patentees,
assignees, or their representatives of
record to specify a ‘‘fee address’’ for
correspondence related to maintenance
fees that is separate from the
correspondence address associated with
a patent or application. A fee address
must be an address that is associated
with a USPTO customer number.
Customer numbers may be requested by
using the Request for Customer Number
form (PTO/SB/125), which is covered
under OMB control number 0651–0035.
Maintaining a correct and updated
address is necessary so that fee-related
correspondence from the USPTO will be
properly received by the applicant,
patentee, assignee, or authorized
representative. If a separate fee address
is not specified for a patent or
application, the USPTO will direct feerelated correspondence to the
correspondence address of record.
The USPTO offers forms to assist the
public with providing information
covered by this collection, including the
information necessary to submit a
patent maintenance fee payment (PTO/
SB/45) and to designate or change a fee
address (PTO/SB/47). The USPTO offers
a total of three different versions of the
form for petitions to accept
unintentionally delayed payment of
maintenance fee in an expired patent
under 37 CFR 1.378(c). In addition to (i)
the basic PDF that may be filled out
electronically and then printed and
mailed (or submitted online) (Form
PTO/SB/66), the USPTO offers (ii) an
enhanced PDF that is designed only to
be submitted electronically through
EFS-Web (PTO/SB/66—EFS-Web), and
(iii) a Web-based ePetition, which the
public can complete on a computer
using a Web browser and then click a
submit button to send the information to
the USPTO over the Internet (ePetition).
No forms are provided for the petitions
under 37 CFR 1.377 and 1.378(e).
Customers may submit maintenance
fee payments and surcharges incurred
during the six-month grace period
before patent expiration by using the
Maintenance Fee Transmittal Form
(PTO/SB/45) or by paying online
through the USPTO Web site. However,
to pay a maintenance fee after patent
expiration, the maintenance fee
payment and the appropriate surcharge
must be filed together with a petition to
accept unintentionally delayed
payment. The USPTO accepts online
maintenance fee payments by credit
card, deposit account, or electronic
funds transfer (EFT). Otherwise, nonelectronic payments may be made by
check, credit card, or deposit account.
II. Method of Collection
By mail, facsimile, hand delivery, or
electronically to the USPTO.
III. Data
OMB Number: 0651–0016.
IC Instruments: The individual
instruments in this collection, as well as
their associated forms, are listed in the
table below.
IC number
Form and function
1 ..............................
2 ..............................
3 ..............................
Maintenance Fee Transmittal Form, electronic and paper ...................................
Electronic Maintenance Fee Form, electronic .......................................................
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an
Expired Patent (37 CFR 1.378(c)), electronic and paper.
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an
Expired Patent (37 CFR 1.378(c))—EFS-Web, electronic.
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an
Expired Patent (37 CFR 1.378(c))—ePetition, electronic.
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377), electronic and paper.
Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed
Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(e)), electronic and paper.
‘‘Fee Address’’ Indication Form, electronic and paper ..........................................
4 ..............................
5 ..............................
6 ..............................
7 ..............................
asabaliauskas on DSK5VPTVN1PROD with NOTICES
8 ..............................
Type of Review: Regular
Affected Public: Individuals or
households; businesses or other forprofits; and not-for-profit institutions.
Estimated Number of Respondents:
525,309 responses per year. The USPTO
estimates that approximately 25% of
VerDate Sep<11>2014
16:55 Feb 27, 2015
Jkt 235001
Form #
these responses will be from small
entities.
Estimated Time per Response: The
USPTO estimates that it will take the
public approximately 20 seconds (0.006
hours) to 8 hours to submit the
PO 00000
Frm 00026
Fmt 4703
Sfmt 4703
PTO/SB/45
No Form Associated
PTO/SB/66
PTO/SB/66
ePetition
No Form Associated
No Form Associated
PTO/SB/47
information in this collection, 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
E:\FR\FM\02MRN1.SGM
02MRN1
11180
Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices
responses, and estimated annual hour
burden associated with each instrument
in this information collection is shown
in the table below.
Estimated Total Annual Hour Burden:
18,123.42 hours.
Estimated Total Annual Cost Burden
(Hourly): $3,263,347.08. The USPTO
expects that the petitions included in
this collection will be prepared by
attorneys and that the other items in this
collection will be prepared by
paraprofessionals. Using the
professional rate of $389 per hour for
attorneys in private firms, the USPTO
estimates that the respondent cost
burden for attorneys submitting the
petitions will total $1,470,420 per year.
