Practitioner records maintenance, disclosure and discipline before the United States Patent and Trademark Office (USPTO)

Forms and Documents

Document Name	Status
Info Quality Guidelines for ROCIS.doc Supplementary Document	2007-06-21
0017 Just 07.doc Supporting Statement A	2007-06-21

IC Document Collections

IC ID	Document Title	Status
4681	Record Keeping Maintenance	Modified
180816	Complaint/Violation Reporting	New
180814	Record Keeping Maintenance Under Suspension or Exclusion from the USPTO	New

ICR Details

OMB Control No: 0651-0017	ICR Reference No: 200706-0651-005
Status: Historical Active	Previous ICR Reference No: 200403-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Practitioner records maintenance, disclosure and discipline before the United States Patent and Trademark Office (USPTO)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/27/2007
	Date Received in OIRA: 06/22/2007
Terms of Clearance: OMB is disappointed USTPO has not made any progress in providing an electronic option for the reporting of complaints/violations to USTPO in this information collection. Therefore, if USTPO is unable to provide an electronic submission option in their next information collection request, then USTPO must provide OMB a report examining electronic submission options provided by other agencies in similar contexts and an explanation of why these options are not feasible to USTPO.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2010	36 Months From Approved	10/31/2007
Responses	532	0	582
Time Burden (Hours)	10,402	0	8,334
Cost Burden (Dollars)	87	0	1,000

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Abstract: This collection of information is required by 35 U.S.C. Sec. 2(b) (2)(D) and 32. The Office of Enrollment and Discipline (OED) collects this information to insure compliance with the USPTO Code of Professional Responsibility 37 CFR 10.20-10.112, which describes how attorneys or practitioners should conduct themselve professionally and outlines their responsibilities for record keeping and reporting violations or compliants of misconduct to the USPTO, and with the investigations and Disciplinary Proceedings rules 37 CFR 10.130-10.170, which outline how the USPTO can discipline attorneys and practitioners. The Trademark

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Authorizing Statute(s): None

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
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 8356	02/26/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 34229	06/21/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

IC Title	Form No.	Form Name
Complaint/Violation Reporting
Record Keeping Maintenance Under Suspension or Exclusion from the USPTO
Record Keeping Maintenance

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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	532	582	0	-195	145	0
Annual Time Burden (Hours)	10,402	8,334	0	-502	2,570	0
Annual Cost Burden (Dollars)	87	1,000	0	-603	-310	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: A total of 502 burden hours have been reduced as a result of four items being deleted in compliance with Terms of Clearance by OMB with the last renewal. Annual (non-hour) cost burden decreased due to the deletion of the four requirements from the collection.

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Annual Cost to Federal Government: $355,498

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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