[Federal Register Volume 86, Number 82 (Friday, April 30, 2021)]
[Notices]
[Pages 22936-22939]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-09035]
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DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Agency Information Collection Activities; Submission to the
Office of Management and Budget (OMB) for Review and Approval; Comment
Request; Rules for Patent Maintenance Fees
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:
0651-0016 (Rules for Patent Maintenance Fees). 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 June 29, 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.
Email: [email protected]. Include ``0651-
0016 comment'' in the subject line of the message.
Federal Rulemaking Portal: http://www.regulations.gov.
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, Patent Examination Policy Advisor,
Office of Patent Legal Administration, United States Patent and
Trademark Office (USPTO), P.O. Box 1450,
[[Page 22937]]
Alexandria, VA 22313-1450; by telephone at 571-272-3248; or by email at
[email protected] with ``0651-0016 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 35 U.S.C. 41 and 37 CFR 1.20(e)-(h), 1.362, 1.363, 1.366,
1.377, and 1.378, the United States Patent and Trademark Office (USPTO)
charges fees for maintaining in force all utility patents based on
applications filed on or after December 12, 1980. Payment of these
maintenance fees is due at 3\1/2\, 7\1/2\, and 11\1/2\ years after the
date the patent was granted. If the USPTO does not receive payment of
the appropriate maintenance fee and any applicable surcharge within a
grace period of six months following each of the above due dates (at 4,
8, or 12 years after the date of grant), the patent will expire at that
time. After a patent expires, it is no longer enforceable. Maintenance
fees are not required for design, plant, or reissue patents if the
patent being reissued did not require maintenance fees.
Payments of maintenance fees that are submitted during the 6-month
grace period before patent expiration must include the appropriate
surcharge as indicated by 37 CFR 1.20(h). Submissions of maintenance
fee payments and surcharges must include the relevant patent number and
the corresponding United States application number in order to identify
the correct patent and ensure proper crediting of the fee being paid.
If the USPTO refuses to accept and record a maintenance fee payment
that was submitted prior to the expiration of a patent, the patentee
may petition the Director to accept and record the maintenance fee
under 37 CFR 1.377. This petition must be accompanied by the fee
indicated in 37 CFR 1.17(g), which may be refunded if it is determined
that the refusal to accept the maintenance fee was due to an error by
the USPTO.
If a patent has expired due to nonpayment of a maintenance fee, the
patentee may petition the Director to accept a delayed payment of the
maintenance fee under 37 CFR 1.378. The Director may accept the payment
of a maintenance fee after the expiration of the patent if the
petitioner shows to the satisfaction of the Director that the delay in
payment was unintentional. Petitions to accept unintentionally delayed
payment must also be accompanied by the required maintenance fee and
the petition fee as set forth in 37 CFR 1.17(m). If the Director
accepts the maintenance fee payment upon petition, then the patent is
reinstated. If the USPTO denies a petition to accept delayed payment of
a maintenance fee in an expired patent, the patentee may petition the
Director to reconsider that decision under 37 CFR 1.378(d).
The rules of practice (37 CFR 1.33(d) and 1.363) permit applicants,
patentees, assignees, or their representatives of record to specify a
``fee address'' for correspondence related to maintenance fees that is
separate from the correspondence address associated with a patent or
application. A fee address must be an address that is associated with a
USPTO customer number. Customer numbers may be requested by using the
Request for Customer Number Form (PTO/SB/125), which is covered under
OMB control number 0651-0035. Maintaining a correct and updated address
is necessary so that fee-related correspondence from the USPTO will be
properly received by the applicant, patentee, assignee, or authorized
representative. If a separate fee address is not specified for a patent
or application, the USPTO will direct fee-related correspondence to the
correspondence address of record.
This information collection covers the forms needed to submit a
patent maintenance fee payment (PTO/SB/45 and AIA/47) and to designate
or change a fee address (PTO/SB/47). The USPTO also offers two
different versions of the form for petitions to accept unintentionally
delayed payment of maintenance fee in an expired patent under 37 CFR
1.378(b). In addition to the PDF version that may be completed
electronically, the USPTO also offers a Web-based ePetition. Customers
may also submit maintenance fee payments and surcharges incurred during
the 6-month grace period before patent expiration by using the
Maintenance Fee Transmittal Form (PTO/SB/45) or by paying online
through the USPTO's online Patent Maintenance Fees Storefront. However,
to pay a maintenance fee after patent expiration, the maintenance fee
payment and the petition fee, as set forth in 37 CFR 1.17(m), must be
filed together with a petition to accept unintentionally delayed
payment. The USPTO accepts online maintenance fee payments by credit
card, deposit account, or electronic funds transfer (EFT). Otherwise,
non-electronic payments may be made by check, credit card, or deposit
account.
