Patent Cooperation Treaty, 16658-16662 [2019-08026]
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16658
Federal Register / Vol. 84, No. 77 / Monday, April 22, 2019 / Notices
Additional Considerations for Lifting a
Suspension of a Reissue Proceeding
Non-exhaustive factors considered by
the Office when determining whether
the Board will lift a stay, or Patents will
lift a suspension, of a parallel reissue
application are discussed above. Further
information specific to reissue
proceedings are provided below.
After a final written decision issues in
an AIA proceeding (and after any
requests for rehearing are resolved, if
applicable), if requested by the patent
owner, Patents may lift a suspension of
or otherwise decide to proceed with,
i.e., not suspend, a related reissue
proceeding while an appeal to the
Federal Circuit regarding the final
written decision is pending. For
example, Patents may lift a suspension
if the reissue application attempts to (1)
resolve issues with the original or
proposed substitute claims identified in
the final written decision (e.g., amends
the claims in a meaningful way not
previously considered by the Office,
also taking into account estoppel
provisions set forth in 37 CFR
42.73(d)(3)), if applicable; or (2) correct
an unrelated issue with the patent (e.g.,
correction of a priority claim,
inventorship, or a drawing). Otherwise,
Patents generally will not lift a
suspension or proceed with prosecution
of a reissue application after the Board
issues a final written decision and while
a Federal Circuit appeal of that decision
is ongoing.
If a Federal Circuit appeal of a final
written decision in an AIA trial remains
ongoing when allowable subject matter
is identified in the reissue application,
the Office typically will not pass that
application to allowance until the
Federal Circuit appeal concludes. In
that situation, after an appeal to the
Federal Circuit concludes, a patent
owner may confer with the examiner
and decide how to proceed with the
reissue application (e.g., proceed to
issuance, file a request for continued
examination (‘‘RCE’’) for further
amendments/prosecution, or abandon
the reissue application). The examiner
also may need to reevaluate the status
of allowable subject matter in view of a
decision by the Federal Circuit.
As long as patent owner files the
reissue application in a timely manner
as discussed above, and raises issues
different than those already considered
in the AIA proceeding (e.g.,
amendments meaningfully different
than those in a previously presented
motion to amend), the Office typically
will consider the reissue application
(subject to possible considerations for
suspension discussed above).
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Additional Considerations for Lifting a
Stay of an Ex Parte Reexamination
Non-exhaustive factors considered by
the Board when determining whether to
lift a stay of a parallel reexamination are
discussed earlier. As noted previously,
under certain circumstances, the Office
will proceed with a reexamination after
the Board issues a final written decision
relating to the same patent.
Unlike reissue applications, patent
owners do not have the option to
abandon ex parte reexamination
applications. Once started,
reexaminations proceed with special
dispatch to completion. See 35 U.S.C.
305. Thus, after the Office determines
that it is appropriate to lift a stay, or that
a stay is not appropriate, a
reexamination typically will continue to
completion, notwithstanding a Federal
Circuit appeal of a final written decision
on the same patent.
If the Office identifies allowable
subject matter in a reexamination
proceeding, or after conclusion of a
reexamination determining that some or
all claims of a patent are unpatentable,
the Office typically will issue a notice
of intent to issue a reexamination
certificate (‘‘NIRC’’) and reexamination
certificate even if a Federal Circuit
appeal remains ongoing, unless the
patent owner timely files a notice of
appeal in the ex parte reexamination
proceeding. A patent owner who is
dissatisfied with an examiner’s decision
to reject claims in an ex parte
reexamination proceeding may appeal
the final rejection of any claim to the
Board by filing a notice of appeal within
the required time. See MPEP 2273,
2687; 35 U.S.C. 134. In order to ensure
that the reexamination certificate does
not cancel original patent claims that
are separately on appeal at the Federal
Circuit, the patent owner must timely
file an appeal in the reexamination
proceeding of any final rejection of
those original claims.
Dated: April 16, 2019.
Andrei Iancu,
Under Secretary of Commerce for Intellectual
Property and Director of the United States
Patent and Trademark Office.
[FR Doc. 2019–08022 Filed 4–19–19; 8:45 am]
BILLING CODE 3510–16–P
DEPARTMENT OF COMMERCE
Patent and Trademark Office
Patent Cooperation Treaty
ACTION:
Proposed collection; comment
request.
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The United States Patent and
Trademark Office (USPTO), as required
by the Paperwork Reduction Act of
1995, invites comments on a proposed
extension of an existing collection:
0651–0021 (Patent Cooperation Treaty).
DATES: Written comments must be
submitted on or before June 21, 2019.
ADDRESSES: You may submitted
comments by any of the following
methods:
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0021
comment’’ in the subject line of the
message.
• Federal Register Portal: https://
www.regulations.gov.
• Mail: Marcie Lovett, Chief, Records
and Information Governance Branch,
Office of the Chief Administrative
Officer, United States Patent and
Trademark Office, P.O. Box 1450,
Alexandria, VA 22313–1450.
FOR FURTHER INFORMATION CONTACT:
Requests for additional information
should be directed to Rafael Bacares,
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 571–272–3276; or by email
at Rafael.Bacares@uspto.gov with
‘‘0651–0021 comment’’ in the subject
line. Additional information about this
collection is also available at https://
www.reginfo.gov under ‘‘Information
Collection Review.’’
