83_FR_23528 83 FR 23430 - Proposed Collection; Comment Request; “Rules for Patent Maintenance Fees”

83 FR 23430 - Proposed Collection; Comment Request; “Rules for Patent Maintenance Fees”

DEPARTMENT OF COMMERCE
Patent and Trademark Office

Federal Register Volume 83, Issue 98 (May 21, 2018)

Page Range23430-23433
FR Document2018-10690

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 83 Issue 98 (Monday, May 21, 2018)
[Federal Register Volume 83, Number 98 (Monday, May 21, 2018)]
[Notices]
[Pages 23430-23433]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-10690]


-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

 Patent and Trademark Office


Proposed Collection; Comment Request; ``Rules for Patent 
Maintenance Fees''

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Proposed extension of an existing information 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 
proposed and/or continuing information collections, as required by the 
Paperwork Reduction Act of 1995.

DATES: Written comments must be submitted on or before July 20, 2018.

ADDRESSES: Written comments may be submitted by any of the following 
methods:
     Email: [email protected]. Include ``0651-
0016 Rules for Patent Maintenance Fees'' in the subject line of the 
message.
     Mail: Marcie Lovett, Director, Records and Information 
Governance Division, Office of the Chief Technology 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

    Under 35 U.S.C. Sec.  41 and 37 CFR 1.20(e)-(h) and 1.362-1.378, 
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 six-
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

[[Page 23431]]

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.
    The USPTO offers forms to assist the public with providing 
information covered by this collection, including the information 
necessary to submit a patent maintenance fee payment (PTO/SB/45) and to 
designate or change a fee address (PTO/SB/47). The USPTO offers two 
different versions of the petition to accept unintentionally delayed 
payment of maintenance fee in an expired patent under 37 CFR 1.378(b). 
In addition to the basic PDF that may be filled out electronically and 
then printed and mailed (or submitted online) (Form PTO/SB/66), the 
USPTO offers a Web-based ePetition, which the public can complete on a 
computer using a Web browser and then click a submit button to send the 
information to the USPTO over the internet (ePetition). No form is 
associated with the petition to the Director to accept and record the 
maintenance fee under 37 CFR 1.377, or the petition the Director to 
reconsider a decision to refuse to accept a delayed payment in an 
expired patent under 37 CFR 1.378(d). Both may be submitted in paper 
and electronic format.
    Customers may submit maintenance fee payments and surcharges 
incurred during the six-month grace period before patent expiration by 
using the Maintenance Fee Transmittal Form (PTO/SB/45) or by paying 
online through the USPTO website. 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

    By mail, facsimile, hand delivery, or electronically to the USPTO.

III. Data

    OMB Number: 0651-0016.
    IC Instruments: The individual instruments in this collection, as 
well as their associated forms, are listed in the table below.

------------------------------------------------------------------------
             IC #                  Form and function         Form #
------------------------------------------------------------------------
1.............................  Maintenance Fee         PTO/SB/45.
                                 Transmittal Form,
                                 electronic and paper.
2.............................  Electronic Maintenance  No Form
                                 Fee Form, electronic.   Associated.
3.............................  Petition to Accept      PTO/SB/66.
                                 Unintentionally
                                 Delayed Payment of
                                 Maintenance Fee in an
                                 Expired Patent (37
                                 CFR 1.378(b)),
                                 electronic and paper.
4.............................  Petition to Accept      ePetition.
                                 Unintentionally
                                 Delayed Payment of
                                 Maintenance Fee in an
                                 Expired Patent (37
                                 CFR 1.378(b))--
                                 ePetition, electronic.
5.............................  Petition to Review      No Form
                                 Refusal to Accept       Associated.
                                 Payment of
                                 Maintenance Fee Prior
                                 to Expiration of
                                 Patent (37 CFR
                                 1.377), electronic
                                 and paper.
6.............................  Petition for            No Form
                                 Reconsideration of      Associated.
                                 Decision on Petition
                                 Refusing to Accept
                                 Delayed Payment of
                                 Maintenance Fee in an
                                 Expired Patent (37
                                 CFR 1.378(d)),
                                 electronic and paper.
7.............................  ``Fee Address''         PTO/SB/47.
                                 Indication Form,
                                 electronic and paper.
------------------------------------------------------------------------

    Type of Review: Revision of a currently approved collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; and not-for-profit institutions.
    Estimated Number of Respondents: 533,910 responses per year. The 
USPTO estimates that approximately 25% of these responses will be from 
small entities.
    Estimated Time per Response: The USPTO estimates that it will take 
the public approximately 20 seconds (0.006 hours) to 8 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: 13,878.89 hours.
    Estimated Total Annual Cost Burden (Hourly): $5,117,750.56. The 
USPTO expects that the information in this collection will be prepared 
by both attorneys and paralegals. The professional hourly rate for 
attorneys is $438 and the professional hourly rate for 
paraprofessionals is $145. These rates are established by estimates in 
the 2017 Report on the Economic Survey, published by the Committee on 
Economics of Legal Practice of the American Intellectual Property Law 
Association and the 2017 National Utilization and Compensation Survey 
published by the National Association of Legal Assistants (NALA). 
Therefore, the estimated total respondent cost burden for this 
collection will be approximately $5,117,750.56 per year.

