# Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Patent Processing

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/fr%3A2020-21517

## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** September 29, 2020
- **Citation:** 85 FR 60975

## Text

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), in accordance with 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 the information collection to OMB.

DATES:

To ensure consideration, comments regarding this information collection must be received on or before November 30, 2020.

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: InformationCollection@uspto.gov.
Include “0651-0031 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 Raul Tamayo, Senior Legal Advisor, Office of Patent Legal Administration, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-7728; or by email to
raul.tamayo@uspto.gov
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 18 months from the earliest filing date for which a benefit is sought under Title 35, United States Code (“eighteen-month publication”). This information collection covers certain situations that may arise which require that additional information be supplied in order for the USPTO to further process the patent or application.

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. In addition, this renewal proposes to remove three items related to patent appeals and associate all submissions of those items to an existing information collection (0651-0063, Patent Trial and Appeal Board Appeals). These three items are: Notice of Appeal, Amendment to Cancel Claims During an Appeal, and Request for Oral Hearing.

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:
0651-0031.

Form Number(s):
(AIA = American Invents; SB = Specimen Book; PTOL = Patent and Trademark Office Legal)

• PTO/SB/08a/08b (Information Disclosure Statements)

• PTO/SB/21 (Transmittal Form)

• PTO/SB/22 and PTO/AIA/22 (Petitions for Extension of Time under 37 CFR 1.136(a))

• PTO/SB/24 and PTO/AIA/24 (Express Abandonment under 37 CFR 1.138)

• PTO/SB/25/26/43/63 (Statutory Disclaimers)

• PTO/SB/27 (Request for Expedited Examination of a Design Application)

• PTO/SB/61/64 (Petition for Revival of an Application for Patent Abandoned Unintentionally)

• PTO/SB/64a (Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing)

• PTO/SB/67/68 (Requests to Access, Inspect, and Copy)

• PTO/SB/91 (Deposit Account Order Form)

• PTO/SB/92 (Certificates of Mailing or Transmission)

• PTO/SB/96 and PTO/AIA/96 (Statement under 37 CFR 3.73(b))

• PTO/SB/35 (Non-Publication Request)

• PTO/SB/36 (Rescission of Previous Non-Publication 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-2053-A/B, PTO-2054-A/B, and PTO-2055-A/B (Copy of the Applicant 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))

• PTO/SB/30 (Request for Continued Examination (RCE) Transmittal)

• PTO/SB/37 (Request for Suspension of Action or Deferral of Examination under 37 CFR 1.103(b), (c), or (d))

• PTOL/413A (Applicant-Initiated Interview Request Form)

• PTO/SB/17i (Processing Fee under 37 CFR 1.17(i) Transmittal)

• PTO/SB/38 (Request to Retrieve Electronic Priority Application(s) under 37 CFR 1.55(d))

• PTO/SB/39 (Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices under 37 CFR 1.14(h))

• PTO/SB/24B and PTO/AIA/24B (Petition for Express Abandonment to Obtain a Refund)

• PTO/SB/33 and PTO/AIA/33 (Pre-Appeal Brief Request for Review)

• PTOL-413C (Request for First-Action Interview (Pilot Program))

• PTO/SB/130 (Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1))

Type of Review:
Revision of a currently approved information collection.

Affected Public:
Private sector; individuals or households.

Estimated Number of Respondents:
3,669,397 respondents per year.

Estimated Number of Responses:
3,669,397 responses per year.

Estimated Time per Response:
The USPTO estimates that it will take respondents between 2 minutes (.03 hours) and 8 hours to submit an item in this information collection depending on the instrument used, including the time to gather the necessary information, prepare the appropriate form or petition, and submit the completed request to the USPTO.

Estimated Total Annual Respondent Burden Hours:
3,187,341 hours.

Estimated Total Annual Respondent (Hourly) Cost Burden:
$842,416,575.

