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Burden
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Certification
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View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
0651-0031
ICR Reference No:
201301-0651-002
Status:
Historical Active
Previous ICR Reference No:
201209-0651-014
Agency/Subagency:
DOC/PTO
Agency Tracking No:
Title:
Patent Processing (Updating)
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Approved with change
Conclusion Date:
07/31/2013
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/29/2013
Terms of Clearance:
Updated supporting statement to account for items not subject to the Paperwork Reduction Act in Rule 1.130, 1.131, 1.132, and Amendments and Responses.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
07/31/2016
36 Months From Approved
07/31/2013
Responses
3,817,580
0
2,444,305
Time Burden (Hours)
3,792,191
0
2,869,625
Cost Burden (Dollars)
370,573,375
0
145,375,747
Abstract:
The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. ยง 131 to examine an application for patent and, when appropriate, issue a patent. Also, the USPTO is required to publish patent appplications, 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 administeres the statutes through various sections of the rules of practice in 37 CFR Part 1. The information in this collection can be 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. At the direction of OMB, this renewal is being resubmitted with two items removed, namely, Rule 1.130, 1.131 and 1.132 Affidavits or Declarations and Amendments and Responses, both of which had been separated out from the Transmittal Form and listed as individual items.
Authorizing Statute(s):
US Code:
35 USC 131
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
77 FR 16813
03/22/2012
30-day Notice:
Federal Register Citation:
Citation Date:
78 FR 6073
01/29/2013
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
63
IC Title
Form No.
Form Name
Applicant Initiated Interview Request Form
PTOL-413A
Applicant Initiated Interview Request Form
Authorization to Permit Access to Application by Participating Offices Under 37 CFR 1.14(h)
PTO/SB/39
Authorization to Permit Access to Application by Participating Offices
Certificates of Mailing/Transmission
PTO/SB/92, PTO/SB/97
Certificate of Mailing under 37 CFR 1.8
,
Certificate of Transmission under 37 CFR 1.8
Copy of File Content Showing Redactions
Copy of the Applicant or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not)
PTO-2054-A/B, PTO/2055-A/B, PTO-2053-A/B
Notice Under 37 CFR 1.251 - Pending Application
,
Notice Uner 37 CFR 1.251 - Abandoned Application
,
Notice Under 37 CFR 1.251 - Patent
Deposit Account Order Form
PTO/SB/91
Deposit Account Order Form
Disclaimers
PTO/SB/25, PTO/SB/26, PTO/SB/43, PTO/SB/63
Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection over a Pending "Reference" Application
,
Terminal Disclaimer to Obviate a Double Patenting Rejection over a "Prior" Patent
,
Disclaimer in Patent Under 37 CFR 1.321(a)
,
Terminal Disclaimer to Accompany Petition
EFS-Web IDS (Information Disclosure Statements) that do not require the fee set forth in 37 CFR 1.17(p)
PTO/SB/08a
Information Disclosure Statement by Applicant (Not for submission under 37 CFR 1.99)
EFS-Web IDS (Information Disclosure Statements) that require the fee set forth in 37 CFR 1.17(p)
PTO/SB/08a
Information Disclosure Statement by Applicant
EFS-Web Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)
PTO/SB/130
Petition to Make Special Based on Age for Advancement of Examination Under 37 CFR 1.102(c)(1)
EFS-Web Request for Continued Examination (RCE) Transmittal
PTO/SB/30EFS
Request for Continued Examination (RCE) Transmittal (Submitted Only via EFS-Web)
EFS-Web Request for Corrected Filing Receipt
EFS-Web Request for Voluntary Publication or Republication (includes publication fee for republication)
Electronic Applicant Initiated Interview Request Form
PTOL-413A
Applicant Initiated Interview Request Form and Instruction Sheet
Electronic Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h)
PTO/SB/39
Authorization to Permit Access to Application by Participating Offices
Electronic Certificates of Mailing/Transmission
PTO/SB/92, PTO/SB/97
Certificate of Mailing under 37 CFR 1.8
,
Certificate of Transmission under 37 CFR 1.8
Electronic Deposit Account Order Form
PTO/SB/91
Deposit Account Order Form
Electronic Disclaimers
PTO/SB/25, PTO/SB/26, PTO/SB/43, PTO/SB/63
Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending "Reference" Application
,
Terminal Disclaimer to Obviate a Double Patenting Rejection over a "Prior" Patent
,
Disclaimer in Patent Under 37 CFR 1.321(a)
,
Terminal Disclaimer to Accompany Petition
Electronic Express Abandonment under 37 CFR 1.138
PTO/AIA/24
Express Abandonment Under 37 CFR 1.138
Electronic Filing System (EFS) Copy of Application for Publication
Electronic Filing a submission after final rejection (see 37 CFR 1.129(a))
Electronic Non-publication Request
PTO/SB/35
Nonpublication Request Under 35 U.S.C. 122(b)(2)(B)(i)
Electronic Notice of Appeal
PTO/AIA/31
Notice of Appeal from the Examiner to the Patent Trial and Appeal Board
Electronic Petition for Express Abandonment to Obtain a Refund
PTO/AIA/24B
Petition for Express Abandonment to Obtain a Refund
Electronic Petition for Extension of Time under 37 CFR 1.136(a)
PTO/AIA/22
Petition for Extension of Time Under 37 CFR 1.136(a)
Electronic Petition for Revival of an Application for Patent Abandoned Unavoidably
PTO/SB/61
Petition for Revival of an Application for Patent Abandoned Unavoidably under 37 CFR 1.137(a)
