80 FR 35318 - Practitioner Conduct and Discipline
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office Federal Register Volume 80, Issue 118 (June 19, 2015)
United States Patent and Trademark Office
Federal Register Volume 80, Issue 118 (June 19, 2015)
| Page Range | 35318-35320 | |
| FR Document | 2015-15117 |
[Federal Register Volume 80, Number 118 (Friday, June 19, 2015)] [Notices] [Pages 35318-35320] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-15117] ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE United States Patent and Trademark Office Practitioner Conduct and Discipline ACTION: Proposed collection; comment request. ----------------------------------------------------------------------- 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 the extension of a continuing information collection, as required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 U.S.C. 3506(c)(2)(A)). DATES: Written comments must be submitted on or before August 18, 2015. ADDRESSES: Written comments may be submitted by any of the following methods:Email: [email protected]. Include ``0651- 0017 comment'' in the subject line of the message. Federal Rulemaking Portal: http://www.regulations.gov. 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. FOR FURTHER INFORMATION CONTACT: Requests for additional information should be directed to Dahlia George, Office of Enrollment and Discipline, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-4097; or by email at [email protected] with ``0651-0017 comment'' 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 Director of the United States Patent and Trademark Office (USPTO) has the authority to establish regulations governing the conduct and discipline of agents, attorneys, or other persons representing applicants and other parties before the USPTO (35 U.S.C. 2 and 32-33). The USPTO Rules of Professional Conduct at 37 CFR 11.101- 11.804 describe how agents, attorneys, or other practitioners representing applicants and other parties before the USPTO should conduct themselves professionally and outline their responsibilities for recordkeeping and reporting violations or complaints of misconduct to the USPTO, while the Investigations and Disciplinary Proceedings Rules (37 CFR 11.19-11.60) dictate how the USPTO can discipline agents, attorneys, or other persons representing applicants and other parties before the USPTO. The Rules require an attorney or agent to maintain complete records of all funds, securities, and other properties of clients coming into his or her possession, and to render appropriate accounts to the client regarding the funds, securities, and other properties of clients coming into the practitioner's possession, collectively known as ``client property.'' These recordkeeping requirements are necessary to maintain the integrity of client property. Each State Bar requires its attorneys to perform similar recordkeeping. The Rules also require an attorney or agent to report knowledge of certain violations of the Rules to the USPTO. If a complaint is found to have merit, the USPTO will investigate and possibly prosecute violations of the Rules and provide the practitioner with the opportunity to respond to the complaint. The Director of the Office of Enrollment and Discipline (OED Director) may, after notice and opportunity for a hearing, suspend, [[Page 35319]] exclude, or disqualify any practitioner from further practice before the USPTO based on non-compliance with the regulations. Practitioners who have been excluded or suspended from practice before the USPTO, practitioners transferred to disability inactive status, and practitioners who have resigned must keep and maintain records of their steps to comply with the suspension or exclusion order, transfer to disability inactive status, or resignation, should they seek reinstatement. These records may serve as the practitioner's proof of compliance with the order, transfer, resignation, and Rules. The information collected, i.e., reports of alleged violations of the Rules, is used by the OED Director to conduct investigations and prosecute violations, as appropriate. If this information is not collected, the OED Director would have no knowledge of alleged violations and would be unable to enforce this provision of the Rules. II. Method of Collection Electronically via email; by postal mail, facsimile, or hand delivery in paper form. III. Data OMB Number: 0651-0017. IC Instruments: The individual instruments in this collection, as well as their associated forms, are listed in the table below. Type of Review: Revision of a Previously Existing Information Collection. Affected Public: Individuals or households; businesses or other for-profits; and not-for-profit institutions. Estimated Number of Respondents: 11,065 responses per year. Estimated Time per Response: The USPTO estimates that it will take the public between 1 hour and 20 hours to submit a single item in this 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. The time per response, estimated annual responses, and estimated annual hour burden associated with each instrument in this collection are shown in the table below. Estimated Total Annual Respondent Burden Hours: 12,225 hours. Estimated Total Annual Respondent (Hourly) Cost Burden: $3,177,523.00. The USPTO expects that agents will complete the Recordkeeping Maintenance & Disclosure item at an hourly rate of $249 as published in the 2013 AIPLA Report of the Economic Survey and that practitioners will complete the Recordkeeping Maintenance Under Suspension or Exclusion from the USPTO item at an hourly rate of $389 as published in the 2013 AIPLA Report of the Economic Survey. The USPTO further expects that members of the public will complete the Complaint/ Violation