[[Page 23432]]



--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                    Responses   Burden (hrs/              Total cost ($/
                     IC #                                       Item                    Minutes        (yr)         yr)      Rate ($/hr)        yr)
                                                                                              (a)          (b)  (c)(a x b)/          (d)      (e)(c x d)
                                                                                                                         60
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................................  Maintenance Fee Transmittal                      5       11,000       916.67      $145.00     $132,916.67
                                                Transactions (PTO/SB/45).
2............................................  Electronic Maintenance Fee                    0.33      425,500     2,363.89       145.00      342,763.89
                                                Transactions.
3............................................  Petition to Accept Unintentionally              60          300          300       438.00      131,400.00
                                                Delayed Payment of Maintenance Fee
                                                in an Expired Patent (37 CFR
                                                1.378(b)) (PTO/SB/66).
4............................................  Petition to Accept Unintentionally              60        1,500        1,500       438.00      657,000.00
                                                Delayed Payment of Maintenance Fee
                                                in an Expired Patent (37 CFR
                                                1.378(b)) (PTO/SB/66)--ePetition.
5............................................  Petition to Review Refusal to Accept           240           10           40       438.00       17,520.00
                                                Payment of Maintenance Fee Prior to
                                                Expiration of Patent (37 CFR 1.377).
6............................................  Petition for Reconsideration of                480          100          800       438.00      350,400.00
                                                Decision on Petition Refusing to
                                                Accept Delayed Payment of
                                                Maintenance Fee in an Expired Patent
                                                (37 CFR 1.378(d)).
7............................................  ``Fee Address'' Indication Form (PTO/            5       95,500      9,137.5       145.00    3,485,750.00
                                                SB/47).
                                                                                     -------------------------------------------------------------------
    Totals...................................  .....................................  ...........      533,910    13,878.89  ...........    5,117,750.56
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Estimated Total Annual Cost Burden (Non-Hourly): $1,209,457,959.50. 
This information collection has annual (non-hour) cost burden in the 
form of filing fees and postage costs.
    In this collection there are filing fees associated with the 
maintenance of patents, which are listed in the table below.

----------------------------------------------------------------------------------------------------------------
              IC #                        Item             Respondents     Filing fee             Burden
                                 ......................             (a)             (b)          (a) x (b) = (c)
                                                                                                             ($)
----------------------------------------------------------------------------------------------------------------
1..............................  For Maintaining an             188,800       $1,600.00         *$302,080,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 3.5 Years (large
                                  entity).
1..............................  For Maintaining an              40,800          800.00            32,640,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 3.5 Years (small
                                  entity).
1..............................  For Maintaining an               2,600          400.00             1,040,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 3.5 Years (micro
                                  entity).
1..............................  For Maintaining an              96,000        3,600.00           345,600,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 7.5 Years (large
                                  entity).
1..............................  For Maintaining an              16,200        1,800.00            29,160,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 7.5 Years (small
                                  entity).
1..............................  For Maintaining an                 900          900.00               810,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 7.5 Years (micro
                                  entity).
1..............................  For Maintaining an              61,700        7,400.00           456,580,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 11.5 Years (large
                                  entity).
1..............................  For Maintaining an               9,800        3,700.00            36,260,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 11.5 Years (small
                                  entity).
1..............................  For Maintaining an                 500        1,850.00               925,000.00
                                  Original or Any
                                  Reissue Patent, Due
                                  at 11.5 Years (micro
                                  entity).
1..............................  Surcharge--3.5 year--            3,500          160.00               560,000.00
                                  Late Payment Within 6
                                  Months (large entity).
1..............................  Surcharge--3.5 year--            6,200           80.00               496,000.00
                                  Late Payment Within 6
                                  Months (small entity).
1..............................  Surcharge--3.5 year--              700           40.00                28,000.00
                                  Late Payment Within 6
                                  Months (micro entity).
1..............................  Surcharge--7.5 year--            2,000          160.00               320,000.00
                                  Late Payment Within 6
                                  Months (large entity).
1..............................  Surcharge--7.5 year--            2,500           80.00               200,000.00
                                  Late Payment Within 6
                                  Months (small entity).
1..............................  Surcharge--7.5 year--              300           40.00                12,000.00
                                  Late Payment Within 6
                                  Months (micro entity).
1..............................  Surcharge--11.5 year--           2,200          160.00               352,000.00
                                  Late Payment Within 6
                                  Months (large entity).
1..............................  Surcharge--11.5 year--           1,700           80.00               136,000.00
                                  Late Payment Within 6
                                  Months (small entity).
1..............................  Surcharge--11.5 year--             200           40.00                 8,000.00
                                  Late Payment Within 6
                                  Months (micro entity).
3..............................  Petition for the                   500        2,000.00             1,000,000.00
                                  Delayed Payment of
                                  the Fee for
                                  Maintaining a Patent
                                  in Force (large
                                  entity).