Table 1—Total Hourly Burden For Private Sector Respondents

Item No.
Item

Estimated
annual
respondents

Estimated
annual
responses
(year)

Estimated
time for
response
(hours)

Estimated
annual
burden
(hour/year)

Rate
1

($/hour)

Estimated
annual
burden

(a)
(b)
(a) × (b) = c
(d)
(c) × (d) = e

1
Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p)
624,824
624,824
2
1,249,648
$400
$499,859,200

2
Transmittal Form
663,023
663,023
2
1,326,046
145
192,276,670

3
Petition for Extension of Time under 37 CFR 1.136(a)
252,184
252,184
.3 (18 minutes)
75,655
145
10,969,975

4
Express Abandonment under 37 CFR 1.138
1,838
1,838
.25 (15 minutes)
460
145
66,700

5
Statutory Disclaimers (including terminal disclaimers)
57,891
57,891
.25 (15 minutes)
14,473
400
5,789,200

6
Request for Expedited Examination of a Design Application
1,034
1,034
.25 (15 minutes)
259
400
103,600

7
Petition for Revival of an Application for Patent Abandoned Unintentionally
7,666
7,666
1
7,666
400
3,066,400

8
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
140
140
1
140
400
56,000

9
Requests to Access, Inspect and Copy
824,500
824,500
.25 (15 minutes)
206,125
145
29,888,125

10
Deposit Account Order Form
64,460
64,460
.25 (15 minutes)
16,115
145
2,336,675

11
Certificates of Mailing or Transmission
582,000
582,000
.03 (2 minutes)
17,460
145
2,531,700

12
Statement Under 37 CFR 3.73(c)
172,469
172,469
.25 (15 minutes)
43,117
400
17,246,900

13
Non-publication Request
21,340
21,340
.25 (15 minutes)
5,335
400
2,134,000

14
Rescission of Previous Non-publication 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)
2,134
2,134
.25 (15 minutes)
534
400
213,600

15
Electronic Filing System (EFS) Copy of Application for Publication
1
1
2.5
3
145
435

16
Copy of File Content Showing Redactions
1
1
4
4
400
1,600

17
Copy of the Applicant 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)
6
6
2
12
145
1,740

18
Request for Continued Examination (RCE) Transmittal
154,766
154,766
.3 (18 minutes)
46,430
400
18,572,000

19
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)
832
832
.2 (12 minutes)
166
400
66,400

20
Request for Voluntary Publication or Republication (includes publication fee for republication)
134
134
.2 (12 minutes)
27
145
3,915

21
Applicant Initiated Interview Request Form
30,557
30,557
.4 (24 minutes)
12,223
400
4,889,200

22
Processing Fee Under 37 CFR 1.17(i) Transmittal
119
119
.08 (5 minutes)
10
400
4,000

23
Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h)
5,858
5,858
.25 (15 minutes)
1,465
400
585,600

24
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)
7,747
7,747
.25 (15 minutes)
1,937
400
774,800

25
Petition for Express Abandonment to Obtain a Refund
1,827
1,827
.2 (12 minutes)
365
400
146,000

26
Pre-Appeal Brief Request for Review
7,760
7,760
5
38,800
400
15,520,000

27
Request for Corrected Filing Receipt
42,089
42,089
.08 (5 minutes)
3,367
145
488,215

28
Request for First Action Interview (Pilot Program) (Electronic only)
2,026
2,026
2.5
5,065
400
2,026,000

29
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only)
1,471
1,471
2
2,942
400
1,176,800

30
Filing a submission after final rejection (see 37 CFR 1.129(a))
93
93
8
744
400
297,600

31
Correction of inventorship after first office action on the merits
2,910
2,910
.75 (45 minutes)
2,183
400
873,200

32
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)
14,216
14,216
.75 (45 minutes)
10,662
400
4,264,800

33
Request to correct or update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2)
11,398
11,398
.2 (12 minutes)
2,280
400
912,000

Total

3,559,314
3,559,314

3,091,718

817,143,050

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—Total Hourly Burden for Individuals and Households Respondents

Item No.
Item

Estimated
annual
respondents

Estimated
annual
responses
(year)

Estimated
time for
response
(hours)

Estimated
annual
burden
(hour/year)

Rate
2
($/hour)

Estimated
annual
burden

(a)
(b)
(a) × (b) = c
(d)
(c) × (d) = e

1
Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p)
19,324
19,324
2
38,648
$400
$15,459,200