SUPPLEMENTARY INFORMATION:
SUMMARY:
I. Abstract
This collection of information is
required by the Patent Cooperation
Treaty (PCT), which became operational
in June 1978 and is administered by the
International Bureau (IB) of the World
Intellectual Property Organization
(WIPO) in Geneva, Switzerland. The
provisions of the PCT have been
implemented by the United States in
Part IV of Title 35 of the U.S. Code
(Chapters 35–37) and Subpart C of Title
37 of the Code of Federal Regulations
(37 CFR 1.401–1.499). The purpose of
the PCT is to provide a standardized
filing format and procedure that allows
an applicant to seek protection for an
invention in several countries by filing
one international application in one
location, in one language, and paying
one initial set of fees.
The information in this collection is
used by the public to submit a patent
application under the PCT and by the
United States Patent and Trademark
Office (USPTO), to fulfill its obligation
to process, search, and examine the
application as directed by the treaty.
The USPTO acts as the United States
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Receiving Office (RO/US) for
international applications filed by
residents and nationals of the United
States. These applicants send most of
their correspondence directly to the
USPTO, but they may also file certain
documents directly with the IB. The
USPTO serves as an International
Searching Authority (ISA) to perform
searches and issue international search
reports (ISR) and the written opinions of
international applications. The USPTO
also issues international preliminary
reports on patentability (IPRP Chapter
II) when acting as an International
Preliminary Examining Authority
(IPEA).
II. Method of Collection
By mail, hand delivery, or electronic
submission to the USPTO.
IC No.
1 .....................
2 .....................
3 .....................
4 .....................
5 .....................
6 .....................
7 .....................
8 .....................
9 .....................
10 ...................
11 ...................
12 ...................
13 ...................
14 ...................
15 ...................
16 ...................
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18 ...................
19 ...................
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III. Data
OMB Number: 0651–0021.
IC Instruments and Forms: PCT/IB/
372; PCT/IPEA/401; PCT/RO/101; PCT/
RO/134; PTO–1382; PTO–1390; PTO/
SB/64/PCT.
Type of Review: Extension of a
currently approved collection.
Affected Public: Individuals or
households; business or other forprofits; and not-for-profit institutions.
Estimated Number of Respondents:
431,135 responses per year.
Estimated Time per Response: The
USPTO estimates that it will take the
public between 15 minutes (0.25 hours)
and 4 hours to gather the necessary
information, prepare the appropriate
form or document, and submit the
information to the USPTO.
Item
Request and Fee Calculation
Sheet (Annex and Notes).
Description/claims/drawings/
abstracts.
Application Data Sheet (35
U.S.C. 371 applications).
Transmittal Letter to the United
States Receiving Office (RO/
US).
Transmittal Letter to the United
States
Designated/Elected
Office (DO/EO/US) Concerning a Submission Under
35 U.S.C. 371.
PCT/Model of Power of Attorney.
PCT/Model of General Power
of Attorney.
Indications Relating to a Deposited Microorganism.
Response to invitation to correct defects.
Request for rectification of obvious errors.
Demand and Fee Calculation
Sheet (Annex and Notes).
Amendments (Article 34) .........
Fee Authorization ....................
Requests to transmit copies of
international application.
Withdrawal of international application.
English Translations after thirty
months from priority date.
Petition for Revival of an International Application for Patent Designating the U.S.
Abandoned Unintentionally
Under 37 CFR 1.137(a).
Petitions to the Commissioner
for international applications.
Petitions to the Commissioner
in national stage examination.
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Estimated Total Annual Respondent
Burden Hours: 352,769.78 hours.
Estimated Total Annual Respondent
(Hourly) Cost Burden: $154,513,163.64.
The USPTO expects that an attorney
will complete the materials in this
collection. The professional hourly rate
for intellectual property attorneys in
private firms is $438. The rate is
established by estimates in the 2017
Report on the Economic Survey,
published by the Committee on
Economics of Legal Practice of the
American Intellectual Property Law
Association. Using this hourly rate, the
USPTO estimates that the total
respondent cost burden for this
collection is $438 per year.
Estimated time
Estimated responses
Estimated
burden
Rate
Estimates total
cost
(a)
(b)
(c) = (a) × (b)
(d)
(e) = (c) × (d)
1 ................................
55,177
55,177.00
$438.00
$24,167,526.00
3 ................................
55,177
165,531.00
438.00
72,502,578.00
0.38 (23 minutes) ......
104,281
39,626.78
438.00
17,356,529.64
0.25 (15 minutes) ......
49,659
12,414.75
438.00
5,437,660.50
0.25 (15 minutes) ......
86,080
21,520.00
438.00
9,425,760.00
0.25 (15 minutes) ......
5,518
1,379.50
438.00
604,221.00
0.25 (15 minutes) ......
551
137.75
438.00
60,334.50
0.25 (15 minutes) ......
10
2.50
438.00
1,095.00
2 ................................
15,500
31,000.00
438.00
13,578,000.00
0.50 (30 minutes) ......
921
460.50
438.00
201,699.00
1 ................................
667
667.00
438.00
292,146.00
1 ................................
0.25 (15 minutes) ......
0.25 (15 minutes) ......
429
49,659
864
429.00
12,414.75
216.00
438.00
438.00
438.00
187,902.00
5,437,660.50
94,608.00
0.25 (15 minutes) ......
1,369
342.25
438.00
149,905.50
2 ................................
2,475
4,950.00
438.00
2,168,100.00
1 ................................
928
928.00
438.00
406,464.00
4 ................................