[[Page 23433]]

 
3..............................  Petition for the                 1,200        1,000.00             1,200,000.00
                                  Delayed Payment of
                                  the Fee for
                                  Maintaining a Patent
                                  in Force (small
                                  entity).
3..............................  Petition for the                   100          500.00                50,000.00
                                  Delayed Payment of
                                  the Fee for
                                  Maintaining a Patent
                                  in Force (micro
                                  entity).
                                                        --------------------------------------------------------
    Totals.....................  ......................         438,400  ..............         1,209,457,000.00
----------------------------------------------------------------------------------------------------------------

    The public may submit the forms and petitions in this 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 the average first-class 
postage cost for a mailed submission will be 50 cents and that 
approximately 1,919 submissions per year may be mailed to the USPTO, 
for a total postage cost of $959.50 per year.

----------------------------------------------------------------------------------------------------------------
                                                                                           Total non-hour cost
              IC #                        Item              Responses     Postage cost       burden (postage)
----------------------------------------------------------------------------------------------------------------
                                 ......................             (a)             (b)             (c)(a) x (b)
----------------------------------------------------------------------------------------------------------------
3..............................  Petition to Accept                   6           $0.50                    $3.00
                                  Unintentionally
                                  Delayed Payment of
                                  Maintenance Fee in an
                                  Expired Patent (37
                                  CFR 1.378(b)).
5..............................  Petition to Review                   1            0.50                     0.50
                                  Refusal to Accept
                                  Payment of
                                  Maintenance Fee Prior
                                  to Expiration of
                                  Patent (37 CFR 1.377).
6..............................  Petition for                         2            0.50                     1.00
                                  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''                  1,910            0.50                   955.00
                                  Indication Form.
                                                        --------------------------------------------------------
    Totals.....................  ......................           1,919  ..............                   959.50
----------------------------------------------------------------------------------------------------------------

    The total (non-hour) respondent cost burden for this collection in 
the form of filing fees and postage costs is estimated to be 
$1,209,457,959.50 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.

Marcie Lovett,
Director, Records and Information Governance Division, Office of the 
Chief Technology Officer, USPTO.
[FR Doc. 2018-10690 Filed 5-18-18; 8:45 am]
 BILLING CODE 3510-16-P



                                                23430                                        Federal Register / Vol. 83, No. 98 / Monday, May 21, 2018 / Notices

                                                                                                                                                                                Estimated               Estimated          Estimated
                                                                                                                                                                                 time for                                                            Rate
                                                      IC No.                                         Information collection item                                                                          annual         annual burden
                                                                                                                                                                                response                                                            (S/hr)
                                                                                                                                                                                                        responses            hours
                                                                                                                                                                                (minutes)

                                                                                                                                                                                      (a)                  (b)             (a) x (b) = (c)

                                                2 .....................     Questionnaires/Customer      Comment              Cards/Complaint                                                     5               600               50.00               $204.33
                                                                              Forms.
                                                3 .....................     Focus Groups/Interviews .....................................................                                       15                 500             125.00              $204.33
                                                4 .....................     Small Discussion Groups ....................................................                                       120                 400             800.00              $204.33
                                                5 .....................     Usability Tests (In-person observation (i.e., Website/Soft-                                                         30               1,000             500.00              $204.33
                                                                              ware).
                                                6 .....................     ForeSee Surveys (USPTO.GOV) ........................................                                                 10         100,000            16,666.67                $204.33

                                                      Total                 ..............................................................................................   ........................       143,000                18,475    ........................
                                                        (Three-                                                                                                                                           (429,000)              (55,425)
                                                        Year
                                                        Period).



