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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:
202312-0651-001
Status:
Historical Active
Previous ICR Reference No:
202303-0651-020
Agency/Subagency:
DOC/PTO
Agency Tracking No:
Title:
Patent Processing
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:
11/20/2024
Retrieve Notice of Action (NOA)
Date Received in OIRA:
05/20/2024
Terms of Clearance:
Supporting statement updated to respond to comments and provide better clarity on a number of aspects with regards to USPTO practices relevant to the collection.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
11/30/2027
36 Months From Approved
11/30/2024
Responses
2,435,597
0
3,669,397
Time Burden (Hours)
535,466
0
3,187,341
Cost Burden (Dollars)
363,826,829
0
427,115,308
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. Also, the USPTO is required to publish patent applications, with certain exceptions, promptly after the expiration of a period of 18 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 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, request to inspect, copy, and access patent applications, and transmittal forms. 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.
Authorizing Statute(s):
PL:
Pub.L. 112 - 29 1
Name of Law: Leahy-Smith America Invents Act
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:
89 FR 5500
01/29/2024
30-day Notice:
Federal Register Citation:
Citation Date:
89 FR 43825
05/20/2024
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
32
IC Title
Form No.
Form Name
Applicant Initiated Interview Request Form
PTOL/413A
Applicant-Initiated Interview Request Form
Applicant Initiated Interview Request Form (Individuals And Households)
PTOL/413A
Applicant-Initiated Interview Request Form
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)
PTO/SB/39
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices under 37 CFR 1.14(h))
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h) (Individuals And Households)
PTO/SB/39
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices under 37 CFR 1.14(h))
Certificates of Mailing or Transmission
PTO/SB/92
Certificates of Mailing or Transmission
Certificates of Mailing or Transmission (Individuals And Households)
PTO/SB/92
Certificates of Mailing or Transmission
Copy of File Content Showing Redactions
Copy of File Content Showing Redactions (Individuals And Households)
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–2053–A/B, PTO–2054–A/B, PTO–2055–A/B
Notice Under 37 CFR 1.251 - Pending Application
,
Notice Under 37 CFR 1.251 - Abandoned Application
,
Notice Under 37 CFR 1.251 – Patent
Correction of inventorship after first office action on the merits
Correction of inventorship after first office action on the merits (Individuals And Households)
Deposit Account Order Form
PTO/SB/91
Deposit Account Order Form
Deposit Account Order Form (Individuals And Households)
PTO/SB/91
Deposit Account Order Form
Electronic Filing System (EFS) Copy of Application for Publication
Express Abandonment under 37 CFR 1.138
PTO/AIA/24, PTO/SB/24
Express Abandonment Under 37 CFR 1.138
,
Express Abandonment Under 37 CFR 1.138
Express Abandonment under 37 CFR 1.138 (Individuals And Households)
PTO/SB/24, PTO/AIA/24
Express Abandonment Under 37 CFR 1.138
,
Express Abandonment Under 37 CFR 1.138
Filing a submission after final rejection (see 37 CFR 1.129(a))
Filing a submission after final rejection (see 37 CFR 1.129(a)) (Individuals And Households)
Information Disclosure Statements that 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) (Individuals And Households)
PTO/SB/08b, PTO/SB/08a
Information Disclosure Statement by Applicant (Not for submission under 37 CFR 1.99)
,
Information Disclosure statement by Applicant
Non-publication Request
PTO/SB/35
Non-Publication Request
Non-publication Request (Individuals And Households)
PTO/SB/35
Non-Publication Request
Petition for Express Abandonment to Obtain a Refund
PTO/AIA/24B, PTO/SB/24B
Petition for Express Abandonment to Obtain a Refund
,
Petition for Express Abandonment to Obtain a Refund
Petition for Express Abandonment to Obtain a Refund (Individuals And Households)
PTO/SB/24B, PTO/AIA/24B
Petition for Express Abandonment to Obtain a Refund
,
Petition for Express Abandonment to Obtain a Refund
Petition for Extension of Time under 37 CFR 1.136(a)
PTO/AIA/22, PTO/SB/22
Petition for Extension of Time Under 37 CFR 1.136(a)
,
Petition for Extension of Time Under 37 CFR 1.136(a)
Petition for Extension of Time under 37 CFR 1.136(a) (Individuals And Households)
PTO/AIA/22
Petition for Extension of Time Under 37 CFR 1.136(a)
Petition for Revival of an Application for Patent Abandoned Unintentionally
PTO/SB/64
Petition for Revival of an Application for Patent Abandoned unintentionally
Petition for Revival of an Application for Patent Abandoned Unintentionally (Individuals And Households)
PTO/SB/61, PTO/SB/64
PETITION FOR REVIVAL OF AN INTERNATIONAL APPLICATION FOR PATENT DESIGNATING THE U.S. ABANDONED UNAVOIDABLY UNDER 37 CFR 1.137(a)
,
Petition for Revival of an Application for Patent Abandoned Unintentionally
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
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (Individuals And Households)
PTO/SB/64a
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only)
PTO/SB/130
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only) (Individuals And Households)
PTO/SB/130
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)