87
348.00
438.00
154,424.00
4 ................................
751
3,004.00
438.00
1,315,752.00
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IC No.
Item
20 ...................
21 ...................
Totals ......
Estimated responses
Estimated
burden
Rate
Estimates total
cost
(a)
(b)
(c) = (a) × (b)
(d)
(e) = (c) × (d)
Acceptance of an unintentionally delayed claim for priority
(37 CFR 1.78(a)(3)).
Request for the restoration of
the right of priority.
2 ................................
875
1,750.00
438.00
766,500.00
3 ................................
157
471.00
438.00
206,298.00
..................................................
....................................
431,135
352,769.78
........................
154,513,163.64
Estimated Total Annual (Non-hour)
Respondent Cost Burden:
$280,004,662.50. This collection has
annual (non-hour) costs in the form of
IC No.
filling fees, translations, drawings, and
postage costs.
Item
Filing Fees
This chart provides an estimate of the
fees associated with this collection and
details the various entity size costs
associated with each fee.
Responses
Fees
Total fee amount
(a)
(b)
(c) = (a) × (b)
1 .....................
Request and Fee Calculation Sheet (Annex and Notes) .........................
55,177
$1,254.00
$69,191,958.00
2 .....................
[PCT National Stage] Claims—extra independent (over three) (Large
entity).
[PCT National Stage] Claims—extra independent (over three) (Small
entity).
[PCT National Stage] Claims—extra independent (over three) (Micro
entity).
[PCT National Stage] Claims—extra total (over 20) (Large entity) ..........
[PCT National Stage] Claims—extra total (over 20) (Small entity) ..........
[PCT National Stage] Claims—extra total (over 20) (Micro entity) ...........
[PCT National Stage] Claim—multiple dependent (Large entity) .............
[PCT National Stage] Claim—multiple dependent (Small entity) .............
[PCT National Stage] Claim—multiple dependent (Micro entity) ..............
National Stage Application Size Fee—for each additional 50 sheets that
exceed 100 sheets (Large entity).
National Stage Application Size Fee—for each additional 50 sheets that
exceed 100 sheets (Small entity).
National Stage Application Size Fee—for each additional 50 sheets that
exceed 100 sheets (Micro entity).
Transmittal fee (Large entity) ....................................................................
Transmittal fee (Small entity) ....................................................................
Transmittal fee (Micro entity) ....................................................................
Demand and Fee Calculation Sheet (Annex and Notes) .........................
Transmitting application to Intl. Bureau to act as receiving office (Large
entity).
Transmitting application to Intl. Bureau to act as receiving office (Small
entity).
Transmitting application to Intl. Bureau to act as receiving office (Micro
entity).
English translation after thirty months from priority date (Large entity) ...
English translation after thirty months from priority date (Small entity) ....
English translation after thirty months from priority date (Micro entity) ....
Search fee—regardless of whether there is a corresponding application
(see 35 U.S.C. 361(d) and PCT Rule 16) (Large entity).
Search fee—regardless of whether there is a corresponding application
(see 35 U.S.C. 361(d) and PCT Rule 16) (Small entity).
Search fee—regardless of whether there is a corresponding application
(see 35 U.S.C. 361(d) and PCT Rule 16) (Micro entity).
Supplemental search fee when required, per additional invention (Large
entity).
Supplemental search fee when required, per additional invention (Small
entity).
Supplemental search fee when required, per additional invention (Micro
entity).
Basic National Stage Fee (Large entity) ...................................................
Basic National Stage Fee (Small entity) ...................................................
Basic National Stage Fee (Micro entity) ...................................................
National Stage Search Fee—U.S. was the ISA or IPEA and all claims
satisfy PCT Article 33(1)–(4).
6,549
460.00
3,012,540.00
2,298
230.00
528,540.00
99
115.00
11,385.00
9,145
5,347
238
650
361
37
2,476
100.00
50.00
25.00
820.00
410.00
205.00
400.00
914,500.00
264,350.00
5,950.00
533,000..00
148,010.00
7,585.000
990,400.00
1,590
200.00
318,000.00
23
100.00
2,300.00
36,489
17,603
1,085
667
425
240.00
120.00
60.00
213.00
240.00
8,757,360.00
2,112,360.00
65,100.00
142,071.00
102,000.00
289
120.00
34,680
32
60.00
1,920.00
1,485
914
76
7,576
140.00
70.00
35.00
140.00
207,900.00
63,980.00
2,660.00
1,060,640.00
12,837
70.00
898,590.00
1,073
35.00
3,745.00
248
2,080.00
515,840.00
366
1,040.00
380,640
44
520.00
22,880.00
71,090
22,965
1,527
674
300.00
150.00
75.00
0.00
21,327,000.00
3,444,750.00
114,525.00
0.00
2 .....................
2 .....................
2
2
2
2
2
2
3
.....................
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.....................
.....................
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3 .....................
3 .....................
4 .....................
4 .....................
4 .....................
11 ...................
14 ...................
14 ...................
14 ...................
16
16
16
18
...................
...................
...................
...................
18 ...................
18 ...................
18 ...................
18 ...................
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18 ...................
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19
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IC No.
19
19
19
19
Item
...................
...................
...................
...................
19 ...................
19 ...................
19 ...................
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
19
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19 ...................
19 ...................
20 ...................
Totals ......
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Fees
Total fee amount
(a)
(b)
(c) = (a) × (b)
National Stage Search Fee —U.S. was the ISA (Large entity) ................