Reporting at a blended hourly rate of $284.83. This blended rate is based on data from both the 2013 AIPLA Report of the Economic Survey and the 2014 Bureau of Labor Statistics (BLS) National Occupation Employment and Wage Estimates, and is comprised of 50 percent by the practitioner hourly rate of $389; 25 percent by the agent hourly rate of $249; and 25 percent by the hourly rate for Scientists and Engineers of $46.32. Using these hourly rates, the USPTO estimates $3,177,523.00 per year for the total hourly costs associated with respondents. -------------------------------------------------------------------------------------------------------------------------------------------------------- Information collection Estimated time for Estimated annual Estimated annual IC No. instrument response (hours) responses burden hours Rate ($/hr) (a) (b) (a) x (b) = (c) (d) -------------------------------------------------------------------------------------------------------------------------------------------------------- 1...................................... Recordkeeping Maintenance & 1 10,825 10,825 $249.00 Disclosure (includes advertisements, disclosure requirements relating to soliciting professional employment, notifications by non-attorney practitioner of inadvertently sent documents, and financial books and records such as trust accounts, fiduciary accounts, and operating accounts). 2...................................... Recordkeeping Maintenance 20 40 800 389.00 Regarding Practitioners Under Suspension or Exclusion from the USPTO. 3...................................... Complaint/Violation Reporting.. 3 200 600 284.83 ---------------------------------------------------------------------------------------------------------------- Total.............................. ............................... .................. 11,065 12,225 -------------------------------------------------------------------------------------------------------------------------------------------------------- Estimated Total Annual (Non-hour) Respondent Cost Burden: $1,083.05. There are no capital start-up, maintenance, or recordkeeping costs, as well as no filing fees associated with this information collection. The recordkeeping costs included with the recordkeeping- related responses are a burden hour/burden cost to respondents and are not part of the annualized cost burden for this collection. There are, however, associated postage costs. Customers may incur postage costs when submitting some of the items covered by this collection to the USPTO by mail. The USPTO expects that practitioners will submit affidavits with attachments via postal mail or hand delivery in association with the Recordkeeping Maintenance Regarding Practitioners Under Suspension or Exclusion item, and estimates that 99 percent of those affidavits will be submitted by mail with the remainder submitted by facsimile or hand delivery. The USPTO further expects that 25 percent of the Complaint/Violation Reporting item will be submitted electronically. Of the non-electronic submissions for this item, 1 percent of the item's total responses will be submitted by hand delivery or facsimile and the remaining 74 percent will be submitted by postal mail. These two items are estimated to produce a total of 187 mailed submissions. The average first-class USPS postage costs for a one-pound mailed [[Page 35320]] submission in a flat-rate envelope and a three-pound mailed submission in a small flat-rate box are $5.75 and $5.95, respectively. The Recordkeeping Maintenance Regarding Practitioners Under Suspension or Exclusion item requires the more expensive of those two postage options, while the Complaint/Violation Reporting item requires the cheaper flat-rate envelope. The USPTO calculates that the total postage costs will be $1,083.05. Therefore, the USPTO estimates that the total annual non-hour cost burden for this collection, in the form of postage costs, is $1,083.05. 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., 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: June 12, 2015. Marcie Lovett, Records Management Division Director, USPTO, Office of the Chief Information Officer. [FR Doc. 2015-15117 Filed 6-18-15; 8:45 am] BILLING CODE 3510-16-P
![35318 Federal Register / Vol. 80, No. 118 / Friday, June 19, 2015 / Notices
DEPARTMENT OF COMMERCE Once submitted, the request will be States Patent and Trademark Office,
publicly available in electronic format P.O. Box 1450, Alexandria, VA 22313–
United States Patent and Trademark through reginfo.gov. Follow the 1450.
Office instructions to view Department of FOR FURTHER INFORMATION CONTACT:
Commerce collections currently under Requests for additional information
Submission for OMB Review; review by OMB. should be directed to Dahlia George,
Comment Request; ‘‘Clearance for the Further information can be obtained Office of Enrollment and Discipline,
Collection of Qualitative Feedback on by: United States Patent and Trademark
Agency Service Delivery’’ • Email: InformationCollection@ Office, P.O. Box 1450, Alexandria, VA
uspto.gov. Include ‘‘0651–0038 copy 22313–1450; by telephone at 571–272–
The United States Patent and request’’ in the subject line of the
Trademark Office (USTPO) will submit 4097; or by email at Dahlia.George@
message. uspto.gov with ‘‘0651–0017 comment’’
to the Office of Management and Budget • Mail: Marcie Lovett, Records
(OMB) for clearance the following in the subject line. Additional
Management Division Director, Office of information about this collection is also
proposal for collection of information the Chief Information Officer, United
under the provisions of the Paperwork available at http://www.reginfo.gov
States Patent and Trademark Office, under ‘‘Information Collection Review.’’