2
Transmittal Form
20,506
20,506
2
41,012
145
5,946,740

3
Petition for Extension of Time under 37 CFR 1.136(a)
7,800
7,800
.3 (18 minutes)
2,340
145
339,300

4
Express Abandonment under 37 CFR 1.138
57
57
.25 (15 minutes)
14
145
2,030

5
Statutory Disclaimers (including terminal disclaimers)
1,790
1,790
.25 (15 minutes)
448
400
179,200

6
Request for Expedited Examination of a Design Application
32
32
.25 (15 minutes)
8
400
3,200

7
Petition for Revival of an Application for Patent Abandoned Unintentionally
237
237
1
237
400
94,800

8
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
4
4
1
4
400
1,600

9
Requests to Access, Inspect and Copy
25,500
25,500
.25 (15 minutes)
6,375
145
924,375

10
Deposit Account Order Form
1,994
1,994
.25 (15 minutes)
499
145
72,355

11
Certificates of Mailing or Transmission
18,000
18,000
.03 (2 minutes)
540
145
78,300

12
Statement Under 37 CFR 3.73(c)
5,334
5,334
.25 (15 minutes)
1,334
400
533,600

13
Non-publication Request
660
660
.25 (15 minutes)
165
400
66,000

14
Rescission of Previous Non-publication 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)
66
66
.25 (15 minutes)
17
400
6,800

18
Request for Continued Examination (RCE) Transmittal
4,787
4,787
.3 (18 minutes)
1,436
400
574,400

19
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)
26
26
.2 (12 minutes)
5
400
2,000

20
Request for Voluntary Publication or Republication (includes publication fee for republication)
4
4
.2 (12 minutes)
1
145
145

21
Applicant Initiated Interview Request Form
945
945
.4 (24 minutes)
378
400
151,200

22
Processing Fee Under 37 CFR 1.17(i) Transmittal
4
4
.08 (5 minutes)
1
400
400

23
Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h)
181
181
.25 (15 minutes)
45
400
18,000

24
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)
240
240
.25 (15 minutes)
60
400
24,000

25
Petition for Express Abandonment to Obtain a Refund
56
56
.2 (12 minutes)
11
400
4,400

26
Pre-Appeal Brief Request for Review
240
240
5
1,200
400
480,000

27
Request for Corrected Filing Receipt
1,302
1,302
.08 (5 minutes)
104
145
15,080

28
Request for First Action Interview (Pilot Program) (Electronic only)
63
63
2.5
158
400
63,200

29
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only)
45
45
2
90
400
36,000

30
Filing a submission after final rejection (see 37 CFR 1.129(a))
3
3
8
24
400
9,600

31
Correction of inventorship after first office action on the merits
90
90
.75 (45 minutes)
68
400
27,200

32
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)
440
440
.75 (45 minutes)
330
400
132,000

33
Request to correct or update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2)
353
353
.2 (12 minutes)
71
400
28,400

Total

110,083
110,083

95,623

25,273,525

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 Non-Hour Respondent Cost Burden:
$408,845,999.

There are no recordkeeping, maintenance, or capital start-up costs associated with this information collection. However, this information collection has annual non-hour costs in the form of filing fees, as estimated in Table 3, and postage costs. The public may submit the paper forms and petitions in this information collection to the USPTO by mail through the United States Postal Service. If the submission is sent by first-class mail, the public may also include a signed certification of the date of mailing in order to receive credit for timely filing. The USPTO estimates that approximately 166,111 submissions per year may be mailed. The USPTO estimates that the average submission will be mailed in a legal flat-rate Priority Mail envelope at a cost of $8.05; resulting in a total postage cost of $1,377,194.

Table 3—Filing Fees

Item No.
Item

Estimated
annual
responses

Estimated
cost

Estimated
non-hour
cost burden

(a)
(b)
(a) × (b)

1
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) (large entity)
$108,938
$260
$28,323,880