Using the paraprofessional rate of $125
per hour, the USPTO estimates that the
respondent cost burden for
paraprofessionals submitting the other
items in this collection will total
$1,792,927.08 per year, for a total
annual respondent cost burden of
$3,263,347.08.
1 ..................
2 ..................
3 ..................
4 ..................
5 ..................
6 ..................
7 ..................
8 ..................
Totals ...
Minutes
Item/form No.
Maintenance Fee Transmittal Transactions
(PTO/SB/45).
Electronic Maintenance Fee Transactions
Petition to Accept Unintentionally Delayed
Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) (PTO/
SB/66).
Petition to Accept Unintentionally Delayed
Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) (PTO/
SB/66)—EFS-Web.
Petition to Accept Unintentionally Delayed
Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) (PTO/
SB/66)—ePetition.
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377).
Petition for Reconsideration of Decision on
Petition Refusing to Accept Delayed
Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(e)).
‘‘Fee Address’’ Indication Form (PTO/SB/
47).
.....................................................................
Estimated Total Annual Cost Burden
(Non-Hourly): $3,801.42. This
information collection has annual (nonhour) cost burden in the form of postage
costs.
The public may submit the forms and
petitions in this collection to the
Responses
(yr)
Burden
(hrs/yr)
Rate
($/hr)
Total cost
($/yr)
(a)
IC No.
(b)
(c) (a x b)/60
(d)
(e) (c x d)
5
37,434
3,119.5
$125.00
$389,937.50
0.333
60
375,555
1,000
2,086.42
1,000
125.00
389.00
260,802.08
389,000.00
60
500
500
389.00
194,500.00
60
1,000
1,000
389.00
389,000.00
240
20
80
389.00
31,120.00
480
150
1,200
389.00
466,800.00
5
109,650
9,137.5
125.00
1,142,187.50
........................
525,309
18,123.42
........................
3,263,347.08
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. The USPTO
estimates that the average first-class
postage cost for a mailed submission
will be 49 cents and that approximately
7,758 submissions per year may be
mailed to the USPTO, for a total postage
cost of $3,801.42 per year.
3 ...................
Item
8 ...................
Totals ....
Postage cost
Total non-hour
cost burden
(postage)
(b)
(c) (a x b)
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in
an Expired Patent (37 CFR 1.378(c)).
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to
Expiration of Patent (37 CFR 1.377).
Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR
1.378(e)).
‘‘Fee Address’’ Indication Form .........................................................................
............................................................................................................................
6 ...................
7 ...................
asabaliauskas on DSK5VPTVN1PROD with NOTICES
Responses
(a)
IC No.
VerDate Sep<11>2014
18:19 Feb 27, 2015
Jkt 235001
PO 00000
Frm 00027
Fmt 4703
Sfmt 4703
E:\FR\FM\02MRN1.SGM
70
$0.49
$34.30
1
0.49
0.49
11
0.49
5.39
7,676
0.49
3,761.24
7,758
........................
3,801.42
02MRN1
Federal Register / Vol. 80, No. 40 / Monday, March 2, 2015 / Notices
The total (non-hour) respondent cost
burden for this collection in the form of
postage costs is estimated to be
$3,801.42 per year.
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,
including the validity of the
methodology and assumptions used; (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, e.g., permitting electronic
submission of responses.
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.
[FR Doc. 2015–04212 Filed 2–27–15; 8:45 am]
BILLING CODE 3510–16–P
CONSUMER PRODUCT SAFETY
COMMISSION
[CPSC Docket No. 15–C0003]
General Electric Company, Provisional
Acceptance of a Settlement Agreement
and Order
Consumer Product Safety
Commission.
ACTION: Notice.
AGENCY:
It is the policy of the
Commission to publish settlements
which it provisionally accepts under the
Consumer Product Safety Act in the
Federal Register in accordance with the
terms of 16 CFR 1118.20(e). Published
below is a provisionally-accepted
Settlement Agreement with General
Electric Company, containing a civil
penalty of $3,500,000, within twenty
(20) days of service of the Commission’s
final Order accepting the Settlement
Agreement.
DATES: Any interested person may ask
the Commission not to accept this
asabaliauskas on DSK5VPTVN1PROD with NOTICES
VerDate Sep<11>2014
16:55 Feb 27, 2015
Jkt 235001
Dated: February 24, 2015.
Alberta E. Mills,
Acting Secretary.
