[Federal Register Volume 85, Number 247 (Wednesday, December 23, 2020)]
[Notices]
[Pages 83903-83906]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-28412]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comment 
Request; Admission to Practice and Roster of Registered Patent 
Attorneys and Agents Admitted to Practice Before the United States 
Patent and Trademark Office

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

ACTION: Notice of information collection; request for comment.

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SUMMARY: The United States Patent and Trademark Office (USPTO), in 
accordance with the Paperwork Reduction Act of 1995, invites comments 
on the extension and revision of an existing information collection: 
0651-0012 (Admission to Practice and Roster of Registered Patent 
Attorneys and Agents Admitted to Practice Before the United States 
Patent and Trademark Office). The purpose of this notice is to allow 60 
days for public comment preceding submission of the information 
collection to OMB.

DATES: To ensure consideration, comments regarding this information 
collection must be received on or before February 22, 2021.

ADDRESSES: Interested persons are invited to submit written comments by 
any of the following methods. Do not submit Confidential Business 
Information or otherwise sensitive or protected information.
    <bullet> Email: <a href="/cdn-cgi/l/email-protection#377e595158455a56435e585974585b5b5254435e585977424447435819505841"><span class="__cf_email__" data-cfemail="f3ba9d959c819e92879a9c9db09c9f9f9690879a9c9db3868083879cdd949c85">[email protected]</span></a>. Include ``0651-
0012 comment'' in the subject line of the message.
    <bullet> Federal Rulemaking Portal: http://www.regulations.gov.
    <bullet> Mail: Kimberly Hardy, 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 Dahlia George, Office of Enrollment and 
Discipline, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450; by telephone at 571-272-4097; or by email to 
<a href="/cdn-cgi/l/email-protection#5b1f3a3337323a751c3e34293c3e1b2e282b2f34753c342d"><span class="__cf_email__" data-cfemail="c480a5aca8ada5ea83a1abb6a3a184b1b7b4b0abeaa3abb2">[email protected]</span></a> with ``0651-0012 comment'' in the subject line. 
Additional information about this information collection is also 
available at http://www.reginfo.gov under ``Information Collection 
Review.''

SUPPLEMENTARY INFORMATION:

I. Abstract

    This collection of information is required by 35 U.S.C. 2(b)(2)(D), 
which permits the United States Patent and Trademark Office (USPTO) to 
establish regulations governing the recognition and conduct of agents, 
attorneys, or other persons representing applicants or other parties 
before the USPTO. This statute also permits the USPTO to require 
information from applicants that shows that they are of good moral 
character and reputation and have the necessary qualifications to 
assist applicants with the patent process and to represent them before 
the USPTO.
    This information collection addresses submissions required by the 
regulations at 37 CFR 1.21, 10.14, and 11.5-11.11, which set forth the 
requirements to apply for the examination for registration and to 
demonstrate eligibility to be a registered attorney or agent before the 
USPTO, including the fee requirements. The Office of Enrollment and 
Discipline (OED) collects this information to determine the 
qualifications of individuals entitled to represent applicants before 
the USPTO in the preparation and prosecution of applications for a 
patent. The OED also collects this information to administer and 
maintain the public roster of attorneys and agents registered to 
practice before the USPTO, which is accessible through the USPTO 
website. The information in this information collection is used by the 
USPTO to review applications for the examination for registration and 
to determine whether an applicant may be added to, or an existing 
practitioner may remain on, the Register of Patent Attorneys and 
Agents.

II. Method of Collection

    Items in this information collection may be submitted via online 
electronic submissions. Applicants may also submit the information in 
paper form by mail, fax, or hand delivery.

III. Data

    OMB Control Number: 0651-0012.
    Form Numbers:

<bullet> PTO-107A: (Data Sheet--Register of Patent Attorneys and 
Agents)
<bullet> PTO-107R: (Reinstatement to the Register)
<bullet> PTO-107S: (Registration Statement of Patent Attorneys and 
Agents)
<bullet> PTO-158: (Application for Registration to Practice Before the 
United States Patent and Trademark Office)
<bullet> PTO-158A: (Application for Registration to Practice Before the 
United States Patent and Trademark Office Under 37 CFR 11.6(c) by a 
Foreign Resident)
<bullet> PTO 158RA: (Reasonable Accommodation)
<bullet> PTO-158T: (Application for Reciprocal Recognition to Practice 
in Trademark Matters Before the United States Patent and Trademark 
Office Under 37 CFR 11.14(c) by a Foreign Attorney or Agent)
<bullet> PTO-1209: (Oath or Affirmation)

    Type of Review: Revision of a currently approved information 
collection.
    Affected Public: Individuals or households.
    Estimated Number of Respondents: 21,251 per year.
    Estimated Number of Responses: 30,727 per year.
    Estimated Time per Response: The USPTO estimates that it takes the 
public approximately 5 minutes (0.08 hours) to 7 hours to complete this 
information, depending upon the application. This includes the time to 
gather the necessary information, prepare and maintain the documents, 
and submit the items to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 18,188 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: $7,275,200.