Reduction Act (44 U.S.C. Chapter 35). P.O. Box 1450, Alexandria, VA 22313–
Agency: United States Patent and SUPPLEMENTARY INFORMATION:
1450.
Trademark Office, Commerce. Written comments and I. Abstract
Title: Clearance for the Collection of recommendations for the proposed
Qualitative Feedback on Agency Service The Director of the United States
information collection should be sent on
Delivery. Patent and Trademark Office (USPTO)
or before July 20, 2015 to Nicholas A.
OMB Control Number: 0651–0038. has the authority to establish regulations
Fraser, OMB Desk Officer, via email to
Form Number(s): • N/A. Nicholas_A._Fraser@omb.eop.gov, or by
governing the conduct and discipline of
Type of Request: Regular. agents, attorneys, or other persons
fax to 202–395–5167, marked to the
Number of Respondents: 27,900. representing applicants and other
attention of Nicholas A. Fraser.
Average Hours per Response: The parties before the USPTO (35 U.S.C. 2
USPTO estimates that it will take an Dated: June 12, 2015. and 32–33). The USPTO Rules of
average of 11 min (.18 hours) to Marcie Lovett, Professional Conduct at 37 CFR 11.101–
complete a single item in this collection, Records Management Division Director, 11.804 describe how agents, attorneys,
with completion times ranging from 5 USPTO, Office of the Chief Information or other practitioners representing
minutes (.08 hours) to 120 minutes (2 Officer. applicants and other parties before the
hours), depending upon the instrument [FR Doc. 2015–15116 Filed 6–18–15; 8:45 am] USPTO should conduct themselves
used. BILLING CODE 3510–16–P professionally and outline their
Burden Hours: 5,059 hours. responsibilities for recordkeeping and
Cost Burden: $0. reporting violations or complaints of
Needs and Uses: The Agency will DEPARTMENT OF COMMERCE misconduct to the USPTO, while the
collect, analyze, and interpret Investigations and Disciplinary
information gathered to identify United States Patent and Trademark Proceedings Rules (37 CFR 11.19–11.60)
strengths and weaknesses of current Office dictate how the USPTO can discipline
services. Based on feedback received, agents, attorneys, or other persons
Practitioner Conduct and Discipline
the Agency will identify operational representing applicants and other
changes needed to improve programs ACTION: Proposed collection; comment parties before the USPTO.
and services. The solicitation of request. The Rules require an attorney or agent
feedback will target areas such as: to maintain complete records of all
Timeliness, appropriateness, accuracy SUMMARY: The United States Patent and funds, securities, and other properties of
of information, courtesy, efficiency of Trademark Office (USPTO), as part of its clients coming into his or her
service delivery, and resolution of continuing effort to reduce paperwork possession, and to render appropriate
issues with service delivery. The and respondent burden, invites the accounts to the client regarding the
USPTO is committed to hearing general public and other Federal funds, securities, and other properties of
feedback from its customers. Responses agencies to comment on the extension of clients coming into the practitioner’s
will be assessed to identify service areas a continuing information collection, as possession, collectively known as
in need of improvement. If this required by the Paperwork Reduction ‘‘client property.’’ These recordkeeping
information is not collected, then the Act of 1995, Public Law 104–13 (44 requirements are necessary to maintain
Agency will miss opportunities to U.S.C. 3506(c)(2)(A)). the integrity of client property. Each
obtain vital feedback from their DATES: Written comments must be State Bar requires its attorneys to
customers and stakeholders on ways to submitted on or before August 18, 2015. perform similar recordkeeping.