UNITED STATES OF AMERICA
CONSUMER PRODUCT SAFETY
COMMISSION
In the Matter of: GENERAL ELECTRIC
COMPANY, CPSC Docket No.: 15–C0003
SETTLEMENT AGREEMENT
1. In accordance with the Consumer
Product Safety Act, 15 U.S.C. §§ 2051–2089
(CPSA) and 16 CFR 1118.20, General Electric
Company (‘‘GE’’ or ‘‘Firm’’), and the United
States Consumer Product Safety Commission
(‘‘Commission’’), through its staff, hereby
enter into this Settlement Agreement
(‘‘Agreement’’). The Agreement, and the
incorporated attached Order, resolve staff’s
charges set forth below.
Dated: February 20, 2015.
Marcie Lovett,
Records Management Division Director,
USPTO, Office of the Chief Information
Officer.
SUMMARY:
agreement or otherwise comment on its
contents by filing a written request with
the Office of the Secretary by March 17,
2015.
ADDRESSES: Persons wishing to
comment on this Settlement Agreement
should send written comments to the
Comment 15–C0003 Office of the
Secretary, Consumer Product Safety
Commission, 4330 East West Highway,
Room 820, Bethesda, Maryland 20814–
4408.
FOR FURTHER INFORMATION CONTACT:
Jennifer C. Argabright, Trial Attorney,
Office of the General Counsel, Division
of Compliance, Consumer Product
Safety Commission, 4330 East West
Highway, Bethesda, Maryland 20814–
4408; telephone (301) 504–7808.
SUPPLEMENTARY INFORMATION: The text of
the Agreement and Order appears
below.
THE PARTIES
2. The Commission is an independent
federal regulatory agency, established
pursuant to, and responsible for the
enforcement of, the CPSA, 15 U.S.C. §§ 2051–
2089. By executing the Agreement, staff is
acting on behalf of the Commission, pursuant
to 16 CFR § 1118.20(b). The Commission
issues the Order under the provisions of the
CPSA.
3. GE is a corporation, organized and
existing under the laws of the state of New
York, with its principal place of business in
Fairfield, CT. GE Appliances (‘‘GEA’’ or ‘‘GE
Appliances’’) is an unincorporated business
unit of GE that is located in Louisville, KY.
STAFF CHARGES
GE RANGES
4. Between June 2002 through December
2004, GE imported into the United States
approximately 28,000 dual fuel ranges (the
Range). The Range was sold through
department and appliance stores nationwide
for approximately $1,300 to $2,000 between
June 2002 and December 2005.
5. The Range is a 30-inch wide GE Profile
Dual Fuel Freestanding Range with an
PO 00000
Frm 00028
Fmt 4703
Sfmt 4703
11181
electric range with gas cooktop burners. The
Range is a ‘‘consumer product’’ ‘‘distributed
in commerce,’’ as those terms are defined or
used in sections 3(a)(5), (8), and (11) of the
CPSA, 15 U.S.C. § 2052(a)(5), (8), and (11). At
all relevant times, GE was a ‘‘manufacturer’’
of the Range, as such term is defined or used
in sections 3(a)(11) of the CPSA, 15 U.S.C.
§ 2052(a)(11).
6. The Range is defective because a
connector in the wire harness at the rear of
the Range can overheat, posing a fire and
burn hazard to consumers.
7. GE first received notice of a possible
Range failure in 2003, when a consumer
reported to GE that she had called the fire
department because the Range had caught
fire while it was pre-heating. A GE technician
noted that the wiring had shorted out. By the
end of 2004, GE received four more consumer
complaints of fire or melted wires. In 2004,
GE technicians examined several of the
Ranges involved in the consumer complaints
and confirmed that the wiring harness at the
rear of the Range could overheat, causing a
fire hazard.
8. In December 2004, to reduce the risk of
an overheated connector, GE redesigned the
Range to remove the connectors in the wiring
harness. By this time, GE had obtained
sufficient information that reasonably
supported the conclusion that the Range
contained a defect or possible defect which
could create a substantial product hazard or
created an unreasonable risk of serious injury
or death. GE was required to inform the
Commission immediately of such defect or
risk, as required by sections 15(b)(3) and (4)
of the CPSA, 15 U.S.C. § 2064(b)(3) and (4).
9. After the redesign of the Range, GE
continued to receive reports from consumers
of overheated wiring and fires that occurred
in the back of the Range.
