83 FR 63841 - Practitioner Conduct and Discipline
DEPARTMENT OF COMMERCE
Patent and Trademark Office Federal Register Volume 83, Issue 238 (December 12, 2018)
Patent and Trademark Office
Federal Register Volume 83, Issue 238 (December 12, 2018)
| Page Range | 63841-63843 | |
| FR Document | 2018-26846 |
[Federal Register Volume 83, Number 238 (Wednesday, December 12, 2018)] [Notices] [Pages 63841-63843] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-26846] ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE Patent and Trademark Office Practitioner Conduct and Discipline ACTION: Proposed collection; comment request. ----------------------------------------------------------------------- SUMMARY: The United States Patent and Trademark Office (USPTO), as required by the Paperwork Reduction Act of 1995, invites comments on this proposed extension of an existing information collection. DATES: Written comments must be submitted on or before February 11, 2019. ADDRESSES: Written comments may be submitted by any of the following methods: [[Page 63842]]Email: [email protected]. Include ``0651- 0017 comment'' in the subject line of the message. Federal Rulemaking Portal: http://www.regulations.gov. Mail: Dahlia George, Office of Enrollment and Discipline, United States Patent and Trademark Office (USPTO), 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 (USPTO), 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 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. These sets of rules are collectively referred to here as ``Part 11.'' This collection covers the various reporting and recordkeeping requirements set forth in Part 11 for all agents, attorneys, or other practitioners representing applicants and other parties before the USPTO. The Rules require a practitioner 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 and these Rules require patent agents to maintain similar recordkeeping for clients. Part 11 also requires a practitioner to report knowledge of certain violations of the USPTO Rules of Professional Conduct to the USPTO. If a complaint or grievance is found to have merit, the USPTO will investigate and possibly prosecute such violations and provide the practitioner with the opportunity to respond to the complaint. The Director of the Office of Enrollment and Discipline (OED) may, after notice and opportunity for a hearing, suspend, exclude, or disqualify any practitioner from further practice before the USPTO based on non- compliance with the USPTO Rules of Professional Conduct. 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 USPTO Rules of Professional Conduct, is used by the Director of OED to conduct investigations and prosecute violations, as appropriate. II. Method of Collection Electronically via email; by mail 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 an 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 complete 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: $3,606,500.00. The USPTO expects that agents will complete the Recordkeeping Maintenance & Disclosure item at an hourly wage rate of $284 as published in the 2017 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 $438 as published in the 2017 AIPLA Report of the Economic Survey. The USPTO further expects that a combination of individuals such as trademark applicants and applicants for patents as well as practitioners, including agents, will complete the Complaint/Violation Reporting, including grievances. USPTO estimates that this group has a blended hourly rate of $303; this blended rate is based on data from both the 2017 AIPLA Report of the Economic Survey and the 2017 Bureau of Labor Statistics (BLS) National Occupation Employment and Wage Estimates. The BLS wage estimate for scientists and engineers (occupation code 19- 2099) is used for inventors and applicants. The blended rate is comprised 50 percent by the practitioner hourly rate of $438, 25 percent by the agent hourly rate of $284, and 25 percent by the rate for scientists and engineers of $51.53. Using these hourly rates, the USPTO estimates $3,606,500 per year for the total hourly costs associated with respondents. [[Page 63843]] -------------------------------------------------------------------------------------------------------------------------------------------------------- Estimated time Estimated Estimated IC No. Information collection for response annual annual burden Rate ($/hr) Respondent instrument (hours) responses hours cost -------------------------------------------------------------------------------------------------------------------------------------------------------- (a) (b) (a) x (b) = (d) (c) x (d) = (c) (e) -------------------------------------------------------------------------------------------------------------------------------------------------------- 1..................................... Recordkeeping Maintenance & 1 10,825 10,825 $284 $3,074,300 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 40 800 438 350,400 Regarding Practitioners Under Suspension or Exclusion from the USPTO. 