Pre-Appeal Brief Request for Review
PTO/AIA/33, PTO/SB/33
Pre-Appeal Brief Request for Review
,
Pre-Appeal Brief Request for Review
Pre-Appeal Brief Request for Review (Individuals And Households)
PTO/AIA/33, PTO/SB/33
Pre-Appeal Brief Request for Review
,
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
Processing Fee Under 37 CFR 1.17(i) Transmittal (Individuals And Households)
PTO/SB/17i
Processing Fee under 37 CFR 1.17(i) Transmittal
Request for Continued Examination (RCE) Transmittal
PTO/SB/30
Request for Continued Examination (RCE) Transmittal
Request for Continued Examination (RCE) Transmittal (Individuals And Households)
PTO/SB/30
Request for Continued Examination (RCE) Transmittal
Request for Corrected Filing Receipt
Request for Corrected Filing Receipt (Individuals And Households)
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 Expedited Examination of a Design Application (Individuals And Households)
PTO/SB/27
Request for Expedited Examination of a Design Application (37 CFR 1.155)
Request for First Action Interview (Pilot Program) (Electronic only)
PTOL-413C
Request for First-Action Interview (Pilot Program)
Request for First Action Interview (Pilot Program) (Electronic only) (Individuals And Households)
PTOL–413C
Request for First-Action Interview (Pilot Program)
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)
PTO/SB/37
Request for Suspension of Action or Deferral of Examination under 37 CFR 1.103(b), (c), or (d))
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)
PTO/SB/37
Request for Suspension of Action or Deferral of Examination under 37 CFR 1.103(b), (c), or (d))
Request for Voluntary Publication or Republication (includes publication fee for republication)
Request for Voluntary Publication or Republication (includes publication fee for republication) (Individuals And Households)
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)
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) (Individuals And Households)
Request to Correct or Update the Name of the Applicant Under 37 CFR 1.46(c)(1), or Change the Applicant under 37 CFR 1.46(c)(2).
Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h)
PTO/SB/38
Request to Retrieve Electronic Priority Application(s) under 37 CFR 1.55(d))
Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h) (Individuals And Households)
PTO/SB/38
Request to Retrieve Electronic Priority Application(s) under 37 CFR 1.55(d))
Request to correct or update the name of the applicant under 37 CFR 1.46(c)(1), or change the applicant under 37 CFR 1.46(c)(2)
Requests to Access, Inspect and Copy
PTO/SB/67, PTO/SB/68
Requests to Access, Inspect, and Copy
,
REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1.14
Requests to Access, Inspect and Copy (Individuals And Households)
PTO/SB/67, PTO/SB/68
Requests to Access Inspect, and Copy
,
REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1.14
Rescission of Previous Non-publication 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
Rescission of Previous Non-Publication Request (35 U.S.C. 122(b)(2)(B)(ii)
Rescission of Previous Non-publication 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) (Individuals And Households)
PTO/SB/36
Rescission of Previous Non-Publication Request (35 U.S.C. 122(b)(2)(B)(ii)
Statement Under 37 CFR 3.73(c)
PTO/SB/96, PTO/AIA/96
Statement under 37 CFR 3.73(b)
,
Statement under 37 CFR 3.73(c)
Statement Under 37 CFR 3.73(c) (Individuals And Households)
PTO/SB/96, PTO/AIA/96
Statement under 37 CFR 3.73(b)
,
Statement under 37 CFR 3.73(c)
Statutory Disclaimers (including terminal disclaimers)
PTO/SB/26, PTO/SB/43, PTO/SB/25, PTO/SB/25a, PTO/AIA/25, PTO/AIA/26, PTO/SB/26a, 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
,
Terminal Disclaimer in a Patent or Proceeding in View of an Application
,
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
,
Terminal Disclaimer in a Patent or Proceeding in View of Another Patent
Statutory Disclaimers (including terminal disclaimers) (Individuals And Households)
PTO/SB/26, PTO/SB/43, PTO/SB/25
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)
Transmittal Form
PTO/SB/21
Transmittal Form
Transmittal Form (Individuals And Households)
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
2,435,597
3,669,397
0
0
-1,233,800
0
Annual Time Burden (Hours)
535,466
3,187,341
0
0
-2,651,875
0
Annual Cost Burden (Dollars)
363,826,829
427,115,308
0
0
-63,288,479
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
Changes in Respondents and Hourly Burden due to Adjustment in Agency Estimate The total number of respondents has decreased by 1,233,800 due to estimated fluctuations in the number of responses and submissions in this information collection. This decrease in the number of respondents and responses results in a decrease of 2,651,875 hours in the annual time burden estimates. Changes in Annual (Non-hour) Costs due to Adjustment in Agency Estimate For this renewal, the USPTO estimates that the total annual (non-hour) costs will decrease by $63,288,479 from the previous approval. This decrease is due to estimated fluctuations in submissions for items that require a fee.
Annual Cost to Federal Government:
$16,516,111
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
Yes
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
Yes
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?
No
Agency Contact:
Raul Tamayo 571 272-7728 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:
05/20/2024
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