                                                  Estimated Total Annual (Non-hour)                                           ACTION: Proposed extension of an         States Patent and Trademark Office
                                                Respondent Cost Burden: $0. There are                                         existing information collection;         (USPTO) charges fees for maintaining in
                                                no capital start-up, maintenance,                                             comment request.                         force all utility patents based on
                                                postage, recordkeeping costs, or any                                                                                   applications filed on or after December
                                                other fees associated with this                                               SUMMARY: The United States Patent and    12, 1980. Payment of these maintenance
                                                information collection.                                                       Trademark Office (USPTO), as part of its fees is due at 31⁄2, 71⁄2, and 111⁄2 years
                                                                                                                              continuing effort to reduce paperwork    after the date the patent was granted. If
                                                IV. Request for Comments                                                      and respondent burden, invites the       the USPTO does not receive payment of
                                                  Comments are invited on:                                                    general public and other Federal         the appropriate maintenance fee and
                                                  (a) Whether the proposed collection of                                      agencies to comment on proposed and/     any applicable surcharge within a grace
                                                information is necessary for the proper                                       or continuing information collections,   period of six months following each of
                                                performance of the functions of the                                           as required by the Paperwork Reduction the above due dates (at 4, 8, or 12 years
                                                agency, including whether the                                                 Act of 1995.                             after the date of grant), the patent will
                                                information shall have practical utility;                                     DATES: Written comments must be          expire at that time. After a patent
                                                  (b) the accuracy of the agency’s                                            submitted on or before July 20, 2018.    expires, it is no longer enforceable.
                                                estimate of the burden (including hours                                       ADDRESSES: Written comments may be       Maintenance fees are not required for
                                                and cost) of the proposed collection of                                       submitted by any of the following        design, plant, or reissue patents if the
                                                information;                                                                  methods:                                 patent being reissued did not require
                                                  (c) ways to enhance the quality,                                               • Email: InformationCollection@       maintenance fees.
                                                utility, and clarity of the information to                                    uspto.gov. Include ‘‘0651–0016 Rules for    Payments of maintenance fees that are
                                                be collected; and                                                             Patent Maintenance Fees’’ in the subject submitted during the six-month grace
                                                  (d) ways to minimize the burden of                                          line of the message.                     period before patent expiration must
                                                                                                                                 • Mail: Marcie Lovett, Director,      include the appropriate surcharge as
                                                the collection of information on
                                                                                                                              Records and Information Governance       indicated by 37 CFR 1.20(h).
                                                respondents, e.g., the use of automated
                                                                                                                              Division, Office of the Chief Technology Submissions of maintenance fee
                                                collection techniques or other forms of
                                                                                                                              Officer, United States Patent and        payments and surcharges must include
                                                information technology. Comments
                                                                                                                              Trademark Office, P.O. Box 1450,         the relevant patent number and the
                                                submitted in response to this notice will
                                                                                                                              Alexandria, VA 22313–1450.               corresponding United States application
                                                be summarized or included in the                                                 • Federal Rulemaking Portal: http://
                                                request for OMB approval of this                                                                                       number in order to identify the correct
                                                                                                                              www.regulations.gov.                     patent and ensure proper crediting of
                                                information collection; they also will
                                                become a matter of public record.                                             FOR FURTHER INFORMATION CONTACT:         the fee being paid.
                                                                                                                              Requests for additional information         If the USPTO refuses to accept and
                                                Marcie Lovett,                                                                should be directed to Raul Tamayo,       record a maintenance fee payment that
                                                Records Management Division Director,                                         Senior Legal Advisor, Office of Patent   was submitted prior to the expiration of
                                                USPTO, Office of the Chief Information                                        Legal Administration, United States      a patent, the patentee may petition the
                                                Officer.                                                                      Patent and Trademark Office (USPTO),     Director to accept and record the
                                                [FR Doc. 2018–10768 Filed 5–18–18; 8:45 am]                                   P.O. Box 1450, Alexandria, VA 22313–     maintenance fee under 37 CFR 1.377.
                                                BILLING CODE 3510–16–P                                                        1450; by telephone at 571–272–7728; or This petition must be accompanied by
                                                                                                                              by email at Raul.Tamayo@uspto.gov        the fee indicated in 37 CFR 1.17(g),
                                                                                                                              with ‘‘Paperwork’’ in the subject line.  which may be refunded if it is
                                                DEPARTMENT OF COMMERCE                                                        Additional information about this        determined that the refusal to accept the
sradovich on DSK3GMQ082PROD with NOTICES