3..................................... Complaint/Violation Reporting... 3 200 600 303 181,800 ------------------------------------------------------------------------------- Total............................. ................................ .............. 11,065 12,225 .............. 3,606,500 -------------------------------------------------------------------------------------------------------------------------------------------------------- Estimated Total Annual (Non-hour) Respondent Cost Burden: $1,244.35. There are no capital start-up or maintenance costs as well as no filing fees associated with this information collection. Any recordkeeping costs have been factored into the estimated hourly cost burden. There are, however, postage costs associated with this collection. Customers may incur postage costs when submitting the items covered by this collection to the USPTO by mail. The USPTO expects that 20 percent of the Recordkeeping Maintenance & Disclosure item; 0 percent of the Recordkeeping Maintenance Regarding Practitioners Under Suspension or Exclusion item; and 25 percent of the Complaint/Violation Reporting item will be submitted electronically. The USPTO further expects that of the non-electronic submissions for this collection, 1 percent of each item's total responses will be submitted by hand delivery and the rest will be submitted by mail, for a total of 187 mailed submissions. The average first-class USPS postage cost for a one-pound mailed submission in a flat-rate envelope and a three-pound mailed submission in a small flat-rate box are $6.55 and $7.05, respectively. 25 percent of the mailed Recordkeeping Maintenance & Disclosure items are expected to require the more expensive flat-rate box mailing option, while all other items are expected to be mailed using the flat-rate envelope. Using these numbers, the USPTO estimates that the postage costs for the mailed submissions in this collection will total $1,244.35. Therefore, the USPTO estimates that the total annual (non-hour) cost burden for this collection, in the form of postage costs, is $1,244.35 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 Administrative Officer, United States Patent and Trademark Office. [FR Doc. 2018-26846 Filed 12-11-18; 8:45 am] BILLING CODE 3510-16-P
![Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices 63841
Estimated Estimated
# Item annual Fee amount annual
responses filing costs
(a) (b) (c)
(a) × (b)
1 ............... Application for International Registration (for certifying an international applica- 7,313 $100.00 $731,300.00
tion based on a single basic application or registration, per international
class) (TEAS).
1 ............... Application for International Registration (for certifying an international applica- 1 200.00 200.00
tion based on a single basic application or registration, per international
class) (paper).
1 ............... Application for International Registration (for certifying an international applica- 1,227 150.00 184,050.00
tion based on more than one basic application or registration, per inter-
national class) (TEAS).
1 ............... Application for International Registration (for certifying an international applica- 1 250.00 250.00
tion based on more than one basic application or registration, per inter-
national class) (paper).
1 ............... Request for Extension of Protection of International Registration to the United 25,600 400.00 10,240,000.00
States—Filed at WIPO.
2 ............... Transmitting a Subsequent Designation under Section 7.21 (TEAS) .................. 930 100.00 93,000.00
2 ............... Transmitting a Subsequent Designation under Section 7.21 (paper) ................... 1 200.00 200.00
4 ............... Notice of Replacement under Section 7.28 (per international class) (TEAS) ...... 1 100.00 100.00
4 ............... Notice of Replacement under Section 7.28 (per international class) (paper) ...... 1 200.00 200.00
5 ............... Request to Record an Assignment or Restriction, or Release of a Restriction, 3 100.00 300.00
under Sections 7.23 and 7.24 (TEAS) (paper).
5 ............... Request to Record an Assignment or Restriction, or Release of a Restriction, 1 200.00 200.00
under Sections 7.23 and 7.24 (paper).
6 ............... Transformation Request (per international class ( TEAS RF Global) .................. 1 275.00 275.00
6 ............... Transformation Request (per international class) (paper) .................................... 1 600.00 600.00
7 ............... Petition to Director to Review Denial of Certification of International Application 42 100.00 4,200.00
(TEAS).
7 ............... Petition to Director to Review Denial of Certification of International Application 1 200.00 200.00
(paper).