10. Despite having information regarding
the Range’s defect or risk, GE failed to inform
the Commission immediately of such defect
or risk, as required by sections 15(b)(3) and
(4) of the CPSA, 15 U.S.C. §§ 2064(b)(3) and
(4).
11. GE did not file its Full Report with the
Commission until February 25, 2009. GE
recalled the Range on April 8, 2009. By that
time, GE was aware of an additional eight
reports of harness and wiring overheating in
the back of the Range, including five in
which the consumer reported that the unit or
wiring caught fire. GE failed to update the
Commission regarding these new incidents.
GE DISHWASHERS
12. Between July 2003 and December 2006,
GE manufactured approximately 174,000
stainless steel tub dishwashers (the
Dishwasher). The Dishwasher was sold
through department and appliance stores
nationwide for approximately $750 to $1,400
between July 2003 and October 2010.
13. The Dishwasher was sold under brand
name of GE Profile or GE Monogram. The
Dishwasher is a ‘‘consumer product’’
‘‘distributed in commerce,’’ as those terms
are defined or used in sections 3(a)(5), (8),
and (11) of the CPSA, 15 U.S.C. § 2052(a)(5),
(8), and (11). At all relevant times, GE was
a ‘‘manufacturer’’ of the Dishwasher, as such
term is defined or used in sections 3(a)(11)
of the CPSA, 15 U.S.C. § 2052(a)(11).
E:\FR\FM\02MRN1.SGM
02MRN1
]]>Agencies
[Federal Register Volume 80, Number 40 (Monday, March 2, 2015)]
[Notices]
[Pages 11178-11181]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-04212]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Proposed Collection; Comment Request; ``Rules for Patent
Maintenance Fees''
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Notice.
-----------------------------------------------------------------------
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 comment on
proposed and/or continuing information collections, 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 May 1, 2015.
ADDRESSES: Written comments may be submitted by any of the following
methods:
Email: InformationCollection@uspto.gov. Include ``0651-
0016 Rules for Patent Maintenance Fees'' in the subject line of the
message.
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.
Federal Rulemaking Portal: https://www.regulations.gov.
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
(USPTO), P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-
272-7728; or by email at Raul.Tamayo@uspto.gov with ``Paperwork'' in
the subject line. Additional information about this collection is also
available at https://www.reginfo.gov under ``Information Collection
Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
Under 35 U.S.C. Sec. 41 and 37 CFR 1.20(e)-(i) and 1.362-1.378,
the United States Patent and Trademark Office (USPTO) charges fees for
maintaining in force all utility patents based on applications filed on
or after December 12, 1980. Payment of these maintenance fees is due at
3 1/2, 7 1/2, and 11 1/2 years after the date the patent was granted.
If the USPTO does not receive payment of the appropriate maintenance
fee and any applicable surcharge within a grace period of six months
following each of the above due dates (at 4, 8, or 12 years after the
date of grant), the patent will expire at that time. After a patent
expires, it is no longer enforceable. Maintenance fees are not required
for design or plant patents, or for reissue patents if the patent being
reissued did not require maintenance fees.
Payments of maintenance fees that are submitted during the six-
month grace period before patent expiration must include the
appropriate surcharge as
[[Page 11179]]
indicated by 37 CFR 1.20(h). Submissions of maintenance fee payments
and surcharges must include the relevant patent number and the
corresponding United States application number in order to identify the
correct patent and ensure proper crediting of the fee being paid.
If the USPTO refuses to accept and record a maintenance fee payment
that was submitted prior to the expiration of a patent, the patentee
may petition the Director to accept and record the maintenance fee
under 37 CFR 1.377. This petition must be accompanied by the fee
indicated in 37 CFR 1.17(g), which may be refunded if it is determined
that the refusal to accept the maintenance fee was due to an error by
the USPTO.
If a patent has expired due to nonpayment of a maintenance fee, the
patentee may petition the Director to accept a delayed payment of the
maintenance fee under 37 CFR 1.378. The Director may accept the payment
of a maintenance fee after the expiration of the patent if the
petitioner shows to the satisfaction of the Director that the delay in
payment was unintentional. Petitions to accept unintentionally delayed
payment must also be accompanied by the required maintenance fee and
appropriate surcharge under 37 CFR 1.20(i). If the Director accepts the
maintenance fee payment upon petition, then the patent is reinstated.