                                                                                                                              collection is also available at http://  maintenance fee was due to an error by
                                                Patent and Trademark Office
                                                                                                                              www.reginfo.gov under ‘‘Information      the USPTO.
                                                Proposed Collection; Comment                                                  Collection Review.’’                        If a patent has expired due to
                                                Request; ‘‘Rules for Patent                                                   SUPPLEMENTARY INFORMATION:               nonpayment of a maintenance fee, the
                                                Maintenance Fees’’                                                                                                     patentee may petition the Director to
                                                                                                                              I. Abstract                              accept a delayed payment of the
                                                AGENCY:United States Patent and                                                  Under 35 U.S.C. § 41 and 37 CFR       maintenance fee under 37 CFR 1.378.
                                                Trademark Office, Commerce.                                                   1.20(e)–(h) and 1.362–1.378, the United The Director may accept the payment of


                                           VerDate Sep<11>2014            18:20 May 18, 2018        Jkt 244001        PO 00000        Frm 00017        Fmt 4703        Sfmt 4703      E:\FR\FM\21MYN1.SGM         21MYN1


                                                                                         Federal Register / Vol. 83, No. 98 / Monday, May 21, 2018 / Notices                                                      23431

                                                a maintenance fee after the expiration of                          properly received by the applicant,                          CFR 1.378(d). Both may be submitted in
                                                the patent if the petitioner shows to the                          patentee, assignee, or authorized                            paper and electronic format.
                                                satisfaction of the Director that the delay                        representative. If a separate fee address                      Customers may submit maintenance
                                                in payment was unintentional. Petitions                            is not specified for a patent or                             fee payments and surcharges incurred
                                                to accept unintentionally delayed                                  application, the USPTO will direct fee-                      during the six-month grace period
                                                payment must also be accompanied by                                related correspondence to the                                before patent expiration by using the
                                                the required maintenance fee and the                               correspondence address of record.                            Maintenance Fee Transmittal Form
                                                petition fee as set forth in 37 CFR                                   The USPTO offers forms to assist the                      (PTO/SB/45) or by paying online
                                                1.17(m). If the Director accepts the                               public with providing information                            through the USPTO website. However,
                                                maintenance fee payment upon petition,                             covered by this collection, including the                    to pay a maintenance fee after patent
                                                then the patent is reinstated. If the                              information necessary to submit a                            expiration, the maintenance fee
                                                USPTO denies a petition to accept                                  patent maintenance fee payment (PTO/                         payment and the petition fee as set forth
                                                delayed payment of a maintenance fee                               SB/45) and to designate or change a fee                      in 37 CFR 1.17(m) must be filed together
                                                in an expired patent, the patentee may                             address (PTO/SB/47). The USPTO offers                        with a petition to accept unintentionally
                                                petition the Director to reconsider that                           two different versions of the petition to                    delayed payment. The USPTO accepts
                                                decision under 37 CFR 1.378(d).                                    accept unintentionally delayed payment                       online maintenance fee payments by
                                                  The rules of practice (37 CFR 1.33(d)                            of maintenance fee in an expired patent                      credit card, deposit account, or
                                                and 1.363) permit applicants, patentees,                           under 37 CFR 1.378(b). In addition to                        electronic funds transfer (EFT).
                                                assignees, or their representatives of                             the basic PDF that may be filled out
                                                                                                                                                                                Otherwise, non-electronic payments
                                                record to specify a ‘‘fee address’’ for                            electronically and then printed and
                                                                                                                                                                                may be made by check, credit card, or
                                                correspondence related to maintenance                              mailed (or submitted online) (Form
                                                                                                                                                                                deposit account.
                                                fees that is separate from the                                     PTO/SB/66), the USPTO offers a Web-
                                                correspondence address associated with                             based ePetition, which the public can                        II. Method of Collection
                                                a patent or application. A fee address                             complete on a computer using a Web
                                                must be an address that is associated                              browser and then click a submit button                         By mail, facsimile, hand delivery, or
                                                with a USPTO customer number.                                      to send the information to the USPTO                         electronically to the USPTO.
                                                Customer numbers may be requested by                               over the internet (ePetition). No form is                    III. Data
                                                using the Request for Customer Number                              associated with the petition to the
                                                Form (PTO/SB/125), which is covered                                Director to accept and record the                              OMB Number: 0651–0016.
                                                under OMB control number 0651–0035.                                maintenance fee under 37 CFR 1.377, or                         IC Instruments: The individual
                                                Maintaining a correct and updated                                  the petition the Director to reconsider a                    instruments in this collection, as well as
                                                address is necessary so that fee-related                           decision to refuse to accept a delayed                       their associated forms, are listed in the
                                                correspondence from the USPTO will be                              payment in an expired patent under 37                        table below.

