[Federal Register Volume 89, Number 19 (Monday, January 29, 2024)] [Notices] [Pages 5500-5506] From the Federal Register Online via the Government Publishing Office [www.gpo.gov] [FR Doc No: 2024-01722] ----------------------------------------------------------------------- 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; Patent Processing AGENCY: United States Patent and Trademark Office, Department of Commerce. ACTION: Notice of information collection; request for comment. ----------------------------------------------------------------------- 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- 0031 (Patent Processing). The purpose of this notice is to allow 60 days for public comment preceding submission of this information collection to OMB. DATES: To ensure consideration, comments regarding this information collection must be received on or before March 29, 2024. 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- 0031 comment'' in the subject line of the message. Federal Rulemaking Portal: http://www.regulations.gov. Mail: Justin Isaac, Information Collection Officer, 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 Raul Tamayo, Senior Legal Advisor, Office of Patent Legal Administration, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-7728; or by email to [email protected] with ``0651-0031 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 The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 131 to examine an application for patent and, when appropriate, issue a patent. The USPTO is also required to publish patent applications, with certain exceptions, promptly after the expiration of a period of eighteen months from the earliest filing date for which a benefit is sought under title 35, United States Code (``eighteen-month publication''). Certain situations may arise which require that additional information be supplied in order for the USPTO to further process the patent or application. The USPTO administers the statutes through various sections of the rules of practice in 37 CFR part 1. During the processing of an application for a patent, the applicant or the applicant's representative may be required to submit additional information to the USPTO concerning the examination of a specific application. The specific information required to be submitted includes: requests for extension of time, abandonment of applications and the revival of abandoned applications, disclaimers, appeals, petitions, expedited examination of design applications, requests for continued examinations, requests to inspect, copy, access patent applications, and transmittal forms. The information in this collection is used by the USPTO to continue the processing of the patent or application to ensure that applicants are complying with the patent regulations and to aid in the prosecution of the application. This also includes situations that require additional information in order for the USPTO to further process the patent or application. II. Method of Collection The items in this information collection can be submitted through the USPTO patent electronic filing system (Patent Center), the USPTO's online filing and viewing system for patent applications and related documents. The USPTO also will accept submissions by mail, hand delivery, and facsimile. III. Data OMB Control Number: 0651-0031. Forms: (AIA--America Invents Act; SB--Specimen Book; PTOL = Patent and Trademark Office Legal) [[Page 5501]] PTO/AIA/22 (Petition for Extension of Time under 37 CFR 1.136(a)) PTO/AIA/24 (Express Abandonment under 37 CFR 1.138) PTO/AIA/24B (Petition for Express Abandonment to Obtain a Refund) PTO/AIA/33 (Pre-Appeal Brief Request for Review) PTO/AIA/40 (Request for Correction in a Patent Application Relating to Inventorship or an Inventor Name, or Order of Names, Other than in a Reissue Application (37 CFR 1.48) PTO/AIA/41 (Request to Correct or Update the Name of the Applicant Under 37 CFR 1.45(c)(1), or Change the Applicant Under 37 CFR 1.46(c)(2)) PTO/AIA/67 (Power to Inspect/Copy--For Applications Filed On or After September 16, 2012) PTO/AIA/96 (Statement Under 37 CFR 3.73(c)) PTO/SB/08a (Information Disclosure Statement by Applicant) PTO/SB/08b (Information Disclosure Statement by Applicant) PTO/SB/17i (Processing Fee under 37 CFR 1.17(i) Transmittal) PTO/SB/21 (Transmittal Form) PTO/SB/22 (Petition for Extension of Time under 37 CFR 1.136(a)) PTO/SB/24 (Express Abandonment under 37 CFR 1.138) PTO/SB/24B (Petition for Express Abandonment to Obtain a Refund) PTO/SB/25 (Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending ``Reference'' Application) PTO/SB/26 (Terminal Disclaimer to Obviate a Double Patenting Rejection over a ``Prior'' Patent) PTO/SB/27 (Request for Expedited Examination of a Design Application (37 CFR 1.155)) PTO/SB/30 (Request for Continued Examination (RCE) Transmittal) PTO/SB/33 (Pre-Appeal Brief Request for Review) PTO/SB/35 (Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i)) PTO/SB/36 (Rescission of Previous Nonpublication Request (35 U.S.C. 