If the USPTO denies a petition to accept delayed payment of a
maintenance fee in an expired patent, the patentee may petition the
Director to reconsider that decision under 37 CFR 1.378(e). This
petition must be accompanied by the fee indicated in 37 CFR 1.17(f),
which may be refunded if it is determined that the refusal to accept
the maintenance fee was due to an error by the USPTO.
The rules of practice (37 CFR 1.33(d) and 1.363) permit applicants,
patentees, assignees, or their representatives of record to specify a
``fee address'' for correspondence related to maintenance fees that is
separate from the correspondence address associated with a patent or
application. A fee address must be an address that is associated with a
USPTO customer number. Customer numbers may be requested by using the
Request for Customer Number form (PTO/SB/125), which is covered under
OMB control number 0651-0035. Maintaining a correct and updated address
is necessary so that fee-related correspondence from the USPTO will be
properly received by the applicant, patentee, assignee, or authorized
representative. If a separate fee address is not specified for a patent
or application, the USPTO will direct fee-related correspondence to the
correspondence address of record.
The USPTO offers forms to assist the public with providing
information covered by this collection, including the information
necessary to submit a patent maintenance fee payment (PTO/SB/45) and to
designate or change a fee address (PTO/SB/47). The USPTO offers a total
of three different versions of the form for petitions to accept
unintentionally delayed payment of maintenance fee in an expired patent
under 37 CFR 1.378(c). In addition to (i) the basic PDF that may be
filled out electronically and then printed and mailed (or submitted
online) (Form PTO/SB/66), the USPTO offers (ii) an enhanced PDF that is
designed only to be submitted electronically through EFS-Web (PTO/SB/
66--EFS-Web), and (iii) a Web-based ePetition, which the public can
complete on a computer using a Web browser and then click a submit
button to send the information to the USPTO over the Internet
(ePetition). No forms are provided for the petitions under 37 CFR 1.377
and 1.378(e).
Customers may submit maintenance fee payments and surcharges
incurred during the six-month grace period before patent expiration by
using the Maintenance Fee Transmittal Form (PTO/SB/45) or by paying
online through the USPTO Web site. However, to pay a maintenance fee
after patent expiration, the maintenance fee payment and the
appropriate surcharge must be filed together with a petition to accept
unintentionally delayed payment. The USPTO accepts online maintenance
fee payments by credit card, deposit account, or electronic funds
transfer (EFT). Otherwise, non-electronic payments may be made by
check, credit card, or deposit account.
II. Method of Collection
By mail, facsimile, hand delivery, or electronically to the USPTO.
III. Data
OMB Number: 0651-0016.
IC Instruments: The individual instruments in this collection, as
well as their associated forms, are listed in the table below.
------------------------------------------------------------------------
IC number Form and function Form #
------------------------------------------------------------------------
1............................. Maintenance Fee PTO/SB/45
Transmittal Form,
electronic and paper.
2............................. Electronic Maintenance No Form
Fee Form, electronic. Associated
3............................. Petition to Accept PTO/SB/66
Unintentionally
Delayed Payment of
Maintenance Fee in an
Expired Patent (37
CFR 1.378(c)),
electronic and paper.
4............................. Petition to Accept PTO/SB/66
Unintentionally
Delayed Payment of
Maintenance Fee in an
Expired Patent (37
CFR 1.378(c))--EFS-
Web, electronic.
5............................. Petition to Accept ePetition
Unintentionally
Delayed Payment of
Maintenance Fee in an
Expired Patent (37
CFR 1.378(c))--
ePetition, electronic.
6............................. Petition to Review No Form
Refusal to Accept Associated
Payment of
Maintenance Fee Prior
to Expiration of
Patent (37 CFR
1.377), electronic
and paper.
7............................. Petition for No Form
Reconsideration of Associated
Decision on Petition
Refusing to Accept
Delayed Payment of
Maintenance Fee in an
Expired Patent (37
CFR 1.378(e)),
electronic and paper.
8............................. ``Fee Address'' PTO/SB/47
Indication Form,
electronic and paper.
------------------------------------------------------------------------
Type of Review: Regular
Affected Public: Individuals or households; businesses or other
for-profits; and not-for-profit institutions.
Estimated Number of Respondents: 525,309 responses per year. The
USPTO estimates that approximately 25% of these responses will be from
small entities.
Estimated Time per Response: The USPTO estimates that it will take
the public approximately 20 seconds (0.006 hours) to 8 hours to submit
the information in this collection, 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
[[Page 11180]]
responses, and estimated annual hour burden associated with each
instrument in this information collection is shown in the table below.