Electronic Petition for Revival of an Application for Patent Abandoned Unintentionally
PTO/SB/64
Petition for Revival of an Application for Patent Abandoned Inintentionally under 37 CFR 1.137(b)
Electronic Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
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))
Electronic Pre-Appeal Brief Request for Review
PTO/AIA/33
Pre-Appeal Brief Request for Review
Electronic Processing Fee Under 37 CFR 1.17(i) Transmittal
PTO/SB/17i
Processing Fee Under 37 CFR 1.17(i) Transmittal
Electronic Request for Deferral of Examination 37 CFR 1.103(d)
PTO/SB/37
Request for Deferral of Examination 37 CFR 1.103(d)
Electronic Request for Expedited Examination of a Design Application
PTO/SB/27
Request for Expedited Examination of a Design Application (37 CFR 1.155)
Electronic Request for Oral Hearing Before the Patent Trial and Appeal Board
PTO/AIA/32
Request for Oral Hearing Before the Patent Trial and Appeal Board
Electronic Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d)
PTO/SB/38
Request to Retrieve Electronic Priority Application(s)
Electronic Requests to Access, Inspect and Copy
PTO/SB/67, PTO/SB/68
Power to Inspect/Copy
,
Request for Access to an Abandoned Application under 37 CFR 1.14
Electronic Rescission of Previous Non-publication Request (35 U.S.C. 122(b)(B)(ii)) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii))
PTO/SB/36
Recission 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))
Electronic Statement Under 37 CFR 3.73(b)
PTO/AIA/96, PTO/SB/96
Statement Under 37 CFR 3.73(c)
,
Statement Under 37 CFR 3.73(b)
Electronic Transmittal Form
PTO/SB/21
Transmittal Form
Express Abandonment under 37 CFR 1.138
PTO/SB024
Express Abandonment under 37 CFR 1.138
Filing a submission after final rejection (see 37 CFR 1.129(a))
Information Disclosure Citation in a Patent
PTO/SB/42
37 CFR 1.501 Information Disclosure Citation in a Patent
Information Disclosure Statements that do not require the fee set forth in 37 CFR 1.17(p)
PTO/SB/08a, PTO/SB/0008b
Information Disclosure Statement by Applicant
,
Information Disclosure Statement by Applicant
Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p)
PTO/SB/08a, PTO/SB/08b
Information Disclosure Statement by Applicant
,
Information Disclosure Statement by Applicant
Non-publication Request
PTO/SB/0035
Nonpublication Request Under 35 U.S.C. 122(b)(2)(B)(i)
Notice of Appeal
PTO/SB/31
Notice of Appeal from the Examiner to the Patent Trial and Appeal Board
Petition for Express Abandonment to Obtain a Refund
PTO/SB/24B
Petition for Express Abandonment to Obtain a Refund
Petition for Extension of Time under 37 CFR 1.136(a)
PTO/SB/22
Petition for Extension of Time under 37 CFR 1.136(a)
Petition for Revival of an Application for Patent Abandoned Inintentionally
PTO/SB/64
Petition for Revival of an Application for Patent abandoned Unintentionally Under 37 CFR 1.137(b)
Petition for Revival of an Application for Patent Abandoned Unavoidably
PTO/SB/61
Petition for Revival of an Application for Patent Abandoned Unavoidably under 37 CFR 1.137(a)
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
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))
Pre-Appeal Brief Request for Review
PTO/SB/33
Pre-Appeal Brief Request for Review
Processing Fee Under 37 CFR 1.17(i) Transmittal
PTO/SB/17i
Processing Fee Under 37 CFR 1.17(i) Transmittal
Recission 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/36
Recission 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))
Request for Continued Examination (RCE) Transmittal
PTO/SB/30
Request for Continued Examination (RCE) Transmittal
Request for Corrected Filing Receipt
Request for Deferral of Examination 37 CFR 1.103(d)
PTO/SB/37
Request for Deferral of Examination 37 CFR 1.103(d)
Request for Expedited Examination of a Design Application
PTO/SB/27
Request for Expedited Examination of a Design Application (37 CFR 1.155)
Request for First-Action Interview (Pilot Program)(Electronic only)
PTO/SB/413C
Request for First Action Interview (Full Pilot Program)
Request for Oral Hearing Before the Patent Trial and Appeal Board
PTO/SB/32
Request for Oral Hearing Before the Patent Trial and Appeal Board
Request for Processing of Replacement Drawings to Include the Drawings in Any Patent Application Publication
Request for Voluntary Publication or Republication (includes publication fee for republication)
Request to Retrieve Electronic Priority Applications(s) Under 37 CFR 1.55(d)
PTO/SB/38
Request to Retrieve Electronic Priority Application(s)
Requests to Access, Inspect and Copy
PTO/SB/67, PTO/SB/68
Power to Inspect/Copy
,
Request for Access to an Abandoned Application Under 37 CFR 1.14
Statement Under 37 CFR 3.73(b)
Transmittal Form
PTO/SB/21
Transmittal Form
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
3,817,580
2,444,305
0
-1,787
1,375,062
0
Annual Time Burden (Hours)
3,792,191
2,869,625
0
-2,966
925,532
0
Annual Cost Burden (Dollars)
370,573,375
145,375,747
0
21,147,288
204,050,340
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
Yes
Burden Reduction Due to:
Miscellaneous Actions
Short Statement:
The increase in costs is due to adjustments in responses and response times, the addition of new requirements into the collection, and an adjustment for the current postage fees and filing fees. The USPTO has also eliminated the recordkeeping costs.
Annual Cost to Federal Government:
$29,182,690
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
No
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Raul Tamayo 5712727728 Raul.Tamayo@uspto.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
01/29/2013
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