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii)) PTO/SB/37 (Request Deferral of Examination 37 CFR 1.103(d)) PTO/SB/38 (Request to Retrieve Electronic Priority Applications(s) Filed with Nonparticipating Office(s) That is Available in a Participating Office (37 CFR 1.55(i)(4))) PTO/SB/39 (Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices) PTO/SB/43 (Disclaimer in a Patent under 37 CFR 1.321(a)) PTO/SB/63 (Terminal Disclaimer to Accompany Petition) PTO/SB/64 (Petition for Revival of an Application for Patent Abandoned Unintentionally Under 37 CFR 1.137(a)) PTO/SB/64a (Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (37 CFR 1.137(f)) PTO/SB/67 (Power to Inspect/Copy--For Applications Filed Before September 16, 2012) PTO/SB/68 (Request for Access to an Abandoned Application under 37 CFR 1.14) PTO/SB/91 (Deposit Account Order Form) PTO/SB/92 (Certificate of Mailing or Transmission under 37 CFR 1.8) PTO/SB/96 (Statement under 37 CFR 3.73(b)) PTO/SB/130 (Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)) PTOL/413A (Applicant Initiated Interview Request Form) PTO-2053-A/B (Notice Under 37 CFR 1.251--Pending Application) PTO-2054-A/B (Notice Under 37 CFR 1.251--Abandoned Application) PTO-2055-A/B (Notice Under 37 CFR 1.251--Patent) Type of Review: Extension and revision of a currently approved information collection. Affected Public: Private sector. Respondent's Obligation: Required to obtain or retain benefits. Estimated Number of Annual Respondents: 2,435,597 respondents per year. Estimated Number of Annual Responses: 2,435,597 responses per year. Estimated Time per Response: The USPTO estimates that it will take respondents between 2 minutes (0.03 hours) and 8 hours to submit items in this information collection depending on the instrument used. This includes the time to gather the necessary information, create the document, and submit the completed request to the USPTO. Estimated Total Annual Respondent Burden Hours: 535,466 hours. Estimated Total Annual Respondent Hourly Cost Burden: $170,503,027. Table 1--Total Burden Hours and Hourly Costs to Private Sector Respondents -------------------------------------------------------------------------------------------------------------------------------------------------------- Estimated Estimated Responses Estimated Estimated time for Estimated Rate \1\ ($/ annual Item No. Item annual per annual response (hours) burden (hour/ hour) respondent respondents respondent responses year) cost burden (a) (b) (a) x (b) = (d).................. (c) x (d) = (f) (e) x (f) = (c) (e) (g) -------------------------------------------------------------------------------------------------------------------------------------------------------- 1............... Information 694,000 1 694,000 0.20 (12 minutes).... 138,800 $447 $62,043,600 Disclosure Statements (IDS) that do not require the fee set forth in 37 CFR 1.17(p). 2............... Transmittal Form..... 517,000 1 517,000 0.20 (12 minutes).... 103,400 122 12,614,800 3............... Petition for 192,884 1 192,884 0.40 (24 minutes).... 77,154 122 9,412,788 Extension of Time under 37 CFR 1.136(a). 4............... Express Abandonment 2,000 1 2,000 0.08 (5 minutes)..... 160 122 19,520 under 37 CFR 1.138. 5............... Statutory Disclaimers 49,950 1 49,950 0.25 (15 minutes).... 12,488 447 5,582,136 (including terminal disclaimers). 6............... Request for Expedited 7,227 1 7,227 0.25 (15 minutes).... 1,807 447 807,729 Examination of a Design Application. [[Page 5502]] 7............... Petition for Revival 7,024 1 7,024 1.................... 7,024 447 3,139,728 of an Application for Patent Abandoned Unintentionally. 8............... Petition for Revival 125 1 125 1.................... 125 447 55,875 of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing. 9............... Requests to Access, 1,000 1 1,000 0.25 (15 minutes).... 250 122 30,500 Inspect, and Copy. 10.............. Deposit Account Order 55,000 1 55,000 0.25 (15 minutes).... 13,750 122 1,677,500 Form. 11.............. Certificates of 450,000 1 450,000 0.03 (2 minutes)..... 13,500 122 1,647,000 Mailing or Transmission. 