Patent Processing (Updating)

Forms and Documents

Document Name	Status
Form PTO/SB/08/08A/ Patent Processing (Updating) Form	Unchanged
Form PTOL-413C Request for First-Action Interview (Pilot Program) Form and Instruction	New
CWS First-Action Interview Form.doc Justification for No Material/Nonsubstantive Change	2007-06-21

IC Document Collections

IC ID	Document Title	Status
4717	Patent Processing (Updating) Form	Unchanged
180801	Request for First-Action Interview (Pilot Program) Form and Instruction	New
178969	Petition for a second request for continued examination showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution in the application	Unchanged
178967	Petition for a second continuation or continuation-in-part application showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution	Unchanged
178966	Examination support document filed in certain nonprovisional applications covering the independent claims and the designated dependent claims (proposed 37 CFR 1.75(b)	Unchanged

ICR Details

OMB Control No: 0651-0031	ICR Reference No: 200706-0651-004
Status: Historical Inactive	Previous ICR Reference No: 200703-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Processing (Updating)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Disapproved and continue	Conclusion Date: 07/26/2007
	Date Received in OIRA: 06/22/2007
Terms of Clearance: The requested change is material and substantive and cannot be in this action.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2007	09/30/2007	06/30/2009
Responses	2,508,139	0	2,508,139
Time Burden (Hours)	3,724,791	0	3,724,791
Cost Burden (Dollars)	114,723,256	0	114,723,256

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Abstract: This collection of information is required by 35 U.S.C. sec. 101 et.seq. and is administered through 37 CFR Part 1. During the pendency of a patent application or the period of enforceability of a patent, situations arise that require collection of information for the USPTO to further process the patent or application. This information can be used by the USPTO to continue the processing of the patent or application or to ensure that applicants are complying with the patent regulations.

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Authorizing Statute(s): US Code: 35 USC 101 Name of Law: null
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Request for First-Action Interview (Pilot Program)	PTOL-413C	Request for First-Action Interview (Pilot Program)
Patent Processing (Updating)	PTO/SB/08/08A/, 08B, PTO/SB/171, PTO/SB/17P, PTO/SB/21-27, PTO/SB/24B, PTO/SB/30-32, PTO/SB/35-39, PTO/SB/42-43, PTO/SB/61-64	Information Disclosure Statement by Applicant ,   Processing Fee Under 37 CFR 1.17(i) Transmittal ,   Petition Fee Under 37 CFR 1.17(f), (g) & (h) Transmittal ,   Transmittal Form ,   Petition for Express Abandonment to Obtain a Refund ,   Request for Continued Examination (RCE) Transmittal ,   Nonpublication Request Under 35 U.S.C. 122(b)(2)(B)(i) ,   Information Disclosure Citation in a Patent ,   Petition for Revival of an Application for Patent Abandoned Unavoidably under 37 CFR 1.137(a) ,   Information Disclosure Statement by Applicant
Petition for a second request for continued examination showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution in the application
Petition for a second continuation or continuation-in-part application showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution
Examination support document filed in certain nonprovisional applications covering the independent claims and the designated dependent claims (proposed 37 CFR 1.75(b)

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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: No

Burden Reduction Due to:

Short Statement: The USPTO proposes to accelerate a petition activity relevant to existing form PTOL-413A Applicant Initiated Interview Request by allowing the applicant to submit a new form, PTOL-413C Request for First Action Interview, to request a pre-first Office Action interview and attest to the concurrent submission of form PTO/SB/08a Information Disclosure Statement By Applicant. See attached statement.

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Annual Cost to Federal Government: $0

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 06/22/2007

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