8 ............... Declaration of Continued Use/Excusable Nonuse of Mark in Commerce Under 3,250 125.00 406,250.00
Section 71 (per international class) (TEAS).
8 ............... Declaration of Continued Use/Excusable Nonuse of Mark in Commerce Under 1 225.00 100.00
Section 71 (per international class) (paper).
8 ............... Surcharge for Filing Affidavit Under Section 71 of the Act During the Grace Pe- 1 100.00 100.00
riod, per international class (TEAS).
8 ............... Surcharge for Filing Affidavit Under Section 71 of the Act During the Grace Pe- 1 200.00 200.00
riod, per international class (paper).
9 ............... Combined Declaration of Continued Use/Excusable Nonuse and Incontest- 1,600 325.00 520,000.00
ability Under Sections 71 and 15 (per international class) (TEAS).
9 ............... Combined Declaration of Continued Use/Excusable Nonuse and Incontest- 1 525.00 525.00
ability Under Sections 71 and 15 (per international class) (paper).
Totals ................................................................................................................................ 39,978 ........................ 12,182,250.00
Therefore, the USPTO estimates that and cost) of the proposed collection of DEPARTMENT OF COMMERCE
the total annual (non-hour) cost burden information;
for this collection, in the form of postage (c) Ways to enhance the quality, Patent and Trademark Office
costs ($4.50) and filing fees utility, and clarity of the information to
($12,182,250), is $12,182,254.50 per Practitioner Conduct and Discipline
be collected; and
year.
(d) Ways to minimize the burden of ACTION: Proposed collection; comment
IV. Request for Comments the collection of information on request.
Comments submitted in response to respondents, e.g., the use of automated
this notice will be summarized or collection techniques or other forms of SUMMARY: The United States Patent and
included in the request for OMB information technology. Trademark Office (USPTO), as required
approval of this information collection; by the Paperwork Reduction Act of
Marcie Lovett,
they also will become a matter of public 1995, invites comments on this
record. Records and Information Governance proposed extension of an existing
Division Director, OCTO, United States Patent information collection.
Comments are invited on:
amozie on DSK3GDR082PROD with NOTICES1
and Trademark Office.
(a) Whether the proposed collection of DATES:Written comments must be
[FR Doc. 2018–26847 Filed 12–11–18; 8:45 am]
information is necessary for the proper submitted on or before February 11,
performance of the functions of the BILLING CODE 3510–16–P
2019.
agency, including whether the
information shall have practical utility; ADDRESSES: Written comments may be
(b) The accuracy of the agency’s submitted by any of the following
estimate of the burden (including hours methods:
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![Federal Register / Vol. 83, No. 238 / Wednesday, December 12, 2018 / Notices 63843
Estimated time Estimated Estimated Rate Respondent
IC No. Information collection instrument for response annual annual ($/hr) cost
(hours) responses burden hours
(a) (b) (a) × (b) = (c) (d) (c) × (d) = (e)
1 ........................ Recordkeeping Maintenance & Disclo- 1 10,825 10,825 $284 $3,074,300
sure (includes advertisements, dis-
closure requirements relating to so-
liciting professional employment, no-
tifications by non-attorney practi-
tioner of inadvertently sent docu-
ments, and financial books and
records such as trust accounts, fidu-
ciary accounts, and operating ac-
counts).
2 ........................ Recordkeeping Maintenance Regard- 20 40 800 438 350,400
ing Practitioners Under Suspension
or Exclusion from the USPTO.
