[Federal Register Volume 76, Number 41 (Wednesday, March 2, 2011)]
[Notices]
[Pages 11430-11432]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-4456]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Proposed Information Collection Requirements Under OMB Review; 
Certain Patent Petitions Requiring a Fee

ACTION: Notice; comment request.

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SUMMARY: The United States Patent and Trademark Office (USPTO), as part 
of its continuing effort to reduce paperwork and respondent burden, 
invites the general public and other Federal agencies to take this 
opportunity to comment on the revision of a currently approved 
collection, as required by the Paperwork Reduction Act of 1995, Public 
Law 104-13 (44 U.S.C. 3506(c)(2)(A)).

DATES: Written comments must be submitted on or before May 2, 2011.

ADDRESSES: You may submit comments by any of the following methods:
    <bullet> E-mail: <a href="/cdn-cgi/l/email-protection#89c0e7efe6fbe4e8fde0e6e7cae6e5e5eceafde0e6e7c9fcfaf9fde6a7eee6ff"><span class="__cf_email__" data-cfemail="531a3d353c213e32273a3c3d103c3f3f3630273a3c3d13262023273c7d343c25">[email protected]</span></a>. Include ``0651-
0059 Patent Petitions Requiring a Fee under 37 CFR 1.17(f)-(h) 
comment'' in the subject line of the message.
    <bullet> Mail: Susan K. Fawcett, Records Officer, Office of the 
Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 
1450, Alexandria, VA 22313-1450.
    <bullet> Federal e-Rulemaking Portal: http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Raul Tamayo, Legal Advisor, 
Office of Patent Legal Administration, U.S. Patent and Trademark Office 
(USPTO), P.O. Box 1450, Alexandria, VA 22313-1450; by telephone 571-
272-7728; or by e-mail at <a href="/cdn-cgi/l/email-protection#8dffecf8e1a3f9ece0ecf4e2cdf8fefdf9e2a3eae2fb"><span class="__cf_email__" data-cfemail="82f0e3f7eeacf6e3efe3fbedc2f7f1f2f6edace5edf4">[email protected]</span></a> with ``Paperwork'' in 
the subject line.

SUPPLEMENTARY INFORMATION:

I. Abstract

    The United States Patent and Trademark Office (USPTO) is required 
by 35 U.S.C. 131 et seq. to examine an application for patent and, when 
appropriate, issue a patent. Many actions taken by the USPTO during its 
examination of an application for patent or for reissue of a patent, or 
during its reexamination of a patent, are subject to review by an 
appeal to the Board of Patent Appeals and Interferences. For other 
USPTO actions, review is in the form of administrative review obtained 
via submission of a petition to the USPTO. USPTO petitions practice 
also provides an opportunity for a patent applicant or owner to supply 
additional information that may be required in order for the USPTO to 
further process an application or patent.
    Currently, this collection covers certain petitions which, when 
submitted to the USPTO by a patent applicant or owner, are required to 
be accompanied by the fee set forth in 37 CFR 1.17(f). The USPTO has 
determined that it would be beneficial to group other petitions which 
require a fee under 37 CFR 1.17 together with the petitions currently 
in this collection. Specifically, the USPTO proposes to transfer out of 
0651-0031 and into this collection petitions which are required to be 
accompanied by the fee set forth in either 37 CFR 1.17 (g) or (h), 
including, for example, petitions for requests for documents in a form 
other than that provided by 37 CFR 1.19, petitions to make special 
under the accelerated examination program, petitions for express 
abandonment to avoid publication under 37 CFR 1.138(c), and petitions 
for extension of time under 37 CFR 1.136(b). For a complete listing of 
the items covered by this collection, please see the table in Section 
III of this notice.
    The petitions in this collection can be submitted electronically 
through EFS-Web, the USPTO's web-based electronic filing system, as 
well as on paper. The USPTO is taking this opportunity to account for 
the electronic submissions in this collection.
    Currently this collection has one form. There are forms associated 
with the petitions for extension of time under 37 CFR 1.136(b) (PTO/SB/
23), petitions to make special under the accelerated examination 
program (PTO/SB/28), petitions for express abandonment to avoid 
publication under 37 CFR 1.138(c) (PTO/SB/24A), and petitions to 
withdraw an application from issue after payment of the issue fee under 
37 CFR 1.313(c) (PTO/SB/140). Therefore, after approval, this 
collection will have five forms. Please note that there are some 
petitions to withdraw which cannot be submitted using PTO/SB/140. None 
of the other petitions in this collection has a form associated with 
it. The filing fee for petitions with no associated form may be 
remitted to the USPTO using PTO/SB/17p, which is titled ``Petition Fee 
Under 37 CFR 1.17(f), (g), and (h) Transmittal.''