12.............. Statement Under 37 146,000 1 146,000 0.25 (15 minutes).... 36,500 447 16,315,500 CFR 3.73(c) (AIA), 37 CFR 3.83(b) (pre- AIA). 13.............. Non-publication 16,000 1 16,000 0.25 (15 minutes).... 4,000 447 1,788,000 Request. 14.............. Rescission of 500 1 500 0.25 (15 minutes).... 125 447 55,875 Previous Non- publication Request (35 U.S.C. Sec. 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. Sec. 122(b)(2)(B)(iii). 15.............. USPTO Patent 1 1 1 2.50................. 3 122 366 Electronic Filing System Copy of Application for Publication. 16.............. Copy of File Content 3 1 3 4.................... 12 447 5,364 Showing Redactions. 17.............. Copy of the Applicant 10 1 10 2.................... 20 122 2,440 or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not). 18.............. Request for Continued 132,000 1 132,000 0.30 (18 minutes).... 39,600 447 17,701,200 Examination (RCE) Transmittal). 19.............. Request for 630 1 630 0.20 (12 minutes).... 126 447 56,322 Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d). 20.............. Request for Voluntary 450 1 450 0.20 (12 minutes).... 90 122 10,980 Publication or Republication (includes publication fee for republication). 21.............. Applicant Initiated 50,000 1 50,000 0.40 (24 minutes).... 20,000 447 8,940,000 Interview Request Form. 22.............. Processing Fee Under 100 1 100 0.08 (5 minutes)..... 8 447 3,576 37 CFR 1.17(i) Transmittal. 23.............. Request to Retrieve 10,000 1 10,000 0.25 (15 minutes).... 2,500 447 1,117,500 Electronic Priority Application (s) Under 37 CFR 1.55(i)(4). 24.............. Authorization or 6,000 1 6,000 0.25 (15 minutes).... 1,500 447 670,500 Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h). 25.............. Petition for Express 2,050 1 2,050 0.20 (12 minutes).... 410 447 183,270 Abandonment to Obtain a Refund. 26.............. Pre-Appeal Brief 6,700 1 6,700 5.................... 33,500 447 14,974,500 Request for Review. 27.............. Request for Corrected 44,000 1 44,000 0.08 (5 minutes)..... 3,520 122 429,440 Filing Receipt. [[Page 5503]] 28.............. Petition to Make 2,100 1 2,100 2.................... 4,200 447 1,877,400 Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1). 29.............. Filing a submission 43 1 43 8.................... 344 447 153,768 after final rejection (see 37 CFR 1.129(a)). 30.............. Correction of 3,300 1 3,300 0.75 (45 minutes).... 2,475 447 1,106,325 inventorship after first office action on the merits. 31.............. Request for 18,500 1 18,500 0.75 (45 minutes).... 13,875 447 6,202,125 correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48). 32.............. Request to correct or 21,000 1 21,000 0.20 (12 minutes).... 4,200 447 1,877,400 update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2). --------------------------------------------------------------------------------------------------------------------------------------- Totals.. ..................... 2,435,597 ........... 2,435,597 ..................... 535,466 .............. 170,503,027 -------------------------------------------------------------------------------------------------------------------------------------------------------- \1\ 2023 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); pg. F-41. The USPTO uses the average billing rate for intellectual property work in all firms which is $447 per hour (https://www.aipla.org/home/news-publications/economic-survey). 2022 National Utilization and Compensation Survey Report published by the National Association of Legal Assistants (NALA); pg. 38. The USPTO uses the average billing rate for paralegals/paraprofessionals, which is $122 per hour (https://nala.org/paralegal-info/). Estimated Total Annual Non-Hourly Cost Burden: $363,821,958. There is no capital start-up, maintenance costs, or recordkeeping costs associated with this information collection. However, there is non-hour cost burden in the way of filing fees and postage costs. The total annual (non-hour) respondent cost burden for this collection is estimated to be $363,821,958, which includes $363,579,616 in filing fees, and $242,342 in postage. Filing Fees The fees in this information collection are listed in the table below. The fee for Request for Prioritized Examination has no counterpart in the hourly cost table due to that form being exempt from the PRA. Table 2--Filing Fees ---------------------------------------------------------------------------------------------------------------- Estimated Item No. Fee code Item annual Filing fee Non-hourly cost responses ($) burden (a) (b) (a) x (b) = (c) ---------------------------------------------------------------------------------------------------------------- 1..................... 