National Stage Search Fee—U.S. was the ISA (Small entity) .................
National Stage Search Fee—U.S. was the ISA (Micro entity) .................
National Stage Search Fee—search report prepared and provided to
USPTO (Large entity).
National Stage Search Fee—search report prepared and provided to
USPTO (Small entity).
National Stage Search Fee—search report prepared and provided to
USPTO (Micro entity).
National Stage Examination Fee—U.S. was the ISA or IPEA and all
claims satisfy PCT Article 33(1)–(4).
National Stage Search Fee—all other situations (Large entity) ...............
National Stage Search Fee—all other situations (Small entity) ...............
National Stage Search Fee—all other situations (Micro entity) ................
National Stage Examination Fee—all other situations (Large entity) .......
National Stage Examination Fee—all other situations (Small entity) .......
National Stage Examination Fee—all other situations (Micro entity) .......
Preliminary examination fee—U.S. was the ISA (Large entity) ................
Preliminary examination fee—U.S. was the ISA (Small entity) ................
Preliminary examination fee—U.S. was the ISA (Micro entity) ................
Preliminary examination fee—U.S. was not the ISA (Large entity) ..........
Preliminary examination fee—U.S. was not the ISA (Small entity) ..........
Preliminary examination fee—U.S. was not the ISA (Micro entity) ..........
Supplemental examination fee per additional invention (Large entity) .....
Supplemental examination fee per additional invention (Small entity) .....
Supplemental examination fee per additional invention (Micro entity) .....
Search fee, examination fee or oath of declaration after thirty months
from priority date (Large entity).
Search fee, examination fee or oath of declaration after thirty months
from priority date (Small entity).
Search fee, examination fee or oath of declaration after thirty months
from priority date (Micro entity).
Acceptance of an unintentionally delayed claim for priority, or for filing a
request for the restoration of the right of priority.
...............................................................................................................
Translations and Drawings
Applicants entering the national stage
in the U.S. are required to file an
English translation of the international
application if the international
application was filed in another
language and was not published under
PCT Article 21(2) in English. A
processing fee is required for accepting
an English translation after 30 months
from the priority date. This requirement
may carry additional costs for the
applicant to contract for a translation of
the documents in questions. According
to the PCT Applicant’s Guide—National
Phase—National Chapter—US, put out
by WIPO, the average cost for such a
translation is $140. The USPTO
estimates that it received approximately
2,475 English translations after 30
months from the priority date annually,
for a total of $346,500 per year for
English translations of non-English
language documents for PCT
applications.
Applicants may also incur costs for
drawings that are submitted as part of
PCT applications. Some applicants may
produce their own drawings, while
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others may contract out the work to
various patent illustration firms. For the
purpose of estimating burden for this
collection, the USPTO will consider all
applicants to have their drawings
prepared by these firms. According to
the PCT Applicant’s Guide—National
Phase—National Chapter—US,
drawings may cost an average of $400 to
produce. The USPTO expects that it will
receive 3 sets of drawings for a total of
$1,200 per year.
Postage Costs
Customers may incur postage costs
when submitting the information in this
collection to the USPTO by mail. The
USPTO estimates that the average firstclass postage cost for a mailed
submission will be $0.50 and that
approximately 7,440 submissions
(approximately 2% of the total
responses) will be mailed to the USPTO
per year, for a total estimated postage
cost of $4,298.50 per year.
The USPTO estimates that the total
annual (non-hour) cost burden for this
collection, in the form of translations
($346,500), drawings ($1,200), filing fees
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2,197
4,773
275
65,507
140.00
70.00
35.00
520.00
307,580.00
334,110.00
9,625.00
34,063,640.00
16,660
260.00
4,331,600.00
1,056
130.00
137,280.00
674
0.00
0.00
3,156
1,110
174
70,771
22,437
1,480
205
278
44
102
39
1
2
2
1
22,466
660.00
330.00
165.00
760.00
380.00
190.00
600.00
300.00
150.00
760.00
380.00
190.00
600.00
300.00
150.00
2,080.00
2,082,960.00
366,300.00
28,710.00
53,785,960.00
8,526,060.00
281,200.00
123,000.00
83,400.00
6,600.00
77,520.00
14,820.00
190.00
1,200.00
600.00
150.00
46,729,280.00
10,550
1,040.00
10,972,000.00
259
520.00
134,680.00
1,032
2,000.00
2,064,000.00
535,399
........................
279,652,624.00
($279,652,624), and postage costs
($4,298.50), is $280,004,622.50 per year.
IV. Request for Comment
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.
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
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collection techniques or other forms of
information technology.
Marcie Lovett,
Chief, Records and Information Governance
Branch, OCAO, United States Patent and
Trademark Office.
[FR Doc. 2019–08026 Filed 4–19–19; 8:45 am]
BILLING CODE 3510–16–P
COMMODITY FUTURES TRADING
COMMISSION
Agency Information Collection
Activities: Notice of Intent To Extend
Collection 3038–0104: Clearing
Exemption for Swaps Between Certain
Affiliated Entities
Commodity Futures Trading
Commission.
ACTION: Notice.
AGENCY:
The Commodity Futures
Trading Commission (‘‘Commission’’ or
‘‘CFTC’’) is announcing an opportunity
for public comment on the proposed
renewal of a collection of certain
information by the agency. Under the
Paperwork Reduction Act (‘‘PRA’’),
Federal agencies are required to publish
notice in the Federal Register
concerning each proposed collection of
information, including each proposed
extension of an existing collection of
information, and to allow 60 days for
public comment. This notice solicits
comments on reporting requirements
relating to uncleared swaps between
certain affiliated entities electing the
exemption under Commission
regulation 50.52 (Exemption for swaps
between affiliates).