[[Page 83904]]



                                    Table 1--Total Hourly Reporting Burden for Individuals or Households Respondents
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                                                                             Estimated                                                       Estimated
                                                             Estimated        annual      Estimated time     Estimated     Rate \1\ ($/       annual
          Item No.                       Item                 annual         responses     for response    annual burden       hour)        respondent
                                                            respondents       (year)          (hours)       (hour/year)                     cost burden
                                                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =
                                                                                                                     (c)                             (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1                             Application for                      2,474           2,474            0.50           1,237            $400        $494,800
                               Registration to Practice
                               Before the United States
                               Patent and Trademark
                               Office (includes both the
                               computerized exam and the
                               USPTO-administered exam).
                              PTO-158...................
1                             Application for                         34              34            0.50              17             400           6,800
                               Registration to Practice
                               Before the United States
                               Patent and Trademark
                               Office (former examiners;
                               examination waived).
                              PTO-158...................
1                             Application for                          6               6            0.50               3             400           1,200
                               Registration to Practice
                               Before the United States
                               Patent and Trademark
                               Office Under 37 CFR
                               11.6(c) by a Foreign
                               Resident (examination
                               waived).
                              PTO-158A..................
1                             Application for Reciprocal              11              11            0.50               6             400           2,400
                               Recognition to Practice
                               in Trademark Matters
                               Before the United States
                               Patent and Trademark
                               Office Under 37 CFR
                               11.14(c) by a Foreign
                               Attorney or Agent
                               (examination waived).
                              PTO-158T..................
2                             Registration Examination    Same as line 1           1,616               7          11,312             400       4,524,800
                               to Become a Registered
                               Practitioner.
3                             Reasonable Accommodation..  Same as line 1              63               4             252             400         100,800
                              PTO 158RA.................
4                             Data Sheet--Register of     Same as line 1             840             0.5             420             400         168,000
                               Patent Attorneys and
                               Agents.
                              PTO-107A..................
5                             Registration Statement of           16,333          16,333            0.25           4,083             400       1,633,200
                               Patent Attorneys and
                               Agents.
                              PTO-107S..................
6                             Oath or Affirmation.......  Same as line 1             840            0.08              67             400          26,800
                              PTO-1209..................
7                             Reinstatement to the                    76              76            0.08               6             400           2,400
                               Register.
                              PTO-107R..................
8                             Change of Registration                 252             252            0.50             126             400          50,400
                               from Agent to Attorney.
                              PTO-158...................
9                             Written Requests                     2,057           3,578            0.08             286             400         114,400
                               (Certificate of Good
                               Standing, Disciplinary
                               History).
10                            Petition to the Director                 7               7            0.75               5             400           2,000
                               of the Office of
                               Enrollment and Discipline
                               under 37 CFR 11.2(c).
11                            Petition to USPTO Director               1               1            0.75               1             400             400
                               under 37 CFR 11.2(d).
                                                         -----------------------------------------------------------------------------------------------
    Total                     ..........................          21,251          26,131  ..............          17,821  ..............       7,128,400
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    The USPTO Office of Enrollment and Discipline General Requirements 
Bulletin \2\ recommends that ``an applicant should make and keep a copy 
of every document submitted to the Office in connection with an 
application for registration.'' The USPTO estimates that it will take 
an applicant approximately 5 minutes (0.08 hours) to print and retain a 
copy of the submissions and that approximately 4,596 responses 
requiring record keeping (based on the response numbers from Table 1) 
will be made per year, for a total of 367 hours.
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    \1\ 2019 Report of the Economic Survey, published by the 
Committee on Economics of Legal Practice of the American 
Intellectual Property Law Association (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms 
which is $400 per hour.
    \2\ General Requirements Bulletin for Admission to the 
Examination for Registration to Practice in Patent Cases before the 
United States Patent and Trademark Office; https://www.uspto.gov/sites/default/files/documents/OED_GRB.pdf

[[Page 83905]]



                                  Table 2--Total Hourly Recordkeeping Burden for Individuals or Households Respondents
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                                                                             Estimated                                                       Estimated
                                                                              annual      Estimated time     Estimated     Rate \3\ ($/       annual
              Item No.                               Item                    responses     for response    annual burden       hour)        respondent
                                                                              (year)          (hours)       (hour/year)                     cost burden
                                                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =
                                                                                                                     (c)                             (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1                                     Application for Registration to              2,525            0.08             202            $400         $80,800
                                       Practice Before the United States
                                       Patent and Trademark Office.
3                                     Reasonable Accommodation..........              63            0.08               5             400           2,000
4                                     Data Sheet--Register of Patent                 840            0.08              67             400          26,800
                                       Attorneys and Agents.
6                                     Oath or Affirmation...............             840            0.08              67             400          26,800
7                                     Reinstatement to the Register.....              76            0.08               6             400           2,400
8                                     Change of Registration from Agent              252            0.08              20             400           8,000
                                       to Attorney.
                                                                         -------------------------------------------------------------------------------
    Totals                            ..................................           4,596  ..............             367  ..............         146,800
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    Estimated Total Annual (Non-hour) Respondent Cost Burden: $875,706. 
There are no capital start-up or maintenance costs associated with this 
information collection. There are, however, non-hour costs due to 
filing fees, postage costs, and notary fees.
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    \3\ 2019 Report of the Economic Survey, published by the 
Committee on Economics of Legal Practice of the American 
Intellectual Property Law Association (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms 
which is $400 per hour.
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    There are filing fees associated with this information collection. 
The application fees for registration to practice before the USPTO vary 
depending on whether the applicant is a current applicant, a former 
examiner, a foreign resident, or seeking reinstatement to the Register. 
The fee for administration of the computerized examination to become a 
registered patent practitioner also varies depending on how the 
examination is administered. The total annual non-hour cost burden 
associated with filing fees is $865,958.