1806 Information 85,540 $260 $22,240,400 Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) (undiscounted). 1..................... 2806 IDS that require the 22,173 104 2,305,992 fee set forth in 37 CFR 1.17(p) (small entity). 1..................... 3806 IDS that require the 624 52 32,448 fee set forth in 37 CFR 1.17(p) (micro entity). 3..................... 1251 One-month Extension 62,740 220 13,802,800 of Time under 37 CFR 1.136(a) (undiscounted). 3..................... 2251 One-month Extension 29,039 88 2,555,432 of Time under 37 CFR 1.136(a) (small entity). 3..................... 3251 One-month Extension 3,509 44 154,396 of Time under 37 CFR 1.136(a) (micro entity). 3..................... 1252 Two-month Extension 23,560 640 15,078,400 of Time under 37 CFR 1.136(a) (undiscounted). 3..................... 2252 Two-month Extension 15,484 256 3,963,904 of Time under 37 CFR 1.136(a) (small entity). 3..................... 3252 Two-month Extension 1,922 128 246,016 of Time under 37 CFR 1.136(a) (micro entity). 3..................... 1253 Three-month Extension 20,377 1,480 30,157,960 of Time under 37 CFR 1.136(a) (undiscounted). 3..................... 2253 Three-month Extension 23,002 592 13,617,184 of Time under 37 CFR 1.136(a) (small entity). [[Page 5504]] 3..................... 3253 Three-month Extension 2,558 296 757,168 of Time under 37 CFR 1.136(a) (micro entity). 3..................... 1254 Four-month Extension 1,810 2,320 4,199,200 of Time under 37 CFR 1.136(a) (undiscounted). 3..................... 2254 Four-month Extension 2,196 928 2,037,888 of Time under 37 CFR 1.136(a) (small entity). 3..................... 3254 Four-month Extension 266 464 123,424 of Time under 37 CFR 1.136(a) (micro entity). 3..................... 1255 Five-month Extension 3,039 3,160 9,603,240 of Time under 37 CFR 1.136(a) (undiscounted). 3..................... 2255 Five-month Extension 3,176 1,264 4,014,464 of Time under 37 CFR 1.136(a) (small entity). 3..................... 3255 Five-month Extension 206 632 130,192 of Time under 37 CFR 1.136(a) (micro entity). 5..................... 1814 Statutory Disclaimers 36,105 170 6,137,850 (including terminal disclaimers) (undiscounted). 5..................... 2814 Statutory Disclaimers 13,175 170 2,239,750 (including terminal disclaimers) (small entity). 5..................... 3814 Statutory Disclaimers 670 170 113,900 (including terminal disclaimers) (micro entity). 6..................... 1802 Request for Expedited 713 1,600 1,140,800 Examination of a Design Application (undiscounted). 6..................... 2802 Request for Expedited 1,426 640 912,640 Examination of a Design Application (small entity). 6..................... 3802 Request for Expedited 5,088 320 1,628,160 Examination of a Design Application (micro entity). 7..................... 1453 Petition for Revival 2,323 2,100 4,878,300 of an Application for Patent Abandoned Unintentionally (undiscounted). 7..................... 2453 Petition for Revival 3,388 840 2,845,920 of an Application for Patent Abandoned Unintentionally (small entity). 7..................... 3453 Petition for Revival 1,313 420 551,460 of an Application for Patent Abandoned Unintentionally (micro entity). 8..................... 1453 Petition for Revival 94 2,100 197,400 of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (undiscounted). 8..................... 2453 Petition for Revival 19 840 15,960 of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (small entity). 8..................... 3453 Petition for Revival 12 420 5,040 of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (micro entity). 16.................... 1808 Copy of File Content 1 140 140 Showing Redactions (undiscounted). 16.................... 2808 Copy of File Content 1 140 140 Showing Redactions (small entity). 16.................... 3808 Copy of File Content 1 140 140 Showing Redactions (micro entity). 18.................... 1801 Request for Continued 70,734 1,360 96,198,240 Examination (RCE) Transmittal (First Request) (undiscounted). 18.................... 2801 Request for Continued 19,673 544 10,702,112 Examination (RCE) Transmittal (First Request) (small entity). 18.................... 3801 Request for Continued 1,992 272 541,824 Examination (RCE) Transmittal (First Request) (micro entity). 18.................... 1820 Request for Continued 29,979 2,000 59,958,000 Examination (RCE) Transmittal (Second and Subsequent Requests) (undiscounted). 