                                                            IC #                                                         Form and function                                                             Form #

                                                1 ..............................   Maintenance Fee Transmittal Form, electronic and paper ...................................            PTO/SB/45.
                                                2 ..............................   Electronic Maintenance Fee Form, electronic .......................................................   No Form Associated.
                                                3 ..............................   Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an                           PTO/SB/66.
                                                                                      Expired Patent (37 CFR 1.378(b)), electronic and paper.
                                                4 ..............................   Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an                           ePetition.
                                                                                      Expired Patent (37 CFR 1.378(b))—ePetition, electronic.
                                                5 ..............................   Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Ex-                          No Form Associated.
                                                                                      piration of Patent (37 CFR 1.377), electronic and paper.
                                                6 ..............................   Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed                       No Form Associated.
                                                                                      Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(d)), elec-
                                                                                      tronic and paper.
                                                7 ..............................   ‘‘Fee Address’’ Indication Form, electronic and paper ..........................................      PTO/SB/47.



                                                  Type of Review: Revision of a                                    information, prepare the appropriate                         $438 and the professional hourly rate
                                                currently approved collection.                                     form or petition, and submit the                             for paraprofessionals is $145. These
                                                  Affected Public: Individuals or                                  completed request to the USPTO. The                          rates are established by estimates in the
                                                households; businesses or other for-                               time per response, estimated annual                          2017 Report on the Economic Survey,
                                                profits; and not-for-profit institutions.                          responses, and estimated annual hour                         published by the Committee on
                                                  Estimated Number of Respondents:                                 burden associated with each instrument                       Economics of Legal Practice of the
                                                533,910 responses per year. The USPTO                              in this information collection is shown                      American Intellectual Property Law
                                                estimates that approximately 25% of                                in the table below.                                          Association and the 2017 National
                                                these responses will be from small                                    Estimated Total Annual Hour Burden:
                                                                                                                                                                                Utilization and Compensation Survey
                                                entities.                                                          13,878.89 hours.
                                                  Estimated Time per Response: The                                    Estimated Total Annual Cost Burden                        published by the National Association
                                                USPTO estimates that it will take the                              (Hourly): $5,117,750.56. The USPTO                           of Legal Assistants (NALA). Therefore,
                                                public approximately 20 seconds (0.006                             expects that the information in this                         the estimated total respondent cost
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                                                hours) to 8 hours to submit the                                    collection will be prepared by both                          burden for this collection will be
                                                information in this collection, including                          attorneys and paralegals. The                                approximately $5,117,750.56 per year.
                                                the time to gather the necessary                                   professional hourly rate for attorneys is




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                                                23432                                          Federal Register / Vol. 83, No. 98 / Monday, May 21, 2018 / Notices

                                                                                                                                                                                           Responses           Burden               Rate                 Total cost
                                                       IC #                                                       Item                                                Minutes                 (yr)             (hrs/yr)             ($/hr)                 ($/yr)

                                                                                                                                                                          (a)                  (b)          (c)(a × b)/60             (d)                (e)(c × d)

                                                1 ...................   Maintenance Fee Transmittal Transactions (PTO/                                                              5           11,000            916.67             $145.00             $132,916.67
                                                                           SB/45).
                                                2 ...................   Electronic Maintenance Fee Transactions ................                                                0.33           425,500          2,363.89               145.00             342,763.89
                                                3 ...................   Petition to Accept Unintentionally Delayed Payment                                                        60               300               300               438.00             131,400.00
                                                                           of Maintenance Fee in an Expired Patent (37
                                                                           CFR 1.378(b)) (PTO/SB/66).
                                                4 ...................   Petition to Accept Unintentionally Delayed Payment                                                        60             1,500             1,500               438.00             657,000.00
                                                                           of Maintenance Fee in an Expired Patent (37
                                                                           CFR 1.378(b)) (PTO/SB/66)—ePetition.
                                                5 ...................   Petition to Review Refusal to Accept Payment of                                                          240                  10                  40           438.00              17,520.00
                                                                           Maintenance Fee Prior to Expiration of Patent (37
                                                                           CFR 1.377).
                                                6 ...................   Petition for Reconsideration of Decision on Petition                                                     480                 100             800               438.00             350,400.00
                                                                           Refusing to Accept Delayed Payment of Mainte-
                                                                           nance Fee in an Expired Patent (37 CFR
                                                                           1.378(d)).
                                                7 ...................   ‘‘Fee Address’’ Indication Form (PTO/SB/47) ...........                                                     5           95,500           9,137.5               145.00           3,485,750.00

                                                      Totals ....           ....................................................................................   ....................        533,910         13,878.89       ....................     5,117,750.56



                                                  Estimated Total Annual Cost Burden                                            hour) cost burden in the form of filing                                    patents, which are listed in the table
                                                (Non-Hourly): $1,209,457,959.50. This                                           fees and postage costs.                                                    below.
                                                information collection has annual (non-                                           In this collection there are filing fees
                                                                                                                                associated with the maintenance of