improve their program and services. ADDRESSES: Written comments may be The Rules also require an attorney or
These information collections will not submitted by any of the following agent to report knowledge of certain
result in any new system of records methods: violations of the Rules to the USPTO. If
containing privacy information and will • Email: InformationCollection@ a complaint is found to have merit, the
asabaliauskas on DSK5VPTVN1PROD with NOTICES
not ask questions of a sensitive nature. uspto.gov. Include ‘‘0651–0017 USPTO will investigate and possibly
Affected Public: Businesses or other comment’’ in the subject line of the prosecute violations of the Rules and
for-profits; not-for-profit institutions. message. provide the practitioner with the
Frequency: On occasion. • Federal Rulemaking Portal: http:// opportunity to respond to the
Respondent’s Obligation: Voluntary. www.regulations.gov. complaint. The Director of the Office of
OMB Desk Officer: Nicholas A. Fraser, • Mail: Marcie Lovett, Records Enrollment and Discipline (OED
email: Nicholas_A._Fraser@ Management Division Director, Office of Director) may, after notice and
omb.eop.gov. the Chief Information Officer, United opportunity for a hearing, suspend,
VerDate Sep<11>2014 19:33 Jun 18, 2015 Jkt 235001 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\19JNN1.SGM 19JNN1](https://thefederalregister.org/doc/80_FR_35436/page/1.svg)
![35320 Federal Register / Vol. 80, No. 118 / Friday, June 19, 2015 / Notices
submission in a flat-rate envelope and a persons who are blind or have other Long-Lasting, Disposable, 5″ x 6″, EA
three-pound mailed submission in a severe disabilities. 6530–00–NIB–0255—Cold Pack, Instant,
small flat-rate box are $5.75 and $5.95, Long-Lasting, Disposable, 5″ x 7″, EA
DATES: Comments Must Be Received On
6530–00–NIB–0256—Cold Pack, Instant,
respectively. The Recordkeeping Or Before: 7/20/2015. Long-Lasting, Disposable, 6″ x 8″, EA
Maintenance Regarding Practitioners ADDRESSES: Committee for Purchase 6530–00–NIB–0257—Cold Pack, Instant,
Under Suspension or Exclusion item From People Who Are Blind or Severely Disposable, 5″ x 6″, EA
requires the more expensive of those Disabled, 1401 S. Clark Street, Suite 6530–00–NIB–0258—Cold Pack, Instant,
two postage options, while the 715, Arlington, Virginia, 22202–4149. Disposable, 5″ x 7″, EA
Complaint/Violation Reporting item 6530–00–NIB–0259—Cold Pack, Instant,
FOR FURTHER INFORMATION CONTACT:
requires the cheaper flat-rate envelope. Disposable, 6″ x 8.75″, EA
Barry S. Lineback, Telephone: (703) Mandatory Purchase For: Total Government
The USPTO calculates that the total 603–7740, Fax: (703) 603–0655, or email Requirement
postage costs will be $1,083.05. CMTEFedReg@AbilityOne.gov. Mandatory Source of Supply: Central
Therefore, the USPTO estimates that Association for the Blind and Visually
SUPPLEMENTARY INFORMATION: This
the total annual non-hour cost burden Impaired, Utica, NY
for this collection, in the form of postage notice is published pursuant to 41
U.S.C. 8503 (a)(2) and 41 CFR 51–2.3. Its Contracting Activity: Defense Logistics
costs, is $1,083.05. Agency Troop Support
purpose is to provide interested persons Distribution: B-List
IV. Request for Comments an opportunity to submit comments on
the proposed actions. NSN(s)—Product Name(s)
Comments are invited on:
7045–00–NIB–0416—Privacy Shield, 16:9
(a) Whether the proposed collection of Additions Aspect Ratio Computer Monitor, 23.0″
information is necessary for the proper Widescreen
performance of the functions of the If the Committee approves the
proposed additions, the entities of the 7045–00–NIB–0417—Privacy Filter, Framed,
agency, including whether the Black, 20.0″ Widescreen
information shall have practical utility; Federal Government identified in this Mandatory Purchase For: Total Government
(b) the accuracy of the agency’s notice will be required to procure the Requirement
estimate of the burden (including hours products and services listed below from Mandatory Source of Supply: Wiscraft Inc.,
and cost) of the proposed collection of nonprofit agencies employing persons Milwaukee WI
information, including the validity of who are blind or have other severe Contracting Activity: General Services
disabilities. Administration
the methodology and assumptions used; Distribution: A-List
(c) ways to enhance the quality, The following products and services
utility, and clarity of the information to are proposed for addition to the NSN(s)—Product Name(s)
