Patent Processing (Updating)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/SB/08A Information Disclosure Statements with no additional disclosure requirements	Form	Modified	Available
Form PTO/SB/30EFS Request for Continued Examination (RCE) EFS-Web	Form	New	Available
Form PTO/SB/130 EFS-Web Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)	Form	New	Available
Form PTOL-413C Request for First-Action Interview (Pilot Program)	Form and Instruction	New	Repair queued
Form PTO/SB/28 EFS-Web Petition to Make Special Under Accelerated Examination Program	Form	New	Available
Form PTO/SB/33 Pre-Appeal Brief Request for Review	Form	New	Available
Form PTO/SB/24B Petition for Express Abandonment to Obtain a Refund	Form	New	Available
Form PTO/SB/39 Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h)	Form	New	Available
Form PTO/SB/38 Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d)	Form	New	Repair queued
Form PTO/SB/17i Processing Fee Under 37 CFR 1.17(i) Transmittal	Form	New	Available
Form PTOL-413A Applicant Initiated Interview Request Form	Form	New	Available
Form PTO/SB/37 Request for Deferral of Examination 37 CFR 1.103(d)	Form	New	Available
Form PTO/SB/32 Request for Oral Hearing Before the Board of Patent Appeals and Interferences	Form	New	Repair queued
Form PTO/SB/30 Request for Continued Examination (RCE) Transmittal	Form and Instruction	New	Repair queued
Form PTO/2055-A/B 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)	Form	New	Available
Form PTO/SB/36 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))	Form	New	Available
Form PTO/SB/35 Non-publication Request	Form	New	Repair queued
Form PTO/SB/96 Statement Under 37 CFR 3.73(b)	Form	New	Repair queued
Form PTO/SB/92 Certificates of Mailing/Transmission	Form	New	Repair queued
Form PTO/SB/91 Deposit Account Order Form	Form	New	Available
Form PTO/SB/67 Requests to Access, Inspect and Copy	Form	New	Available
Form PTO/SB/64a Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing	Form	New	Available
Form PTO/SB/64 Petition for Revival of an Application for Patent Abandoned Unintentionally	Form	New	Repair queued
Form PTO/SB/61 Petition for Revival of an Application for Patent Abandoned Unavoidably	Form	New	Repair queued
Form PTO/SB/42 Information Disclosure Citation in a Patent	Form	New	Repair queued
Form PTO/SB/31 Notice of Appeal	Form	New	Repair queued
Form PTO/SB/27 Request for Expedited Examination of a Design Application	Form	New	Available
Form PTO/SB/25 Disclaimers	Form	New	Repair queued
Form PTO/SB/24A Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)	Form	New	Available
Form PTO/SB/24 Express Abandonment under 37 CFR 1.138	Form	New	Available
Form PTO/SB/23 Petition for Extension of Time under 37 CFR 1.136(b)	Form	New	Repair queued
Form PTO/SB/22 Petition for Extension of Time under 37 CFR 1.136(a)	Form	New	Repair queued
Form PTO/SB/21 Transmittal Form	Form	New	Repair queued
USPTO-infoqualityguide.pdf	Supplementary Document	Uploaded 2007-09-26	Available
0031 Renewal just v4 08.doc	Supporting Statement A	Uploaded 2008-04-24	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4717	Information Disclosure Statements with no additional disclosure requirements	Form	Modified
182080	Request for Continued Examination (RCE) EFS-Web	Form	New
181633	Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)	Form	New
181632	Request for First-Action Interview (Pilot Program)	Form and Instruction	New
181630	Petition to Make Special Under Accelerated Examination Program	Form	New
181629	Request for Corrected Filing Receipt (electronic)		New
181628	Request for Corrected Filing Receipt		New
181627	Pre-Appeal Brief Request for Review	Form	New
181626	Petition for Express Abandonment to Obtain a Refund	Form	New
181625	Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h)	Form	New
181624	Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d)	Form	New
181622	Processing Fee Under 37 CFR 1.17(i) Transmittal	Form	New
181621	Request for Processing of Replacement Drawings to Include the Drawings in Any Patent Application Publication		New
181620	Petitions under 37 CFR 1.17(h): Petition for Accepting Color Drawings/Photos, Petition for Entry of Model/Exhibit, Petition to Withdraw Application from Issue, and Petition to Defer Issue of Patent		New
181619	Petitions under 37 CFR 1.17(g) include: Petitions to Access Assignment Records and Applications, Petition for Expungement/Return of Information, and Petition to Suspend Action in an Application		New
181614	Petition for Request for Documents in a Form Other Than That Provided by 1.19		New
181613	Applicant Initiated Interview Request Form	Form	New
181612	Request for Voluntary Publication or Republication EFS-Web		New
181611	Request for Deferral of Examination 37 CFR 1.103(d)	Form	New
181610	Request for Oral Hearing Before the Board of Patent Appeals and Interferences	Form	New
181609	Request for Continued Examination (RCE) Transmittal	Form and Instruction	New
181608	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)	Form	New
181607	Copy of File Content Showing Redactions		New
181606	Electronic Filing System (EFS) Copy of Application for Publication		New
181605	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))	Form	New
181604	Non-publication Request	Form	New
181603	Statement Under 37 CFR 3.73(b)	Form	New
181602	Certificates of Mailing/Transmission	Form	New
181600	Deposit Account Order Form	Form	New
181599	Requests to Access, Inspect and Copy	Form	New
181598	Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing	Form	New
181597	Petition for Revival of an Application for Patent Abandoned Unintentionally	Form	New
181596	Petition for Revival of an Application for Patent Abandoned Unavoidably	Form	New
181570	Information Disclosure Citation in a Patent	Form	New
181569	Notice of Appeal	Form	New
181568	Request for Expedited Examination of a Design Application	Form	New
181567	Disclaimers	Form	New
181566	Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)	Form	New
181565	Express Abandonment under 37 CFR 1.138	Form	New
181564	Petition for Extension of Time under 37 CFR 1.136(b)	Form	New
181563	Petition for Extension of Time under 37 CFR 1.136(a)	Form	New
181562	Transmittal Form	Form	New
181555	eIDS (Information Disclosure Statements) filed with no additional disclosure requirements	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		Removed
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		Removed
178966	Examination support document filed in certain nonprovisional applications covering the independent claims and the designated dependent claims (proposed 37 CFR 1.75(b)		Removed