                                                         IC #                                                                   Item                                                       Respondents            Filing fee                          Burden

                                                                                                                                                                                                (a)                  (b)                       (a) × (b) = (c)
                                                                                                                                                                                                                                                     ($)

                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 3.5                                                     188,800            $1,600.00                     *$302,080,000.00
                                                                                 Years (large entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 3.5                                                         40,800               800.00                       32,640,000.00
                                                                                 Years (small entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 3.5                                                          2,600               400.00                        1,040,000.00
                                                                                 Years (micro entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 7.5                                                         96,000          3,600.00                         345,600,000.00
                                                                                 Years (large entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 7.5                                                         16,200          1,800.00                          29,160,000.00
                                                                                 Years (small entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 7.5                                                           900                900.00                          810,000.00
                                                                                 Years (micro entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 11.5                                                        61,700          7,400.00                         456,580,000.00
                                                                                 Years (large entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 11.5                                                         9,800          3,700.00                          36,260,000.00
                                                                                 Years (small entity).
                                                1 .......................      For Maintaining an Original or Any Reissue Patent, Due at 11.5                                                          500           1,850.00                             925,000.00
                                                                                 Years (micro entity).
                                                1 .......................      Surcharge—3.5 year—Late Payment Within 6 Months (large en-                                                             3,500               160.00                          560,000.00
                                                                                 tity).
                                                1 .......................      Surcharge—3.5 year—Late Payment Within 6 Months (small en-                                                             6,200                80.00                          496,000.00
                                                                                 tity).
                                                1 .......................      Surcharge—3.5 year—Late Payment Within 6 Months (micro en-                                                              700                 40.00                           28,000.00
                                                                                 tity).
                                                1 .......................      Surcharge—7.5 year—Late Payment Within 6 Months (large en-                                                             2,000               160.00                          320,000.00
                                                                                 tity).
                                                1 .......................      Surcharge—7.5 year—Late Payment Within 6 Months (small en-                                                             2,500                80.00                          200,000.00
                                                                                 tity).
                                                1 .......................      Surcharge—7.5 year—Late Payment Within 6 Months (micro en-                                                              300                 40.00                           12,000.00
                                                                                 tity).
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                                                1 .......................      Surcharge—11.5 year—Late Payment Within 6 Months (large                                                                2,200               160.00                          352,000.00
                                                                                 entity).
                                                1 .......................      Surcharge—11.5 year—Late Payment Within 6 Months (small                                                                1,700                80.00                          136,000.00
                                                                                 entity).
                                                1 .......................      Surcharge—11.5 year—Late Payment Within 6 Months (micro                                                                 200                 40.00                               8,000.00
                                                                                 entity).
                                                3 .......................      Petition for the Delayed Payment of the Fee for Maintaining a                                                           500           2,000.00                           1,000,000.00
                                                                                 Patent in Force (large entity).



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                                                                                           Federal Register / Vol. 83, No. 98 / Monday, May 21, 2018 / Notices                                                                                    23433

                                                         IC #                                                               Item                                                        Respondents            Filing fee                Burden

                                                                                                                                                                                             (a)                    (b)               (a) × (b) = (c)
                                                                                                                                                                                                                                            ($)

                                                3 .......................   Petition for      the Delayed Payment of the Fee for Maintaining a                                                     1,200             1,000.00               1,200,000.00
                                                                              Patent in       Force (small entity).
                                                3 .......................   Petition for      the Delayed Payment of the Fee for Maintaining a                                                      100                 500.00                  50,000.00
                                                                              Patent in       Force (micro entity).

                                                      Totals ........       ........................................................................................................          438,400      ........................     1,209,457,000.00



                                                   The public may submit the forms and                                      may also include a signed certification                                  will be 50 cents and that approximately
                                                petitions in this collection to the                                         of the date of mailing in order to receive                               1,919 submissions per year may be
                                                USPTO by mail through the United                                            credit for timely filing. The USPTO                                      mailed to the USPTO, for a total postage
                                                States Postal Service. If the submission                                    estimates that the average first-class                                   cost of $959.50 per year.
                                                is sent by first-class mail, the public                                     postage cost for a mailed submission

                                                                                                                                                                                                                                      Total non-hour
                                                         IC #                                                               Item                                                         Responses          Postage cost               cost burden
                                                                                                                                                                                                                                        (postage)

                                                                                                                                                                                             (a)                    (b)                (c)(a) × (b)