DATES: Comments must be submitted on
or before June 21, 2019.
ADDRESSES: You may submit comments,
identified by ‘‘OMB Control No. 3038–
0104’’ by any of the following methods:
• The Agency’s website, at https://
comments.cftc.gov/. Follow the
instructions for submitting comments
through the website.
• Mail: Christopher Kirkpatrick,
Secretary of the Commission,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581.
• Hand Delivery/Courier: Same as
Mail above.
Please submit your comments using
only one method. All comments must be
submitted in English, or if not,
accompanied by an English translation.
Comments will be posted as received to
https://www.cftc.gov.
FOR FURTHER INFORMATION CONTACT:
Melissa A. D’Arcy, Special Counsel,
amozie on DSK9F9SC42PROD with NOTICES
SUMMARY:
VerDate Sep<11>2014
17:22 Apr 19, 2019
Jkt 247001
Division of Clearing and Risk,
Commodity Futures Trading
Commission, Three Lafayette Centre,
1155 21st Street NW, Washington, DC
20581; (202) 418–5086; email: mdarcy@
cftc.gov.
SUPPLEMENTARY INFORMATION: Under the
PRA, 44 U.S.C. 3501 et seq., Federal
agencies must obtain approval from the
Office of Management and Budget
(‘‘OMB’’) for each collection of
information they conduct or sponsor.
‘‘Collection of Information’’ is defined
in 44 U.S.C. 3502(3) and 5 CFR 1320.3
and includes agency requests or
requirements that members of the public
submit reports, keep records, or provide
information to a third party. Section
3506(c)(2)(A) of the PRA, 44 U.S.C.
3506(c)(2)(A), requires Federal agencies
to provide a 60-day notice in the
Federal Register concerning each
proposed collection of information,
including each proposed extension of an
existing collection of information,
before submitting the collection to OMB
for approval. To comply with this
requirement, the Commission is
publishing notice of the proposed
extension of the existing collection of
information listed below. An agency
may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless it
displays a currently valid OMB control
number.
Title: Clearing Exemption for Swaps
Between Certain Affiliated Entities
(OMB Control No. 3038–0104). This is
a request for an extension of a currently
approved information collection.
Abstract: Section 2(h)(1)(A) of the
Commodity Exchange Act requires
certain entities to submit for clearing
certain swaps if they are required to be
cleared by the Commission.
Commission regulation 50.52 permits
certain affiliated entities to elect not to
clear inter-affiliate swaps that otherwise
would be required to be cleared,
provided that they meet certain
conditions. The rule further requires the
reporting of certain information if the
inter-affiliate exemption from clearing is
elected. The Commission will use the
information described in this collection
and reported pursuant to Commission
regulation 50.52 to monitor the use of
the inter-affiliate exemption from the
Commission’s clearing requirement and
to assess any potential market risks
associated with such exemption.
With respect to the collection of
information, the CFTC invites
comments on:
• Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
PO 00000
Frm 00026
Fmt 4703
Sfmt 4703
Commission, including whether the
information will have a practical use;
• The accuracy of the Commission’s
estimate of the burden of the proposed
collection of information, including the
validity of the methodology and
assumptions used;
• Ways to enhance the quality,
usefulness, and clarity of the
information to be collected; and
• Ways to minimize the burden of
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.
You should submit only information
that you wish to make available
publicly. If you wish the Commission to
consider information that you believe is
exempt from disclosure under the
Freedom of Information Act, a petition
for confidential treatment of the exempt
information may be submitted according
to the procedures established in § 145.9
of the Commission’s regulations.1
The Commission reserves the right,
but shall have no obligation, to review,
pre-screen, filter, redact, refuse or
remove any or all of your submission
from https://www.cftc.gov that it may
deem to be inappropriate for
publication, such as obscene language.
All submissions that have been redacted
or removed that contain comments on
the merits of the Information Collection
Request will be retained in the public
comment file and will be considered as
required under the Administrative
Procedure Act and other applicable
laws, and may be accessible under the
Freedom of Information Act.
Burden Statement: The Commission
is revising its estimate of the burden for
this collection for counterparties to
swaps between certain affiliated entities
that elect the inter-affiliate exemption
under Commission regulation 50.52.
The respondent burden for this
collection is estimated to be as follows:
Estimated Number of Respondents:
310.
Estimated Average Burden Hours per
Respondent: 1 hour.
Estimated Total Annual Burden
Hours: 310 hours.
Frequency of Collection: Annually; on
occasion.
There are no capital costs or operating
and maintenance costs associated with
this collection.
Authority: 44 U.S.C. 3501 et seq.
1
17 CFR 145.9.
E:\FR\FM\22APN1.SGM
22APN1
]]>Agencies
[Federal Register Volume 84, Number 77 (Monday, April 22, 2019)]
[Notices]
[Pages 16658-16662]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08026]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Patent and Trademark Office
Patent Cooperation Treaty
ACTION: Proposed collection; comment request.
-----------------------------------------------------------------------
SUMMARY: The United States Patent and Trademark Office (USPTO), as
required by the Paperwork Reduction Act of 1995, invites comments on a
proposed extension of an existing collection: 0651-0021 (Patent
Cooperation Treaty).