18.................... 2820 Request for Continued 8,985 800 7,188,000 Examination (RCE) Transmittal (Second and Subsequent Requests) (small entity). 18.................... 3820 Request for Continued 637 400 254,800 Examination (RCE) Transmittal (Second and Subsequent Requests) (micro entity). 19.................... 1830 Request for 354 140 49,560 Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (undiscounted). 19.................... 2830 Request for 245 56 13,720 Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (small entity). 19.................... 3830 Request for 31 28 868 Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (micro entity). [[Page 5505]] 20.................... 1803 Request for Voluntary 157 140 21,980 Publication or Republication (includes publication fee for republication) (undiscounted). 20.................... 2803 Request for Voluntary 19 140 2,660 Publication or Republication (includes publication fee for republication) (small entity). 20.................... 3803 Request for Voluntary 4 140 560 Publication or Republication (includes publication fee for republication) (micro entity). 22.................... 1830 Processing Fee Under 56 140 7,840 37 CFR 1.17(i) Transmittal (undiscounted). 22.................... 2830 Processing Fee Under 39 56 2,184 37 CFR 1.17(i) Transmittal (small entity). 22.................... 3830 Processing Fee Under 5 28 140 37 CFR 1.17(i) Transmittal (micro entity). 29.................... 1810 For each additional 1 880 880 invention to be examined (see 37 CFR 1.129(b)) (undiscounted). 29.................... 2810 For each additional 1 352 352 invention to be examined (see 37 CFR 1.129(b)) (small entity). 29.................... 3810 For each additional 1 176 176 invention to be examined (see 37 CFR 1.129(b)) (micro entity). 29.................... 1809 Filing a submission 17 880 14,960 after final rejection (see 37 CFR 1.129(a)) (undiscounted). 29.................... 2809 Filing a submission 20 352 7,040 after final rejection (see 37 CFR 1.129(a)) (small entity). 29.................... 3809 Filing a submission 6 176 1,056 after final rejection (see 37 CFR 1.129(a)) (micro entity). 30.................... 1819 Correction of 793 640 507,520 inventorship after first office action on the merits (undiscounted). 30.................... 2819 Correction of 617 256 157,952 inventorship after first office action on the merits (small entity). 30.................... 3819 Correction of 60 128 7,680 inventorship after first office action on the merits (micro entity). 31.................... 1830 Request for 7,122 140 997,080 correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48) (non- provisional) (undiscounted). 31.................... 2830 Request for 5,180 56 290,080 correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48) (non- provisional) (small entity). 31.................... 3803 Request for 648 28 18,144 correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48) (non- provisional) (micro entity). 31.................... 1807 Request for 5,550 50 277,500 correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48) (provisional). N/A................... 1817 Request for 6,481 4,200 27,220,200 prioritized examination (undiscounted). N/A................... 2817 Request for 7,491 1,680 12,584,880 prioritized examination (small entity). N/A................... 3817 Request for 1,028 840 863,520 prioritized examination (micro entity). ----------------------------------------------------------------------------------------- Totals............ .............. ..................... 533,476 .............. 363,579,616 ---------------------------------------------------------------------------------------------------------------- Postage Costs 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 2,435,597 items will be submitted in the mail resulting in 24,356 mailed items. The USPTO estimates that the average postage cost for a mailed submission, using a Priority Mail flat rate legal envelope, will be $9.95. Therefore, the USPTO estimates that the total mailing costs for this information collection is $242,342. 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 will have practical utility; (b) Evaluate the accuracy of the Agency's estimate of the burden of the 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 [[Page 5506]] 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. Justin Isaac, Information Collections Officer, Office of the Chief Administrative Officer, United States Patent and Trademark Office. [FR Doc. 2024-01722 Filed 1-26-24; 8:45 am] BILLING CODE 3510-16-P