3 ........................ Complaint/Violation Reporting .............. 3 200 600 303 181,800
Total ........... ............................................................... ........................ 11,065 12,225 ........................ 3,606,500
Estimated Total Annual (Non-hour) for this collection, in the form of postage COMMODITY FUTURES TRADING
Respondent Cost Burden: $1,244.35. costs, is $1,244.35 per year. COMMISSION
There are no capital start-up or
maintenance costs as well as no filing IV. Request for Comments Agency Information Collection
fees associated with this information Comments are invited on: Activities Under OMB Review
collection. Any recordkeeping costs AGENCY: Commodity Futures Trading
have been factored into the estimated (a) Whether the proposed collection of
information is necessary for the proper Commission.
hourly cost burden. There are, however,
performance of the functions of the ACTION: Notice.
postage costs associated with this
collection. agency, including whether the SUMMARY: In compliance with the
information shall have practical utility; Paperwork Reduction Act of 1995
Customers may incur postage costs
when submitting the items covered by (b) the accuracy of the agency’s (PRA), this notice announces that the
this collection to the USPTO by mail. estimate of the burden (including hours Information Collection Request (‘‘ICR’’)
The USPTO expects that 20 percent of and cost) of the proposed collection of abstracted below has been forwarded to
the Recordkeeping Maintenance & information, including the validity of the Office of Management and Budget
Disclosure item; 0 percent of the the methodology and assumptions used; (‘‘OMB’’) for review and comment. The
Recordkeeping Maintenance Regarding (c) ways to enhance the quality, ICR describes the nature of the
Practitioners Under Suspension or utility, and clarity of the information to information collection and its expected
Exclusion item; and 25 percent of the costs and burdens.
be collected; and
Complaint/Violation Reporting item DATES: Comments must be submitted on
(d) ways to minimize the burden of or before January 11, 2019.
will be submitted electronically. The
the collection of information on ADDRESSES: Comments regarding the
USPTO further expects that of the non-
electronic submissions for this respondents, including through the use burden estimate or any other aspect of
collection, 1 percent of each item’s total of automated collection techniques or the information collection, including
responses will be submitted by hand other forms of information technology, suggestions for reducing the burden,
delivery and the rest will be submitted e.g., permitting electronic submission of may be submitted directly to the Office
by mail, for a total of 187 mailed responses. of Information and Regulatory Affairs
submissions. Comments submitted in response to (‘‘OIRA’’) in OMB within 30 days of
The average first-class USPS postage this notice will be summarized or publication of this notice by either of
cost for a one-pound mailed submission included in the request for OMB the methods specified below. Please
in a flat-rate envelope and a three- approval of this information collection; identify the comments by ‘‘OMB Control
pound mailed submission in a small they will also become a matter of public Numbers 3038–0023 and 3038–0072.’’
record. • By email addressed to:
flat-rate box are $6.55 and $7.05,
OIRAsubmissions@omb.eop.gov; or
respectively. 25 percent of the mailed Marcie Lovett, • By mail addressed to: Office of
Recordkeeping Maintenance & Information and Regulatory Affairs,
Director, Records and Information
Disclosure items are expected to require Office of Management and Budget,
Governance Division, Office of the Chief
the more expensive flat-rate box mailing Attention Desk Officer for the
Administrative Officer, United States Patent
option, while all other items are and Trademark Office. Commodity Futures Trading
amozie on DSK3GDR082PROD with NOTICES1
expected to be mailed using the flat-rate Commission, 725 17th Street NW,
[FR Doc. 2018–26846 Filed 12–11–18; 8:45 am]
envelope. Using these numbers, the Washington, DC 20503.
BILLING CODE 3510–16–P
USPTO estimates that the postage costs A copy of all comments submitted to
for the mailed submissions in this OIRA should be sent to the Commodity
collection will total $1,244.35. Futures Trading Commission
Therefore, the USPTO estimates that (‘‘Commission’’) by any of the following
the total annual (non-hour) cost burden methods. The copies should refer to
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Document Created: 2018-12-12 01:40:13
Document Modified: 2018-12-12 01:40:13
| 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 February 11, 2019. | |
| Contact | Requests for additional information should be directed to Dahlia George, Office of Enrollment and Discipline, United States Patent and Trademark Office (USPTO), 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 | 83 FR 63841 |
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