DATES: Written comments must be submitted on or before June 21, 2019.
ADDRESSES: You may submitted comments by any of the following methods:
Email: [email protected]. Include ``0651-
0021 comment'' in the subject line of the message.
Federal Register Portal: https://www.regulations.gov.
Mail: Marcie Lovett, Chief, Records and Information
Governance Branch, Office of the Chief Administrative Officer, United
States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA
22313-1450.
FOR FURTHER INFORMATION CONTACT: Requests for additional information
should be directed to Rafael Bacares, 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 571-272-3276;
or by email at [email protected] with ``0651-0021 comment'' 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
This collection of information is required by the Patent
Cooperation Treaty (PCT), which became operational in June 1978 and is
administered by the International Bureau (IB) of the World Intellectual
Property Organization (WIPO) in Geneva, Switzerland. The provisions of
the PCT have been implemented by the United States in Part IV of Title
35 of the U.S. Code (Chapters 35-37) and Subpart C of Title 37 of the
Code of Federal Regulations (37 CFR 1.401-1.499). The purpose of the
PCT is to provide a standardized filing format and procedure that
allows an applicant to seek protection for an invention in several
countries by filing one international application in one location, in
one language, and paying one initial set of fees.
The information in this collection is used by the public to submit
a patent application under the PCT and by the United States Patent and
Trademark Office (USPTO), to fulfill its obligation to process, search,
and examine the application as directed by the treaty. The USPTO acts
as the United States
[[Page 16659]]
Receiving Office (RO/US) for international applications filed by
residents and nationals of the United States. These applicants send
most of their correspondence directly to the USPTO, but they may also
file certain documents directly with the IB. The USPTO serves as an
International Searching Authority (ISA) to perform searches and issue
international search reports (ISR) and the written opinions of
international applications. The USPTO also issues international
preliminary reports on patentability (IPRP Chapter II) when acting as
an International Preliminary Examining Authority (IPEA).
II. Method of Collection
By mail, hand delivery, or electronic submission to the USPTO.
III. Data
OMB Number: 0651-0021.
IC Instruments and Forms: PCT/IB/372; PCT/IPEA/401; PCT/RO/101;
PCT/RO/134; PTO-1382; PTO-1390; PTO/SB/64/PCT.
Type of Review: Extension of a currently approved collection.
Affected Public: Individuals or households; business or other for-
profits; and not-for-profit institutions.
Estimated Number of Respondents: 431,135 responses per year.
Estimated Time per Response: The USPTO estimates that it will take
the public between 15 minutes (0.25 hours) and 4 hours to gather the
necessary information, prepare the appropriate form or document, and
submit the information to the USPTO.
Estimated Total Annual Respondent Burden Hours: 352,769.78 hours.
Estimated Total Annual Respondent (Hourly) Cost Burden:
$154,513,163.64. The USPTO expects that an attorney will complete the
materials in this collection. The professional hourly rate for
intellectual property attorneys in private firms is $438. The rate is
established by estimates in the 2017 Report on the Economic Survey,
published by the Committee on Economics of Legal Practice of the
American Intellectual Property Law Association. Using this hourly rate,
the USPTO estimates that the total respondent cost burden for this
collection is $438 per year.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Estimated Estimates total
IC No. Item Estimated time responses burden Rate cost
(a).............................. (b) (c) = (a) x (b) (d) (e) = (c) x (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1......................... Request and Fee 1................................ 55,177 55,177.00 $438.00 $24,167,526.00
Calculation Sheet
(Annex and Notes).
2......................... Description/claims/ 3................................ 55,177 165,531.00 438.00 72,502,578.00
drawings/abstracts.
3......................... Application Data Sheet 0.38 (23 minutes)................ 104,281 39,626.78 438.00 17,356,529.64
(35 U.S.C. 371
applications).
4......................... Transmittal Letter to 0.25 (15 minutes)................ 49,659 12,414.75 438.00 5,437,660.50
the United States
Receiving Office (RO/
US).
5......................... Transmittal Letter to 0.25 (15 minutes)................ 86,080 21,520.00 438.00 9,425,760.00
the United States
Designated/Elected
Office (DO/EO/US)
Concerning a
Submission Under 35
U.S.C. 371.
6......................... PCT/Model of Power of 0.25 (15 minutes)................ 5,518 1,379.50 438.00 604,221.00
Attorney.
7......................... PCT/Model of General 0.25 (15 minutes)................ 551 137.75 438.00 60,334.50
Power of Attorney.
8......................... Indications Relating to 0.25 (15 minutes)................ 10 2.50 438.00 1,095.00
a Deposited
Microorganism.
9......................... Response to invitation 2................................ 15,500 31,000.00 438.00 13,578,000.00
to correct defects.
10........................ Request for 0.50 (30 minutes)................ 921 460.50 438.00 201,699.00
rectification of
obvious errors.
11........................ Demand and Fee 1................................ 667 667.00 438.00 292,146.00
Calculation Sheet
(Annex and Notes).
12........................ Amendments (Article 34) 1................................ 429 429.00 438.00 187,902.00
13........................ Fee Authorization...... 0.25 (15 minutes)................ 49,659 12,414.75 438.00 5,437,660.50
14........................ Requests to transmit 0.25 (15 minutes)................ 864 216.00 438.00 94,608.00
copies of
international
application.
15........................ Withdrawal of 0.25 (15 minutes)................ 1,369 342.25 438.00 149,905.50
international
application.