                                                3 .......................   Petition to Accept Unintentionally Delayed Payment of Mainte-                                                             6                   $0.50                         $3.00
                                                                               nance Fee in an Expired Patent (37 CFR 1.378(b)).
                                                5 .......................   Petition to Review Refusal to Accept Payment of Maintenance                                                               1                    0.50                          0.50
                                                                               Fee Prior to Expiration of Patent (37 CFR 1.377).
                                                6 .......................   Petition for Reconsideration of Decision on Petition Refusing to                                                          2                     0.50                         1.00
                                                                               Accept Delayed Payment of Maintenance Fee in an Expired
                                                                               Patent (37 CFR 1.378(d)).
                                                7 .......................   ‘‘Fee Address’’ Indication Form .....................................................                                  1,910                   0.50                       955.00

                                                      Totals ........       ........................................................................................................               1,919   ........................                   959.50



                                                   The total (non-hour) respondent cost                                     they will also become a matter of public                                 June 20, 2018, unless revised pursuant
                                                burden for this collection in the form of                                   record.                                                                  to comments received.
                                                filing fees and postage costs is estimated                                  Marcie Lovett,                                                           ADDRESSES: You may submit comments
                                                to be $1,209,457,959.50 per year.                                                                                                                    to this notice by any of the following
                                                                                                                            Director, Records and Information
                                                                                                                            Governance Division, Office of the Chief                                 methods:
                                                IV. Request for Comments                                                                                                                               • Agency website, via its Comments
                                                                                                                            Technology Officer, USPTO.
                                                  Comments are invited on:                                                  [FR Doc. 2018–10690 Filed 5–18–18; 8:45 am]
                                                                                                                                                                                                     Online process: https://
                                                                                                                                                                                                     comments.cftc.gov. Follow the
                                                  (a) Whether the proposed collection of                                    BILLING CODE 3510–16–P
                                                                                                                                                                                                     instructions for submitting comments
                                                information is necessary for the proper                                                                                                              through the website.
                                                performance of the functions of the                                                                                                                    • Federal eRulemaking Portal:
                                                agency, including whether the                                               COMMODITY FUTURES TRADING                                                Comments may be submitted at http://
                                                information shall have practical utility;                                   COMMISSION                                                               www.regulations.gov. Follow the
                                                  (b) the accuracy of the agency’s                                                                                                                   instructions for submitting comments.
                                                estimate of the burden (including hours
                                                                                                                            Privacy Act of 1974; System of                                             • Mail: Christopher Kirkpatrick,
                                                                                                                            Records                                                                  Secretary of the Commission,
                                                and cost) of the proposed collection of
                                                information, including the validity of                                                                                                               Commodity Futures Trading
                                                                                                                            AGENCY:  Commodity Futures Trading
                                                                                                                                                                                                     Commission, Three Lafayette Centre,
                                                the methodology and assumptions used;                                       Commission.
                                                                                                                                                                                                     1155 21st Street NW, Washington, DC
                                                  (c) ways to enhance the quality,                                          ACTION: Notice of a new system of                                        20581.
                                                utility, and clarity of the information to                                  records.                                                                   • Hand Delivery/Courier: Same as
                                                be collected; and                                                                                                                                    Mail, above.
                                                                                                                            SUMMARY:   The Commodity Futures
                                                  (d) ways to minimize the burden of                                                                                                                   Please submit your comments using
                                                                                                                            Trading Commission (CFTC or
                                                the collection of information on                                                                                                                     only one method.
                                                                                                                            Commission) is establishing a new                                          All comments must be submitted in
                                                respondents, including through the use                                      system of records under the Privacy Act                                  English, or if not, accompanied by an
                                                of automated collection techniques or                                       of 1974: CFTC–52, Training Records.                                      English translation. Comments will be
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                                                other forms of information technology,                                      New CFTC–52 addresses information                                        posted as received to http://
                                                e.g., permitting electronic submission of                                   collected from individuals who                                           www.cftc.gov. You should submit only
                                                responses.                                                                  participate in or assist with CFTC                                       information that you wish to make
                                                  Comments submitted in response to                                         training.                                                                available publicly. If you wish the
                                                this notice will be summarized or                                           DATES:  Comments must be received on                                     Commission to consider information
                                                included in the request for OMB                                             or before June 20, 2018. This action will                                that you believe is exempt from
                                                approval of this information collection;                                    be effective without further notice on                                   disclosure under the Freedom of


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Document Created: 2018-11-02 11:08:01
Document Modified: 2018-11-02 11:08:01
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionProposed extension of an existing information collection; comment request.
DatesWritten comments must be submitted on or before July 20, 2018.
ContactRequests 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.''
FR Citation83 FR 23430 

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