II. Method of Collection
Items in this information collection may be submitted via online
electronic submissions. In limited circumstances, applicants may be
permitted to submit the information in paper form by mail, fax, or hand
delivery.
III. Data
OMB Number: 0651-0016.
Form Numbers:
PTO/SB/45 (Maintenance Fee Transmittal Form)
PTO/SB/47 (``Fee Address'' Indication Form)
PTO/SB/66 (Petition to Accept Unintentionally Delayed Payment
of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))
Type of Review: Extension and revision of a currently approved
information collection.
Affected Public: Private sector; individuals or households.
Estimated Number of Respondents: 577,892 per year.
Estimated Number of Responses: 577,892 per year.
Estimated Time per Response: The USPTO estimates that it takes the
public approximately 0.5 minutes (0.01 hours) to 8 hours to complete
this information, depending upon the item. This includes the time to
gather the necessary information, prepare and maintain the documents,
and submit the items to the USPTO.
Estimated Total Annual Hour Burden: 12,945 hours.
Estimated Total Annual Cost Burden (Hourly): $2,771,565.
[[Page 22938]]
Table 1--Burden Hour/Burden Cost to Respondents for Private Sector
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Estimated Estimated
Estimated annual Estimated time for Estimated Rate \1\ ($/ annual
Item No. Item annual responses response (hours) annual burden hour) respondent
respondents (year) (hour/year) cost burden
(a) (b)........................ (a) x (b) = (d) (c) x (d) =
(c) (e)
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1...................... Maintenance Fee 9,923 9,923 0.08 (5 minutes)........... 794 $145 $115,130
Transmittal
Transactions (PTO/
SB/45).
2...................... Electronic 486,092 486,092 0.01 (0.5 minutes)......... 4,861 145 704,845
Maintenance Fee
Transactions.
3...................... Petition to Accept 2,288 2,288 1.......................... 2,288 400 915,200
Unintentionally
Delayed Payment
of Maintenance
Fee in an Expired
Patent (37 CFR
1.378(b)) (PTO/SB/
66).
4...................... Petition to Review 1 1 4.......................... 4 400 1,600
Refusal to Accept
Payment of
Maintenance Fee
Prior to
Expiration of
Patent (37 CFR
1.377).
5...................... Petition for 121 121 8.......................... 968 400 387,200
Reconsideration
of Decision on
Petition Refusing
to Accept Delayed
Payment of
Maintenance Fee
in an Expired
Patent (37 CFR
1.378(d)).
6...................... ``Fee Address'' 39,013 39,013 0.08 (5 minutes)........... 3,121 145 $452,545
Indication Form
(PTO/SB/47).
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Totals............. .................. 537,438 537,438 ........................... 12,036 .............. 2,576,520
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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. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
Compensation Survey by the National Association of Legal Assistants (NALA).
Table 2--Burden Hour/Burden Cost to Respondents for Rules for Individuals or Households
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Estimated Estimated
Estimated annual Estimated time for Estimated Rate \2\ ($/ annual
Item No. Item annual responses response (hours) annual burden hour) respondent
respondents (year) (hour/year) cost burden
(a) (b)........................ (a) x (b) = (d) (c) x (d) =
(c) (e)
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1...................... Maintenance Fee 747 747 0.08 (5 minutes)........... 60 $145 $8,700
Transmittal
Transactions (PTO/
SB/45).
2...................... Electronic 36,588 36,588 0.01 (0.5 minute).......... 366 145 53,070
Maintenance Fee
Transactions.
4...................... Petition to Accept 172 172 1.......................... 172 400 68,800
Unintentionally
Delayed Payment
of Maintenance
Fee in an Expired
Patent (37 CFR
1.378(b)) (PTO/SB/
66).
5...................... Petition to Review 1 1 4.......................... 4 400 1,600
Refusal to Accept
Payment of
Maintenance Fee
Prior to
Expiration of
Patent (37 CFR
1.377).