16........................ English Translations 2................................ 2,475 4,950.00 438.00 2,168,100.00
after thirty months
from priority date.
17........................ Petition for Revival of 1................................ 928 928.00 438.00 406,464.00
an International
Application for Patent
Designating the U.S.
Abandoned
Unintentionally Under
37 CFR 1.137(a).
18........................ Petitions to the 4................................ 87 348.00 438.00 154,424.00
Commissioner for
international
applications.
19........................ Petitions to the 4................................ 751 3,004.00 438.00 1,315,752.00
Commissioner in
national stage
examination.
[[Page 16660]]
20........................ Acceptance of an 2................................ 875 1,750.00 438.00 766,500.00
unintentionally
delayed claim for
priority (37 CFR
1.78(a)(3)).
21........................ Request for the 3................................ 157 471.00 438.00 206,298.00
restoration of the
right of priority.
-----------------------------------------------------------------
Totals................ ....................... ................................. 431,135 352,769.78 .............. 154,513,163.64
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Total Annual (Non-hour) Respondent Cost Burden:
$280,004,662.50. This collection has annual (non-hour) costs in the
form of filling fees, translations, drawings, and postage costs.
Filing Fees
This chart provides an estimate of the fees associated with this
collection and details the various entity size costs associated with
each fee.
----------------------------------------------------------------------------------------------------------------
IC No. Item Responses Fees Total fee amount
(a) (b) (c) = (a) x (b)
----------------------------------------------------------------------------------------------------------------
1.............................. Request and Fee Calculation 55,177 $1,254.00 $69,191,958.00
Sheet (Annex and Notes).
----------------------------------------------------------------------------------------------------------------
2.............................. [PCT National Stage] Claims-- 6,549 460.00 3,012,540.00
extra independent (over
three) (Large entity).
2.............................. [PCT National Stage] Claims-- 2,298 230.00 528,540.00
extra independent (over
three) (Small entity).
2.............................. [PCT National Stage] Claims-- 99 115.00 11,385.00
extra independent (over
three) (Micro entity).
2.............................. [PCT National Stage] Claims-- 9,145 100.00 914,500.00
extra total (over 20)
(Large entity).
2.............................. [PCT National Stage] Claims-- 5,347 50.00 264,350.00
extra total (over 20)
(Small entity).
2.............................. [PCT National Stage] Claims-- 238 25.00 5,950.00
extra total (over 20)
(Micro entity).
2.............................. [PCT National Stage] Claim-- 650 820.00 533,000..00
multiple dependent (Large
entity).
2.............................. [PCT National Stage] Claim-- 361 410.00 148,010.00
multiple dependent (Small
entity).
2.............................. [PCT National Stage] Claim-- 37 205.00 7,585.000
multiple dependent (Micro
entity).
3.............................. National Stage Application 2,476 400.00 990,400.00
Size Fee--for each
additional 50 sheets that
exceed 100 sheets (Large
entity).
3.............................. National Stage Application 1,590 200.00 318,000.00
Size Fee--for each
additional 50 sheets that
exceed 100 sheets (Small
entity).
3.............................. National Stage Application 23 100.00 2,300.00
Size Fee--for each
additional 50 sheets that
exceed 100 sheets (Micro
entity).
4.............................. Transmittal fee (Large 36,489 240.00 8,757,360.00
entity).
4.............................. Transmittal fee (Small 17,603 120.00 2,112,360.00
entity).
4.............................. Transmittal fee (Micro 1,085 60.00 65,100.00
entity).
11............................. Demand and Fee Calculation 667 213.00 142,071.00
Sheet (Annex and Notes).
14............................. Transmitting application to 425 240.00 102,000.00
Intl. Bureau to act as
receiving office (Large
entity).
14............................. Transmitting application to 289 120.00 34,680
Intl. Bureau to act as
receiving office (Small
entity).
14............................. Transmitting application to 32 60.00 1,920.00
Intl. Bureau to act as
receiving office (Micro
entity).
16............................. English translation after 1,485 140.00 207,900.00
thirty months from priority
date (Large entity).
16............................. English translation after 914 70.00 63,980.00
thirty months from priority
date (Small entity).
16............................. English translation after 76 35.00 2,660.00
thirty months from priority
date (Micro entity).
18............................. Search fee--regardless of 7,576 140.00 1,060,640.00
whether there is a
corresponding application
(see 35 U.S.C. 361(d) and
PCT Rule 16) (Large entity).
18............................. Search fee--regardless of 12,837 70.00 898,590.00
whether there is a
corresponding application
(see 35 U.S.C. 361(d) and
PCT Rule 16) (Small entity).
18............................. Search fee--regardless of 1,073 35.00 3,745.00
whether there is a
corresponding application
(see 35 U.S.C. 361(d) and
PCT Rule 16) (Micro entity).
18............................. Supplemental search fee when 248 2,080.00 515,840.00
required, per additional
invention (Large entity).
18............................. Supplemental search fee when 366 1,040.00 380,640
required, per additional
invention (Small entity).
18............................. Supplemental search fee when 44 520.00 22,880.00
required, per additional
invention (Micro entity).
19............................. Basic National Stage Fee 71,090 300.00 21,327,000.00
(Large entity).
19............................. Basic National Stage Fee 22,965 150.00 3,444,750.00
(Small entity).
19............................. Basic National Stage Fee 1,527 75.00 114,525.00
(Micro entity).