be collected; and Procurement List for production by the 6545–00–NIB–0105—Kit, Shelter-In-Place
(d) ways to minimize the burden of nonprofit agencies listed: Mandatory Purchase For: Total Government
the collection of information on Products Requirement
respondents, including through the use Mandatory Source of Supply: Bosma
NSN(s)—Product Name(s) Enterprises, Indianapolis, IN
of automated collection techniques or Contracting Activity: General Services
6530–00–NIB–0209—Hot Pack, Instant,
other forms of information technology, Disposable, 6″ x 8″, 24/BX Administration
e.g., electronic submission of responses. 6530–00–NIB–0222—Hot Pack, Instant, Distribution: B-List
Comments submitted in response to Disposable, 5″ x 6″, 80/BX NSN(s)—Product Name(s)
this notice will be summarized or 6530–00–NIB–0223—Hot Pack, Instant,
included in the request for OMB Disposable, 5″ x 7″, 48/BX 8105–00–NIB–1412—Aquapad Sand-less
6530–00–NIB–0210—Cold Pack, Instant, Sandbag
approval of this information collection; Mandatory Purchase For: 100% of the
they will also become a matter of public Long-Lasting, Disposable, 5″ x 6″, 24/BX
6530–00–NIB–0211—Cold Pack, Instant, requirement of the Department of
record. Defense
Long-Lasting, Disposable, 5″ x 6″, 80/BX
Dated: June 12, 2015. 6530–00–NIB–0212—Cold Pack, Instant, Mandatory Source of Supply: Envision
Long-Lasting, Disposable, 5″ x 7″, 16/BX Industries, Inc. in Wichita, KS
Marcie Lovett,
6530–00–NIB–0213—Cold Pack, Instant, Contracting Activity: Defense Logistics
Records Management Division Director, Agency Troop Support, Construction &
USPTO, Office of the Chief Information Long-Lasting, Disposable, 5″ x 7″, 24/BX
6530–00–NIB–0214—Cold Pack, Instant, Equipment
Officer. Distribution: C-List
Long-Lasting, Disposable, 5″ x 7″, 48/BX
[FR Doc. 2015–15117 Filed 6–18–15; 8:45 am] NSN(s)—Product Name(s)
6530–00–NIB–0215—Cold Pack, Instant,
BILLING CODE 3510–16–P Long-Lasting, Disposable, 6″ x 8″, 16/BX 7530–01–352–6616—Note Pad, Self-Stick,
6530–00–NIB–0216—Cold Pack, Instant, Fanfold, Yellow, 3″ x 3″
Long-Lasting, Disposable, 6″ x 8″, 24/BX Mandatory Purchase For: Total Government
COMMITTEE FOR PURCHASE FROM 6530–00–NIB–0217—Cold Pack, Instant, Requirement
PEOPLE WHO ARE BLIND OR Disposable, 5″ x 6″, 80/BX Mandatory Source of Supply: Association for
6530–00–NIB–0218—Cold Pack, Instant, the Blind and Visually Impaired—
SEVERELY DISABLED Disposable, 5″ x 6″, 24/BX Goodwill Industries of Greater Rochester,
6530–00–NIB–0219—Cold Pack, Instant, Rochester, NY
Procurement List; Proposed Additions Disposable, 5″ x 7″, 48/BX Contracting Activity: General Services
AGENCY: Committee for Purchase From 6530–00–NIB–0220—Cold Pack, Instant, Administration
Disposable, 5″ x 7″, 16/BX
asabaliauskas on DSK5VPTVN1PROD with NOTICES
People Who Are Blind or Severely Distribution: A-List
Disabled. 6530–00–NIB–0221—Cold Pack, Instant,
Disposable, 6″ x 8.75″, 24/BX NSN(s)—Product Name(s)
ACTION: Proposed Additions to the 6530–00–NIB–0251—Hot Pack, Instant, 4240–01–469–8738—Hearing Protection,
Procurement List. Disposable, 5″ x 6″, EA Over-The-Head Earmuff, NRR 27dB
6530–00–NIB–0252—Hot Pack, Instant, Mandatory Purchase For: Total Government
SUMMARY: The Committee is proposing Disposable, 5″ x 7″, EA Requirement
to add products and services to the 6530–00–NIB–0253—Hot Pack, Instant, Mandatory Source of Supply: Access:
Procurement List that will be furnished Disposable, 6″ x 8, EA Supports for Living Inc., Middletown,
by nonprofit agencies employing 6530–00–NIB–0254—Cold Pack, Instant, NY
VerDate Sep<11>2014 19:33 Jun 18, 2015 Jkt 235001 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\19JNN1.SGM 19JNN1](https://thefederalregister.org/doc/80_FR_35436/page/3.svg)
Document Created: 2018-02-22 11:10:05
Document Modified: 2018-02-22 11:10:05
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Proposed collection; comment request. | |
| Dates | Written comments must be submitted on or before August 18, 2015. | |
| Contact | Requests for additional information should be directed to Dahlia George, Office of Enrollment and Discipline, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-4097; or by email at [email protected] with ``0651-0017 comment'' in the subject line. Additional information about this collection is also available at http://www.reginfo.gov under ``Information Collection Review.'' | |
| FR Citation | 80 FR 35318 |
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