Estimated Total Annual Hour Burden: 18,123.42 hours.
Estimated Total Annual Cost Burden (Hourly): $3,263,347.08. The
USPTO expects that the petitions included in this collection will be
prepared by attorneys and that the other items in this collection will
be prepared by paraprofessionals. Using the professional rate of $389
per hour for attorneys in private firms, the USPTO estimates that the
respondent cost burden for attorneys submitting the petitions will
total $1,470,420 per year. Using the paraprofessional rate of $125 per
hour, the USPTO estimates that the respondent cost burden for
paraprofessionals submitting the other items in this collection will
total $1,792,927.08 per year, for a total annual respondent cost burden
of $3,263,347.08.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Burden (hrs/ Total cost ($/
IC No. Item/form No. Minutes Responses (yr) yr) Rate ($/hr) yr)
(a) (b) (c) (a x b)/60 (d) (e) (c x d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................... Maintenance Fee Transmittal 5 37,434 3,119.5 $125.00 $389,937.50
Transactions (PTO/SB/45).
2................................... Electronic Maintenance Fee 0.333 375,555 2,086.42 125.00 260,802.08
Transactions.
3................................... Petition to Accept Unintentionally 60 1,000 1,000 389.00 389,000.00
Delayed Payment of Maintenance
Fee in an Expired Patent (37 CFR
1.378(c)) (PTO/SB/66).
4................................... Petition to Accept Unintentionally 60 500 500 389.00 194,500.00
Delayed Payment of Maintenance
Fee in an Expired Patent (37 CFR
1.378(c)) (PTO/SB/66)--EFS-Web.
5................................... Petition to Accept Unintentionally 60 1,000 1,000 389.00 389,000.00
Delayed Payment of Maintenance
Fee in an Expired Patent (37 CFR
1.378(c)) (PTO/SB/66)--ePetition.
6................................... Petition to Review Refusal to 240 20 80 389.00 31,120.00
Accept Payment of Maintenance Fee
Prior to Expiration of Patent (37
CFR 1.377).
7................................... Petition for Reconsideration of 480 150 1,200 389.00 466,800.00
Decision on Petition Refusing to
Accept Delayed Payment of
Maintenance Fee in an Expired
Patent (37 CFR 1.378(e)).
8................................... ``Fee Address'' Indication Form 5 109,650 9,137.5 125.00 1,142,187.50
(PTO/SB/47).
-------------------------------------------------------------------------------
Totals.......................... .................................. .............. 525,309 18,123.42 .............. 3,263,347.08
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Total Annual Cost Burden (Non-Hourly): $3,801.42. This
information collection has annual (non-hour) cost burden in the form of
postage costs.
The public may submit the 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. The USPTO estimates that the average first-class
postage cost for a mailed submission will be 49 cents and that
approximately 7,758 submissions per year may be mailed to the USPTO,
for a total postage cost of $3,801.42 per year.
----------------------------------------------------------------------------------------------------------------
Total non-hour
IC No. Item Responses Postage cost cost burden
(postage)
(a) (b) (c) (a x b)
----------------------------------------------------------------------------------------------------------------
3............................... Petition to Accept 70 $0.49 $34.30
Unintentionally Delayed
Payment of Maintenance Fee in
an Expired Patent (37 CFR
1.378(c)).
6............................... Petition to Review Refusal to 1 0.49 0.49
Accept Payment of Maintenance
Fee Prior to Expiration of
Patent (37 CFR 1.377).
7............................... Petition for Reconsideration 11 0.49 5.39
of Decision on Petition
Refusing to Accept Delayed
Payment of Maintenance Fee in
an Expired Patent (37 CFR
1.378(e)).
8............................... ``Fee Address'' Indication 7,676 0.49 3,761.24
Form.
-----------------------------------------------
Totals...................... .............................. 7,758 .............. 3,801.42
----------------------------------------------------------------------------------------------------------------
[[Page 11181]]
The total (non-hour) respondent cost burden for this collection in
the form of postage costs is estimated to be $3,801.42 per year.
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,
including the validity of the methodology and assumptions used; (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, e.g.,
permitting electronic submission of responses.
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: February 20, 2015.
Marcie Lovett,
Records Management Division Director, USPTO, Office of the Chief
Information Officer.
[FR Doc. 2015-04212 Filed 2-27-15; 8:45 am]
BILLING CODE 3510-16-P
