80 FR 14909 - Proposed Collection; Comment Request; “Fee Deficiency Submissions”

DEPARTMENT OF COMMERCE
United States Patent and Trademark Office

Federal Register Volume 80, Issue 54 (March 20, 2015)

The United States Patent and Trademark Office (USPTO), as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995.

[Federal Register Volume 80, Number 54 (Friday, March 20, 2015)]
[Notices]
[Pages 14909-14910]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-06442]



[[Page 14909]]

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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office


Proposed Collection; Comment Request; ``Fee Deficiency 
Submissions''

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (USPTO), as part 
of its continuing effort to reduce paperwork and respondent burden, 
invites the general public and other Federal agencies to comment on 
proposed and/or continuing information collections, as required by the 
Paperwork Reduction Act of 1995.

DATES: Written comments must be submitted on or before May 19, 2015.

ADDRESSES: Written comments may be submitted by any of the following 
methods:
     Email: [email protected]. Include ``0651-
0070 Fee Deficiency Submissions'' in the subject line of the message.
     Mail: Marcie Lovett, Records Management Division Director, 
Office of the Chief Information Officer, United States Patent and 
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450.
     Federal Rulemaking Portal: http://www.regulations.gov.

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 
(USPTO), P.O. Box 1450, Alexandria, VA 22313- 1450; by telephone at 
571-272-7728; or by email at [email protected] with ``Paperwork'' 
in the subject line. Additional information about this collection is 
also available at http://www.reginfo.gov under ``Information Collection 
Review.''

SUPPLEMENTARY INFORMATION: 

I. Abstract

    The Leahy-Smith America Invents Act (``Act'') was enacted into law 
on September 16, 2011. Public Law 112-29, 125 Stat. 283 (2011). Under 
section 10(b) of the Act, 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. 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.
    This information collection is necessary so that patent applicants 
and patentees may pay the balance of fees due (i.e., make a 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 collection may be submitted online using EFS-Web, 
the USPTO's Web-based electronic filing system, or on paper by either 
mail or hand delivery.

III. Data

    OMB Number: 0651-0070.
    IC Instruments: The individual instruments in this collection, as 
well as their associated forms, are listed in the table below.

------------------------------------------------------------------------
                          Information collection
         IC No.                 instrument                Form(s)
------------------------------------------------------------------------
1......................  Submissions Under 37      No form.
                          CFR 1.28 (c).
2......................  Submissions Under 37      No form.
                          CFR 1.29 (k).
------------------------------------------------------------------------

    Type of Review: Regular.
    Affected Public: Businesses or other for-profits; not-for-profit 
institutions; individuals or households.
    Estimated Number of Respondents: 3,000 responses per year. Of this 
total, the USPTO expects that 2,910 responses will be submitted 
electronically through EFS-Web and 90 will be submitted on paper.
    Estimated Time per Response: The USPTO estimates that it will take 
the public approximately 2 hours to submit the information in this 
collection, including the time to gather the necessary information, 
prepare the appropriate form or petition, and submit the completed 
request to the USPTO.
    The time per response, estimated annual responses, and estimated 
annual hour burden associated with each instrument in this information 
collection is shown in the table below.
    Estimated Total Annual Hour Burden: 6,000 hours.
    Estimated Total Annual Cost Burden (Hourly): $2,334,000. The USPTO 
expects that attorneys will complete the instruments associated with 
this information collection. The professional hourly rate for an 
attorney is $389. Using this hourly rate, the USPTO estimates 
$2,334,000 per year for the total hourly costs associated with 
respondents.

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                                                                    Estimated time     Estimated
               IC No.                    Information collection      for response       annual       Estimated annual    Rate ($/hr)     Total cost ($)
                                               instrument               (hours)        responses       burden hours
                                                                               (a)             (b)    (a) x (b) = (c)             (d)    (c) x (d) = (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1..................................  Submissions Under 37 CFR                    2           2,250              4,500         $389.00      $1,750,500.00
                                      1.28(c).
2..................................  Submissions Under 37 CFR                    2             750              1,500          389.00         583,500.00
                                      1.29(k).
                                                                   -------------------------------------------------------------------------------------

[[Page 14910]]

 
    Total..........................  .............................  ..............           3,000              6,000  ..............       2,334,000.00
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    Estimated Total Annual Cost Burden (Non-Hourly): $504.00. There are 
no capital startup, maintenance, or operating fees are associated with 
this collection. There are, however, postage costs associated with this 
collection. Specifically, customers may incur postage costs when 
submitting the information in this collection to the USPTO by mail 
through the United States Postal Service. The USPTO estimates that the 
average first class postage cost for a mailed one-pound submission will 
be $5.60 and approximately 90 submissions will be submitted to the 
USPTO requiring postage.

----------------------------------------------------------------------------------------------------------------
                                Information collection                                           Total non-hour
             No.                      instrument          Responses  (yr)     Postage costs    cost burden  (yr)
                                                                       (a)                (b)    (a) x (b) = (c)
----------------------------------------------------------------------------------------------------------------
1............................  Submissions Under 37 CFR                 45              $5.60            $252.00
                                1.28(c).
2............................  Submissions Under 37 CFR                 45               5.60             252.00
                                1.29(k).
                                                        --------------------------------------------------------
    Total....................  ........................                 90  .................             504.00
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    Therefore, the USPTO estimates that the total annual (non-hour) 
cost burden for this collection, in the form of postage costs is 
$504.00 per year.

IV. Request for Comments

    Comments are invited on: (a) Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information shall have practical 
utility; (b) the accuracy of the agency's estimate of the burden 
(including hours and cost) of the proposed collection of information, 
including the validity of the methodology and assumptions used; (c) 
ways to enhance the quality, utility, and clarity of the information to 
be collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology, e.g., 
permitting electronic submission of responses.
    Comments submitted in response to this notice will be summarized or 
included in the request for OMB approval of this information 
collection; they will also become a matter of public record.

    Dated: March 13, 2015.
Marcie Lovett,
Records Management Division Director, USPTO, Office of the Chief 
Information Officer.
[FR Doc. 2015-06442 Filed 3-19-15; 8:45 am]
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