1
IDS that require the fee set forth in 37 CFR 1.17(p) (small entity)
27,198
130
3,535,740

1
IDS that require the fee set forth in 37 CFR 1.17(p) (micro entity)
770
65
50,050

3
One-month Extension of Time under 37 CFR 1.136(a) (large entity)
84,428
220
18,574,160

3
One-month Extension of Time under 37 CFR 1.136(a) (small entity)
34,564
110
3,802,040

3
One-month Extension of Time under 37 CFR 1.136(a) (micro entity)
4,035
55
221,925

3
Two-month Extension of Time under 37 CFR 1.136(a) (large entity)
36,165
640
23,145,600

3
Two-month Extension of Time under 37 CFR 1.136(a) (small entity)
19,728
320
6,312,960

3
Two-month Extension of Time under 37 CFR 1.136(a) (micro entity)
2,346
160
375,360

3
Three-month Extension of Time under 37 CFR 1.136(a) (large entity)
30,668
1480
45,388,640

3
Three-month Extension of Time under 37 CFR 1.136(a) (small entity)
30,442
740
22,527,080

3
Three-month Extension of Time under 37 CFR 1.136(a) (micro entity)
3,227
370
1,193,990

3
Four-month Extension of Time under 37 CFR 1.136(a) (large entity)
1,860
2320
4,315,200

3
Four-month Extension of Time under 37 CFR 1.136(a) (small entity)
2,366
1160
2,744,560

3
Four-month Extension of Time under 37 CFR 1.136(a) (micro entity)
294
580
170,520

3
Five-month Extension of Time under 37 CFR 1.136(a) (large entity)
2,038
3160
6,440,080

3
Five-month Extension of Time under 37 CFR 1.136(a) (small entity)
2,257
1580
3,566,060

3
Five-month Extension of Time under 37 CFR 1.136(a) (micro entity)
182
790
143,780

5
Statutory Disclaimer (including terminal disclaimer) (large entity)
44,625
170
7,586,250

5
Statutory Disclaimer (including terminal disclaimer) (small entity)
14,365
170
2,442,050

5
Statutory Disclaimer (including terminal disclaimer) (micro entity)
691
170
117,470

6
Request for Expedited Examination of a Design Application (large entity)
381
1600
609,600

6
Request for Expedited Examination of a Design Application (small entity)
468
800
374,400

6
Request for Expedited Examination of a Design Application (micro entity)
218
400
87,200

8
Petition for Revival of an Application for Patent Abandoned Unintentionally (large entity)
3,006
2100
6,312,600

8
Petition for Revival of an Application for Patent Abandoned Unintentionally (small entity)
3,730
1050
3,916,500

8
Petition for Revival of an Application for Patent Abandoned Unintentionally (micro entity)
1,167
525
612,675

9
Petition for revival of an application for patent abandoned for failure to notify the office of a foreign or international filing (large entity)
108
2100
226,800

9
Petition for revival of an application for patent abandoned for failure to notify the office of a foreign or international filing (small entity)
22
1050
23,100

9
Petition for revival of an application for patent abandoned for failure to notify the office of a foreign or international filing (micro entity)
14
525
7,350

17
Copy of File Content Showing Redactions
1
140
140

19
Request for Continued Examination (RCE) Transmittal (First Request) (large entity)
74,458
1360
101,262,880

19
Request for Continued Examination (RCE) Transmittal (First Request) (small entity)
26,592
680
18,082,560

19
Request for Continued Examination (RCE) Transmittal (First Request) (micro entity)
5,318
340
1,808,120

19
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (large entity)
37,076
2000
74,152,000

19
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (small entity)
13,241
1000
13,241,000

19
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (micro entity)
2,648
500
1,324,000

21
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (large entity)
601
220
132,220

21
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (small entity)
215
110
23,650

21
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) (micro entity)
42
55
2,310

22
Request for Voluntary Publication or Republication (includes publication fee for republication)
138
140
19,320

24
Processing Fee Under 37 CFR 1.17(i) Transmittal
123
140
17,220

32
Filing a submission after final rejection (see 37 CFR 1.129(a)) (large entity)
46
880
40,480

32
Filing a submission after final rejection (see 37 CFR 1.129(a)) (small entity)
44
440
19,360

32
Filing a submission after final rejection (see 37 CFR 1.129(a)) (micro entity)
5
220
1,100

33
Correction of inventorship after first office action on the merits (large entity)
1156
640
739,840

33
Correction of inventorship after first office action on the merits (small entity)
793
320
253,760

33
Correction of inventorship after first office action on the merits (micro entity)
62
160
9,920

34
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) (large entity)
10,259
260
2,667,340

34
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) (small entity)
3,664
130
476,320

34
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) (micro entity)
733
65
47,645

Total

407,468,805

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. 2020-21517 Filed 9-28-20; 8:45 am]
BILLING CODE 3510-16-P

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A2020-21517. Public record. Not legal advice.