6...................... Petition for 9 9 8.......................... 72 400 28,800
Reconsideration
of Decision on
Petition Refusing
to Accept Delayed
Payment of
Maintenance Fee
in an Expired
Patent (37 CFR
1.378(d)).
7...................... ``Fee Address'' 2,937 2,937 0.08 (5 minutes)........... 235 145 34,075
Indication Form
(PTO/SB/47).
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Totals............. .................. 40,454 40,454 ........................... 909 .............. 195,045
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\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. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
Compensation Survey by the National Association of Legal Assistants (NALA).
Estimated Total Annual Cost Burden (Non-Hourly): $1,586,634,038.
This information collection has no capital start-up, maintenance, or
operating fees. This information collection does has filing fees and
postage costs. The filing fees are associated with the maintenance of
patents, which are listed in the table below. The total non-hour
respondent cost burden for this information collection in the form of
filing fees ($1,586,633,000) and postage costs ($1,038) is
approximately $1,586,634,038.
[[Page 22939]]
Table 3--Filing Fees--Non-Hour Cost Burden for Rules for Patent Maintenance Fees
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Item No. Item Responses Filing fee Burden $
(a) (b) (a) x (b) =
(c)
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1.............................. For Maintaining an Original or 220,200 $2,000 $440,400,000
Any Reissue Patent, Due at 3.5
Years (undiscounted entity).
1.............................. For Maintaining an Original or 49,000 1,000 49,000,000
Any Reissue Patent, Due at 3.5
Years (small entity).
1.............................. For Maintaining an Original or 4,500 500 2,250,000
Any Reissue Patent, Due at 3.5
Years (micro entity).
1.............................. For Maintaining an Original or 134,500 3,760 505,720,000
Any Reissue Patent, Due at 7.5
Years (undiscounted entity).
1.............................. For Maintaining an Original or 26,600 1,880 50,008,000
Any Reissue Patent, Due at 7.5
Years (small entity).
1.............................. For Maintaining an Original or 1,500 940 1,410,000
Any Reissue Patent, Due at 7.5
Years (micro entity).
1.............................. For Maintaining an Original or 63,800 7,700 491,260,000
Any Reissue Patent, Due at
11.5 Years (undiscounted
entity).
1.............................. For Maintaining an Original or 9,200 3,850 35,420,000
Any Reissue Patent, Due at
11.5 Years (small entity).
1.............................. For Maintaining an Original or 600 1,925 1,155,000
Any Reissue Patent, Due at
11.5 Years (micro entity).
1.............................. Surcharge--3.5 year--Late 3,600 500 1,800,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--3.5 year--Late 6,450 250 1,612,500
Payment Within 6 Months (small
entity).
1.............................. Surcharge--3.5 year--Late 1,200 125 150,000
Payment Within 6 Months (micro
entity).
1.............................. Surcharge--7.5 year--Late 2,550 500 1,275,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--7.5 year--Late 3,550 250 887,500
Payment Within 6 Months (small
entity).
1.............................. Surcharge--7.5 year--Late 450 125 56,250
Payment Within 6 Months (micro
entity).
1.............................. Surcharge--11.5 year--Late 1,450 500 725,000
Payment Within 6 Months
(undiscounted entity).
1.............................. Surcharge--11.5 year--Late 1,500 250 375,000
Payment Within 6 Months (small
entity).
1.............................. Surcharge--11.5 year--Late 250 125 31,250
Payment Within 6 Months (micro
entity).
3.............................. Petition for the Delayed 650 2,100 1,365,000
Payment of the Fee for
Maintaining a Patent in Force
(undiscounted entity).
3.............................. Petition for the Delayed 1,500 1,050 1,575,000
Payment of the Fee for
Maintaining a Patent in Force
(small entity).
3.............................. Petition for the Delayed 300 525 157,500
Payment of the Fee for
Maintaining a Patent in Force
(micro entity).
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Totals.......................................................... .............. .............. 1,586,633,000
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The public may submit the forms and petitions in this information
collection to the USPTO by mail through the United States Postal
Service. The USPTO estimates that the average postage cost for a mailed
submission, using a Priority Mail 2-day flat rate legal envelope, will
be $8.05. The USPTO estimates approximately 129 submissions per year
may be mailed to the USPTO, for a total postage cost of $1,038 per
year.
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 (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. 2021-09035 Filed 4-29-21; 8:45 am]
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