19............................. National Stage Search Fee-- 674 0.00 0.00
U.S. was the ISA or IPEA
and all claims satisfy PCT
Article 33(1)-(4).
[[Page 16661]]
19............................. National Stage Search Fee -- 2,197 140.00 307,580.00
U.S. was the ISA (Large
entity).
19............................. National Stage Search Fee-- 4,773 70.00 334,110.00
U.S. was the ISA (Small
entity).
19............................. National Stage Search Fee-- 275 35.00 9,625.00
U.S. was the ISA (Micro
entity).
19............................. National Stage Search Fee-- 65,507 520.00 34,063,640.00
search report prepared and
provided to USPTO (Large
entity).
19............................. National Stage Search Fee-- 16,660 260.00 4,331,600.00
search report prepared and
provided to USPTO (Small
entity).
19............................. National Stage Search Fee-- 1,056 130.00 137,280.00
search report prepared and
provided to USPTO (Micro
entity).
19............................. National Stage Examination 674 0.00 0.00
Fee--U.S. was the ISA or
IPEA and all claims satisfy
PCT Article 33(1)-(4).
19............................. National Stage Search Fee-- 3,156 660.00 2,082,960.00
all other situations (Large
entity).
19............................. National Stage Search Fee-- 1,110 330.00 366,300.00
all other situations (Small
entity).
19............................. National Stage Search Fee-- 174 165.00 28,710.00
all other situations (Micro
entity).
19............................. National Stage Examination 70,771 760.00 53,785,960.00
Fee--all other situations
(Large entity).
19............................. National Stage Examination 22,437 380.00 8,526,060.00
Fee--all other situations
(Small entity).
19............................. National Stage Examination 1,480 190.00 281,200.00
Fee--all other situations
(Micro entity).
19............................. Preliminary examination fee-- 205 600.00 123,000.00
U.S. was the ISA (Large
entity).
19............................. Preliminary examination fee-- 278 300.00 83,400.00
U.S. was the ISA (Small
entity).
19............................. Preliminary examination fee-- 44 150.00 6,600.00
U.S. was the ISA (Micro
entity).
19............................. Preliminary examination fee-- 102 760.00 77,520.00
U.S. was not the ISA (Large
entity).
19............................. Preliminary examination fee-- 39 380.00 14,820.00
U.S. was not the ISA (Small
entity).
19............................. Preliminary examination fee-- 1 190.00 190.00
U.S. was not the ISA (Micro
entity).
19............................. Supplemental examination fee 2 600.00 1,200.00
per additional invention
(Large entity).
19............................. Supplemental examination fee 2 300.00 600.00
per additional invention
(Small entity).
19............................. Supplemental examination fee 1 150.00 150.00
per additional invention
(Micro entity).
19............................. Search fee, examination fee 22,466 2,080.00 46,729,280.00
or oath of declaration
after thirty months from
priority date (Large
entity).
19............................. Search fee, examination fee 10,550 1,040.00 10,972,000.00
or oath of declaration
after thirty months from
priority date (Small
entity).
19............................. Search fee, examination fee 259 520.00 134,680.00
or oath of declaration
after thirty months from
priority date (Micro
entity).
20............................. Acceptance of an 1,032 2,000.00 2,064,000.00
unintentionally delayed
claim for priority, or for
filing a request for the
restoration of the right of
priority.
--------------------------------------------------
Totals..................... ............................ 535,399 .............. 279,652,624.00
----------------------------------------------------------------------------------------------------------------
Translations and Drawings
Applicants entering the national stage in the U.S. are required to
file an English translation of the international application if the
international application was filed in another language and was not
published under PCT Article 21(2) in English. A processing fee is
required for accepting an English translation after 30 months from the
priority date. This requirement may carry additional costs for the
applicant to contract for a translation of the documents in questions.
According to the PCT Applicant's Guide--National Phase--National
Chapter--US, put out by WIPO, the average cost for such a translation
is $140. The USPTO estimates that it received approximately 2,475
English translations after 30 months from the priority date annually,
for a total of $346,500 per year for English translations of non-
English language documents for PCT applications.
Applicants may also incur costs for drawings that are submitted as
part of PCT applications. Some applicants may produce their own
drawings, while others may contract out the work to various patent
illustration firms. For the purpose of estimating burden for this
collection, the USPTO will consider all applicants to have their
drawings prepared by these firms. According to the PCT Applicant's
Guide--National Phase--National Chapter--US, drawings may cost an
average of $400 to produce. The USPTO expects that it will receive 3
sets of drawings for a total of $1,200 per year.
Postage Costs
Customers may incur postage costs when submitting the information
in this collection to the USPTO by mail. The USPTO estimates that the
average first-class postage cost for a mailed submission will be $0.50
and that approximately 7,440 submissions (approximately 2% of the total
responses) will be mailed to the USPTO per year, for a total estimated
postage cost of $4,298.50 per year.
The USPTO estimates that the total annual (non-hour) cost burden
for this collection, in the form of translations ($346,500), drawings
($1,200), filing fees ($279,652,624), and postage costs ($4,298.50), is
$280,004,622.50 per year.
IV. Request for Comment
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.
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
[[Page 16662]]
collection techniques or other forms of information technology.
Marcie Lovett,
Chief, Records and Information Governance Branch, OCAO, United States
Patent and Trademark Office.
[FR Doc. 2019-08026 Filed 4-19-19; 8:45 am]
BILLING CODE 3510-16-P
