[Federal Register Volume 86, Number 162 (Wednesday, August 25, 2021)]
[Notices]
[Pages 47478-47480]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-18231]


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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; Fee Deficiency Submissions

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), as 
required by the Paperwork Reduction Act of 1995, invites comments on 
the extension and revision of an existing information collection: 0651-
0070 (Fee Deficiency Submissions). 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 October 25, 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.

[[Page 47479]]

    <bullet> Email: <a href="/cdn-cgi/l/email-protection#81c8efe7eef3ece0f5e8eeefc2eeedede4e2f5e8eeefc1f4f2f1f5eeafe6eef7"><span class="__cf_email__" data-cfemail="bef7d0d8d1ccd3dfcad7d1d0fdd1d2d2dbddcad7d1d0fecbcdcecad190d9d1c8">[email protected]</span></a>. Include ``0651-
0070 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 Parikha Mehta, Legal Advisor, Office of Patent 
Legal Administration, United States Patent and Trademark Office, P.O. 
Box 1450, Alexandria, VA 22313-1450, by telephone at 571-272-3248, or 
by email at <a href="/cdn-cgi/l/email-protection#1848796a7173707936557d706c79586d6b686c77367f776e"><span class="__cf_email__" data-cfemail="92c2f3e0fbf9faf3bcdff7fae6f3d2e7e1e2e6fdbcf5fde4">[email protected]</span></a> with ``0651-0070 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

    Under section 10(b) of the Leahy-Smith America Invents Act 
(``Act'') (See Pub. L. 112-29, 125 Stat. 283 (2011)), eligible small 
entities shall receive a 50 percent fee reduction from the undiscounted 
fees for filing, searching, examining, issuing, appealing, and 
maintaining patent applications and patents. The Act further provides 
that micro entities shall receive a 75 percent fee reduction from the 
undiscounted fees for filing, searching, examining, issuing, appealing, 
and maintaining patent applications and patents.
    This information collection covers the submissions made by patent 
applicants and patentees to excuse small and micro entity fee payment 
errors, in accordance with the procedures set forth in 37 CFR 1.28(c) 
and 1.29(k). Specifically, 37 CFR 1.28(c) provides a procedure by which 
patent applicants and patentees may be excused for erroneous payments 
of fees in the small entity amount. 37 CFR 1.29(k) provides a procedure 
by which patent applicants and patentees may be excused for erroneous 
payments of fees in the micro entity amount.
    Patent applicants and patentees who change their entity status may 
need to submit additional payments in order to have their applications 
associated with the correct category. It is possible for small or micro 
entity status to be established in good faith, and for a patent 
applicant or patentee to pay a fee as a small or micro entity in good 
faith, only to later discover that the entity status was established in 
error, or to later discover that, through error, the USPTO was not 
notified of a loss of status entitlement. The USPTO will excuse the 
error if a deficiency payment and other requirements are submitted in 
compliance with 37 CFR 1.28(c) or 1.29(k). Thus, this information 
collection is necessary so that patent applicants and patentees may pay 
the balance of fees due (i.e., fee deficiency payment) when a fee was 
previously paid in error in a micro or small entity amount. The USPTO 
needs the information to be able to process and properly record a fee 
deficiency payment to avoid questions arising later, either for the 
USPTO or for the applicant or patentee, as to whether the proper fees 
have been paid in the application or patent.

II. Method of Collection

    The items in this information collection may be submitted online 
using the Patent Electronic Systems (EFS-Web or Patent Center), or on 
paper by either mail or hand delivery.

III. Data

    OMB Control Number: 0651-0070.
    Form Numbers: None.
    Type of Review: Extension and revision of a currently approved 
information collection.
    Affected Public: Private Sector; individuals or households.
    Estimated Number of Respondents: 2,000 respondents per year.
    Estimated Number of Responses: 3,002 responses per year.
    Estimated Time per Response: The USPTO estimates that the response 
time for activities related to Fee Deficiency Submissions will take the 
public approximately 2 hours to complete. This includes the time to 
gather the necessary information, create the document, and submit the 
completed information to the USPTO.
    Estimated Total Annual Respondent Burden Hour: 6,004 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: $2,401,600.

                                               Table 1--Total Hourly Burden for Private Sector Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Estimated                                Estimated
                                                           Estimated    Responses      Estimated     time for     Estimated     Rate \1\      annual
          Item No.                       Item                annual        per          annual       response   burden (hour/   ($/hour)    respondent
                                                          respondents   respondent     responses     (hours)        year)                   cost burden
                                                                  (a)          (b)     (a) x (b) =        (d)     (c) x (d) =        (f)     (e) x (f) =
                                                                                               (c)                        (e)                        (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..........................  Submissions Under 37 CFR           1,455          1.5           2,183          2           4,366       $400      $1,746,400
                              1.28(c).
2..........................  Submissions Under 37 CFR             485          1.5             728          2           1,456        400         582,400
                              1.29(k).
                                                         -----------------------------------------------------------------------------------------------
    Totals.................  ...........................        1,940  ...........           2,911  .........           5,822  .........       2,328,800
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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.


                                         Table 2--Total Hourly Burden for Individuals or Households Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Estimated                                Estimated
                                                           Estimated    Responses      Estimated     time for     Estimated     Rate \2\      annual
          Item No.                       Item                annual        per          annual       response   burden (hour/   ($/hour)    respondent
                                                          respondents   respondent     responses     (hours)        year)                   cost burden
                                                                  (a)          (b)     (a) x (b) =        (d)     (c) x (d) =        (f)     (e) x (f) =
                                                                                               (c)                        (e)                        (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..........................  Submissions Under 37 CFR              45          1.5              68          2             136       $400         $54,400
                              1.28(c).
2..........................  Submissions Under 37 CFR              15          1.5              23          2              46        400          18,400
                              1.29(k).
                                                         -----------------------------------------------------------------------------------------------
    Totals.................  ...........................           60  ...........              91  .........             182  .........          72,800
--------------------------------------------------------------------------------------------------------------------------------------------------------
\2\ 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.


[[Page 47480]]

    Estimated Total Annual Cost Burden (Non-Hourly): $248.
    There are no capital startup, maintenance, or operating fees are 
associated with this information collection. There are, however, 
postage costs associated with this information collection.
    Although the USPTO prefers that the items in this information 
collection be submitted electronically, responses may be submitted by 
mail through the United States Postal Service (USPS). The USPTO 
estimates that 1% of the 3,002 responses will be submitted in the mail 
resulting in 30 mailed items. The USPTO estimates that the average 
postage cost for a mailed submission, using a Priority Mail 2-day flat 
rate legal envelope, will be $8.25. Therefore, the USPTO estimates the 
total mailing costs for this information collection at $248.
    Respondent's Obligation: Required to obtain or retain benefits.

IV. Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate whether the collection of information is necessary for 
the proper performance of the functions of the Agency, including 
whether the information shall have practical utility;
    (b) Evaluate the accuracy of the Agency's estimate of the burden, 
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 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 personally 
identifiable information (PII) in a comment, be aware that the entire 
comment--including PII--may be made publicly available at any time. 
While you may ask in your comment to withhold PII 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. 2021-18231 Filed 8-24-21; 8:45 am]
BILLING CODE 3510-16-P


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