SUPPLEMENTARY INFORMATION:

I. Abstract

The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 131 to examine an application for patent and, when appropriate, issue a patent. The USPTO is also required to publish patent applications, with certain exceptions, promptly after the expiration of a period of eighteen months from the earliest filing date for which a benefit is sought under title 35, United States Code (“eighteen-month publication”). Certain situations may arise which require that additional information be supplied in order for the USPTO to further process the patent or application. The USPTO administers the statutes through various sections of the rules of practice in 37 CFR part 1.

During the processing of an application for a patent, the applicant or the applicant's representative may be required to submit additional information to the USPTO concerning the examination of a specific application. The specific information required to be submitted includes: requests for extension of time, abandonment of applications and the revival of abandoned applications, disclaimers, appeals, petitions, expedited examination of design applications, requests for continued examinations, requests to inspect, copy, access patent applications, and transmittal forms.

The information in this collection is used by the USPTO to continue the processing of the patent or application to ensure that applicants are complying with the patent regulations and to aid in the prosecution of the application. This also includes situations that require additional information in order for the USPTO to further process the patent or application.

II. Method of Collection

The items in this information collection can be submitted through the USPTO patent electronic filing system (Patent Center), the USPTO's online filing and viewing system for patent applications and related documents. The USPTO also will accept submissions by mail, hand delivery, and facsimile.

III. Data

OMB Control Number: 0651-0031.

Forms: (AIA—America Invents Act; SB—Specimen Book; PTOL = Patent and Trademark Office Legal)

( printed page 5501)

• PTO/AIA/22 (Petition for Extension of Time under37 CFR 1.136(a))
• PTO/AIA/24 (Express Abandonment under37 CFR 1.138)
• PTO/AIA/24B (Petition for Express Abandonment to Obtain a Refund)
• PTO/AIA/33 (Pre-Appeal Brief Request for Review)
• PTO/AIA/40 (Request for Correction in a Patent Application Relating to Inventorship or an Inventor Name, or Order of Names, Other than in a Reissue Application (37 CFR 1.48)
• PTO/AIA/41 (Request to Correct or Update the Name of the Applicant Under37 CFR 1.45(c)(1), or Change the Applicant Under 37 CFR 1.46(c)(2))
• PTO/AIA/67 (Power to Inspect/Copy—For Applications Filed On or After September 16, 2012)
• PTO/AIA/96 (Statement Under37 CFR 3.73(c))
• PTO/SB/08a (Information Disclosure Statement by Applicant)
• PTO/SB/08b (Information Disclosure Statement by Applicant)
• PTO/SB/17i (Processing Fee under37 CFR 1.17(i) Transmittal)
• PTO/SB/21 (Transmittal Form)
• PTO/SB/22 (Petition for Extension of Time under37 CFR 1.136(a))
• PTO/SB/24 (Express Abandonment under37 CFR 1.138)
• PTO/SB/24B (Petition for Express Abandonment to Obtain a Refund)
• PTO/SB/25 (Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending “Reference” Application)
• PTO/SB/26 (Terminal Disclaimer to Obviate a Double Patenting Rejection over a “Prior” Patent)
• PTO/SB/27 (Request for Expedited Examination of a Design Application (37 CFR 1.155))
• PTO/SB/30 (Request for Continued Examination (RCE) Transmittal)
• PTO/SB/33 (Pre-Appeal Brief Request for Review)
• PTO/SB/35 (Nonpublication Request under35 U.S.C. 122(b)(2)(B)(i))
• PTO/SB/36 (Rescission of Previous Nonpublication Request (35 U.S.C. 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii))
• PTO/SB/37 (Request Deferral of Examination37 CFR 1.103(d))
• PTO/SB/38 (Request to Retrieve Electronic Priority Applications(s) Filed with Nonparticipating Office(s) That is Available in a Participating Office (37 CFR 1.55(i)(4)))
• PTO/SB/39 (Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices)
• PTO/SB/43 (Disclaimer in a Patent under37 CFR 1.321(a))
• PTO/SB/63 (Terminal Disclaimer to Accompany Petition)
• PTO/SB/64 (Petition for Revival of an Application for Patent Abandoned Unintentionally Under37 CFR 1.137(a))
• PTO/SB/64a (Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (37 CFR 1.137(f))
• PTO/SB/67 (Power to Inspect/Copy—For Applications Filed Before September 16, 2012)
• PTO/SB/68 (Request for Access to an Abandoned Application under37 CFR 1.14)
• PTO/SB/91 (Deposit Account Order Form)
• PTO/SB/92 (Certificate of Mailing or Transmission under37 CFR 1.8)
• PTO/SB/96 (Statement under37 CFR 3.73(b))
• PTO/SB/130 (Petition to Make Special Based on Age for Advancement of Examination under37 CFR 1.102(c)(1))
• PTOL/413A (Applicant Initiated Interview Request Form)
• PTO-2053-A/B (Notice Under37 CFR 1.251—Pending Application)
• PTO-2054-A/B (Notice Under37 CFR 1.251—Abandoned Application)
• PTO-2055-A/B (Notice Under37 CFR 1.251—Patent)

Type of Review: Extension and revision of a currently approved information collection.

Affected Public: Private sector.

Respondent's Obligation: Required to obtain or retain benefits.

Estimated Number of Annual Respondents: 2,435,597 respondents per year.

Estimated Number of Annual Responses: 2,435,597 responses per year.

Estimated Time per Response: The USPTO estimates that it will take respondents between 2 minutes (0.03 hours) and 8 hours to submit items in this information collection depending on the instrument used. This includes the time to gather the necessary information, create the document, and submit the completed request to the USPTO.

Estimated Total Annual Respondent Burden Hours: 535,466 hours.

Estimated Total Annual Respondent Hourly Cost Burden: $170,503,027.

Estimated Total Annual Non-Hourly Cost Burden: $363,821,958. There is no capital start-up, maintenance costs, or recordkeeping costs associated with this information collection. However, there is non-hour cost burden in the way of filing fees and postage costs. The total annual (non-hour) respondent cost burden for this collection is estimated to be $363,821,958, which includes $363,579,616 in filing fees, and $242,342 in postage.

Filing Fees

The fees in this information collection are listed in the table below. The fee for Request for Prioritized Examination has no counterpart in the hourly cost table due to that form being exempt from the PRA.

Postage Costs

Although the USPTO prefers that the items in this information collection be submitted electronically, responses may be submitted by mail through the United States Postal Service (USPS). The USPTO estimates that 1% of the 2,435,597 items will be submitted in the mail resulting in 24,356 mailed items. The USPTO estimates that the average postage cost for a mailed submission, using a Priority Mail flat rate legal envelope, will be $9.95. Therefore, the USPTO estimates that the total mailing costs for this information collection is $242,342.

IV. Request for Comments

The USPTO is soliciting public comments to:

(a) Evaluate whether the collection of information is necessary for the proper performance of the functions of the Agency, including whether the information will have practical utility;

(b) Evaluate the accuracy of the Agency's estimate of the burden of the collection of information, including the validity of the methodology and assumptions used;

(c) Enhance the quality, utility, and clarity of the information to be collected; and

(d) Minimize the burden of the collection of information on those who ( printed page 5506) are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses.

All comments submitted in response to this notice are a matter of public record. USPTO will include or summarize each comment in the request to OMB to approve this information collection. Before including an address, phone number, email address, or other personally identifiable information (PII) in a comment, be aware that the entire comment—including PII—may be made publicly available at any time. While you may ask in your comment to withhold PII from public view, USPTO cannot guarantee that it will be able to do so.

89 FR 5500