                                              Table 3--Filing Fees
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                                                                                                  Total non-hour
                                                                     Responses                      respondent
           Item No.                           Item                    (year)      Filing fee ($)  cost burden ($/
                                                                                                       hour)
                                                                             (a)             (b)     (a) x (b) =
                                                                                                             (c)
----------------------------------------------------------------------------------------------------------------
1                              Non-Refundable Application Fee              2,474            $110        $272,140
                                for Registration to Practice
                                Before the United States Patent
                                and Trademark Office (includes
                                both the computerized exam and
                                the USPTO-administered exam).
1                              Application Fee for Registration               34             110           3,740
                                to Practice Before the United
                                States Patent and Trademark
                                Office, as applicable when used
                                for registration fees only
                                (former examiners; examination
                                waived).
1                              Application for Registration to                 6             110             660
                                Practice Before the United
                                States Patent and Trademark
                                Office Under 37 CFR 11.6(c) by a
                                Foreign Resident (examination
                                waived).
1                              Application Fee for Reciprocal                 11             110           1,210
                                Recognition to Practice in
                                Trademark Matters Before the
                                United States Patent and
                                Trademark Office Under 37 CFR
                                11.14(c) by a Foreign Attorney/
                                Agent (examination waived).
1                              Non-Refundable Application Fee                  7           1,680          11,760
                                for Enrollment and/or
                                Reinstatement to Practice Before
                                the United States Patent and
                                Trademark Office under 37 CFR
                                1.21(a)(10) (those who must
                                prove fitness to practice).
2                              Registration examination fee for            1,616             173         279,568
                                administration of computerized
                                examination to become a
                                registered patent practitioner
                                administered by a commercial
                                entity (computer exam).
2                              For administered review of                    300             205          61,500
                                Registration Examination by a
                                commercial entity (computer
                                exam).
2                              Registration examination fee for                1             470             470
                                administration of computerized
                                examination to become a
                                registered patent practitioner
                                administered by the USPTO (USPTO-
                                administered exam).
2                              For USPTO-Administered Review of                1             470             470
                                Registration Examination.
4                              On Registration to Practice Under             840             210         176,400
                                37 CFR 11.6. On Grant of Limited
                                Recognition Under 37 CFR 11.9(b).
7                              Reinstatement to the Register....              76             210          15,960
8                              On Change of Registration from                252             110          27,720
                                Agent to Attorney.
14                             Certificate of Good Standing as               275              40          11,000
                                an Attorney or Agent, Standard.

[[Page 83906]]

 
10                             Petition to the Director of the                 7             420           2,940
                                Office of Enrollment and
                                Discipline under 37 CFR 11.2(c).
11                             Review of Decision of the                       1             420             420
                                Director of Enrollment and
                                Discipline Under 37 CFR 11.2(d).
                                                                 -----------------------------------------------
    Totals                     .................................           5,901  ..............         865,958
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    Postage costs are also associated with this information collection. 
The USPTO estimates that the average postage cost for a mailed 
submission, depending upon the item sent, will be $0.55. The USPTO 
estimates that with 2,450 mailed submissions, the postage costs in this 
information collection will be $1,348.
    Additional costs are incurred for new Patent Bar members who are 
required to obtain and submit an Oath or Affirmation. These items 
usually require the services of a public notary. The cost of a 
notarized document is dependent upon local rules, but is estimated by 
USPTO to average $10. The cost of 840 Oaths is estimated to be $8,400.
    Therefore, the USPTO estimates that the total annual (non-hour) 
cost burden for this information collection, in the form of filing 
fees, postage, and notary fees is $875,706.
    Respondent's Obligation: Required to obtain or retain benefits.

IV. Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the Agency, 
including whether the information will have practical utility;
    (b) Evaluate the accuracy of the Agency's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
    (c) Enhance the quality, utility, and clarity of the information to 
be collected; and
    (d) Minimize the burden of the 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.
    All comments submitted in response to this notice are a matter of 
public record. USPTO will include or summarize each comment in the 
request to OMB to approve this information collection. Before including 
an address, phone number, email address, or other personal identifying 
information in a comment, be aware that the entire comment--including 
personal identifying information--may be made publicly available at any 
time. While you may ask in your comment to withhold personal 
identifying information from public view, USPTO cannot guarantee that 
it will be able to do so.

Kimberly Hardy,
Information Collections Officer, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2020-28412 Filed 12-22-20; 8:45 am]
BILLING CODE 3510-16-P


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