II. Method of Collection

    By mail, facsimile, or hand delivery to the USPTO when the 
applicant files the various petitions. These papers can also be filed 
as attachments through EFS-Web. The petitions to make special under the 
accelerated examination program can only be filed through EFS-Web.

III. Data

    OMB Number: 0651-0059.
    Form Number(s): PTO/SB/17P, PTO/SB/23, PTO/SB/24a, PTO/SB/28 (EFS-
Web only), and PTO/SB/140.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Business or other for profit; non-profit 
institutions.
    Estimated Number of Respondents: 39,015 responses per year. Of this 
total, the USPTO expects that 35,154 responses will be submitted 
through EFS-Web.
    Estimated Time per Response: The USPTO estimates that it will take 
approximately 5 minutes (0.08 hours) to 12 hours to complete the items 
in this collection, depending on the petition. This includes time to 
gather the necessary information, create the documents, and submit the 
completed request to the USPTO. The USPTO calculates that, on balance, 
it takes the same amount of time to gather the necessary information, 
prepare the petitions and the fee transmittal form, and submit them to 
the USPTO, whether the applicant submits the petition in paper form or 
electronically.
    Estimated Total Annual Respondent Burden Hours: 41,907 hours.
    Estimated Total Annual Respondent Cost Burden: $13,616,730. The 
USPTO expects that attorneys will complete all of the items in this 
collection, with the exception of the petitions for requests for 
documents in a form other than that provided by 37 CFR 1.19 and 
petitions for express abandonment to avoid publication under 37 CFR 
1.138(c). The USPTO expects that these petitions will be completed by 
para-professionals. Using the professional hourly rate of $325 for 
attorneys in private firms, and

[[Page 11431]]

an hourly rate of $122 for the para-professionals, the USPTO estimates 
$13,616,730 per year for salary costs associated with respondents.

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                                                                                     Estimated       Estimated
                     Item                          Estimated time for response        annual       annual burden
                                                                                     responses         hours
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Petitions (corresponding to the fee) under 37   4 hours.........................             400           1,600
 CFR 1.17(f) include: Petition to Accord a
 Filing Date under 1.57(a); Petition to Accord
 a Filing Date under 1.53(e); Petition for
 Decision on a Question Not Specifically
 Provided For; Petition to Suspend the Rules.
EFS-Web Petitions (corresponding to the fee)    4 hours.........................           3,200          12,800
 under 37 CFR 1.17(f).
Petitions (corresponding to the fee) under 37   2 hours.........................             400             800
 CFR 1.17(g): Petition to Access an Assignment
 Record; Petition for Access to an
 Application; Petition for Expungement and
 Return of Information; Petition to Suspend
 Action in an Application.
EFS-Web Petitions (corresponding to the fee)    2 hours.........................           3,500           7,000
 under 37 CFR 1.17(g).
Petitions (corresponding to the fee) under 37   1 hour..........................           1,100           1,100
 CFR 1.17(h): Petition for Accepting Color
 Drawings or Photographs; Petition for Entry
 of a Model or Exhibit; Petition to Withdraw
 an Application from Issue PTO/SB/140;
 Petition to Defer Issuance of a Patent.
EFS-Web Petitions (corresponding to the fee)    1 hour..........................          10,300          10,300
 under 37 CFR 1.17(h).
Petitions for Requests for Documents in a Form  1 hour..........................               5               5
 Other than that Provided by 37 CFR 1.19.
EFS-Web Petitions for Requests for Documents    1 hour..........................              50              50
 in a Form Other than that Provided by 37 CFR
 1.19.
Petitions to Make Special Under Accelerated     12 hours........................             550           6,600
 Examination Program PTO/SB/28 (EFS-Web Only).
Petitions for Express Abandonment to Avoid      12 minutes......................              50              10
 Publication Under 37 CFR 1.138(c) PTO/SB/24a.
EFS-Web Petitions for Express Abandonment to    12 minutes......................             500             100
 Avoid Publication Under 37 CFR 1.138(c).
Petition for Extension of Time Under 37 CFR     30 minutes......................               6               3
 1.136(b) PTO/SB/23.
EFS-Web Petition for Extension of Time Under    30 minutes......................              54              27
 37 CFR 1.136(b).
Petition Fee under 37 CFR 1.17(f), (g), and     5 minutes.......................           1,900             152
 (h) Transmittal PTO/SB/17P.
EFS-Web Petition Fee under 37 CFR 1.17(f),      5 minutes.......................          17,000           1,360
 (g), and (h) Transmittal.
                                               -----------------------------------------------------------------
    TOTALS....................................  ................................          39,015          41,907
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    Estimated Total Annual Non-Hour Respondent Cost Burden: $3,875,424.
    There are no capital start-up, operation, or maintenance costs 
associated with this information collection. There are, however, 
postage costs and filing fees.
    The public may submit the petitions in this collection to the USPTO 
by mail through the United States Postal Service. All correspondence 
may include a certificate of mailing for each piece of correspondence 
enclosed, stating the date of deposit or transmission to the USPTO in 
order to receive credit for timely filing. The USPTO has estimated that 
the vast majority of these submissions will weigh no more than 13 oz. 
Therefore, the USPTO is conservatively estimating that these 
submissions will be mailed in large mailing envelopes by first-class 
postage at a rate of $2.92. Postage for the certificates of mailing 
themselves are not calculated into this estimate as they are included 
with the individual pieces of correspondence that are being deposited 
with the United States Postal Service. The USPTO estimates that 1,961 
petitions and 1,900 fee transmittal forms will be mailed to the USPTO 
per year, for a total postage cost of $11,274.
    This collection has a minimum of $3,864,150 in associated filing 
fees, as shown in the accompanying table:

----------------------------------------------------------------------------------------------------------------
                                                                                                 Total non-hour
                          Item                             Responses (a)      Filing Fee ($)    cost burden (a x
                                                                                   (b)               b) (c)
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Petitions (corresponding to the fee) under 37 CFR                      400            $400.00        $160,000.00
 1.17(f) include: Petition to Accord a Filing Date
 under 1.57(a); Petition to Accord a Filing Date under
 1.53(e); Petition for Decision on a Question Not
 Specifically Provided For.............................
EFS-Web Petitions (corresponding to the fee) under 37                3,200             400.00       1,280,000.00
 CFR 1.17(f)...........................................
Petitions (corresponding to the fee) under 37 CFR                      400             200.00          80,000.00
 1.17(g): Petition to Access an Assignment Record;
 Petition for Access to an Application; Petition for
 Expungement and Return of Information; Petition to
 Suspend Action in an Application......................
EFS-Web Petitions (corresponding to the fee) under 37                3,500             200.00         700,000.00
 CFR 1.17(g)...........................................
Petitions (corresponding to the fee) under 37 CFR                    1,100             130.00         143,000.00
 1.17(h): Petition for Accepting Color Drawings or
 Photographs; Petition for Entry of a Model or Exhibit;
 Petition to Withdraw an Application from Issue PTO/SB/
 140; Petition to Defer Issuance of a Patent...........
EFS-Web Petitions (corresponding to the fee) under 37               10,300             130.00       1,339,000.00
 CFR 1.17(h)...........................................
Petitions for Requests for Documents in a Form Other                     5             130.00             650.00
 than that Provided by 37 CFR 1.19.....................

[[Page 11432]]

 
EFS-Web Petitions for Requests for Documents in a Form                  50             130.00           6,500.00
 Other than that Provided by 37 CFR 1.19...............
Petitions to Make Special Under Accelerated Examination                550             130.00          71,500.00
 Program (EFS-Web only) PTO/SB/28 (EFS-Web only).......
Petitions for Express Abandonment to Avoid Publication                  50             130.00           6,500.00
 Under 37 CFR 1.138(c) PTO/SB/24a......................
EFS-Web Petitions for Express Abandonment to Avoid                     500             130.00          65,000.00
 Publication Under 37 CFR 1.138(c).....................
Petition for Extension of Time Under 37 CFR 1.136(b)                     6             200.00           1,200.00
 PTO/SB/23.............................................
EFS-Web Petition for Extension of Time Under 37 CFR                     54             200.00          10,800.00
 1.136(b)..............................................
Petition Fee under 37 CFR 1.17(f), (g), and (h)                      1,900               None               0.00
 Transmittal PTO/SB/17.................................
EFS-Web Petition Fee under 37 CFR 1.17(f), (g), and (h)             17,000               None               0.00
 Transmittal...........................................
                                                        --------------------------------------------------------
    TOTALS.............................................             39,015  .................       3,864,150.00
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    The USPTO estimates that the total non-hour respondent cost burden 
for this collection in the form of postage costs and filing fees 
amounts to $3,875,424.

IV. Request for Comments

    Comments are invited on: (a) Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information shall have practical 
utility; (b) the accuracy of the agency's estimate of the burden 
(including hours and cost) of the proposed collection of information; 
(c) ways to enhance the quality, utility, and clarity of the 
information to be collected; and (d) ways to minimize the burden of the 
collection of information on respondents, e.g., the use of automated 
collection techniques or other forms of information technology.
    Comments submitted in response to this notice will be summarized or 
included in the request for OMB approval of this information 
collection; they will also become a matter of public record.

    Dated: February 24, 2011.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer.
[FR Doc. 2011-4456 Filed 3-1-11; 8:45 am]
BILLING CODE 3510-16-P


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