ICR Details

OMB Control No: 0651-0031	ICR Reference No: 200707-0651-005
Status: Historical Active	Previous ICR Reference No: 200703-0651-001
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: 07/01/2009
	Date Received in OIRA: 09/26/2007
Terms of Clearance: Revised to correct collection list and supporting statement.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2012	36 Months From Approved	06/30/2009
Responses	2,459,409	0	2,508,139
Time Burden (Hours)	2,893,322	0	3,724,791
Cost Burden (Dollars)	147,592,807	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. At the direction of OMB, this renewal is being resubmitted with all of the rule-related information removed from the collection pertaining to the notices of proposed rulemakings approved by OMB on 2/22/2006 (RIN 0651-AB94) and (RIN 0651-AB93) along with a change worksheet approved by OMB on 3/30/2007, revising the estimates for same. In total, 7 items are being removed.

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Authorizing Statute(s): US Code: 35 USC 101 Name of Law: 37 CFR Part 1
  

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:
	71 FR 103	05/30/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 180	09/18/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 43

table that charts list of burden

IC Title	Form No.	Form Name
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
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
Request for First-Action Interview (Pilot Program)	PTOL-413C	Request for First-Action Interview (Pilot Program) - Draft form
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)	PTO/SB/130 EFS-Web	Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)
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 - Patent ,   Notice Under 37 CFR 1.251 - Pending Application ,   Notice Uner 37 CFR 1.251 - Abandoned Application
Request for Continued Examination (RCE) Transmittal	PTO/SB/30	Request for Continued Examination (RCE) Transmittal
Petitions under 37 CFR 1.17(g) include: Petitions to Access Assignment Records and Applications, Petition for Expungement/Return of Information, and Petition to Suspend Action in an Application
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) FY 2006
Petition for Extension of Time under 37 CFR 1.136(b)	PTO/SB/23	Petition for Extension of Time Under 37 CFR 1.136(b)
Request for Corrected Filing Receipt (electronic)
Petitions under 37 CFR 1.17(h): Petition for Accepting Color Drawings/Photos, Petition for Entry of Model/Exhibit, Petition to Withdraw Application from Issue, and Petition to Defer Issue of Patent
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
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)
Pre-Appeal Brief Request for Review	PTO/SB/33	Pre-Appeal Brief Request for Review
Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d)	PTO/SB/38	Request to Retrieve Electronic Priority Application(s)
Petition for Express Abandonment to Obtain a Refund	PTO/SB/24B	Petition for Express Abandonment to Obtain a Refund
Petition to Make Special Under Accelerated Examination Program	PTO/SB/28 EFS-Web	Petition to Make Special under Accelerated Examination Program
Request for Deferral of Examination 37 CFR 1.103(d)	PTO/SB/37	Request for Deferral of Examination 37 CFR 1.103(d)
Non-publication Request	PTO/SB/35	Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i)
Request for Voluntary Publication or Republication EFS-Web
Request for Continued Examination (RCE) EFS-Web	PTO/SB/30EFS	Request for Continued Examination (RCE) Transmittal
Information Disclosure Citation in a Patent	PTO/SB/42	37 CFR 1.501 Information Disclosure Citation in a Patent
Petition for Request for Documents in a Form Other Than That Provided by 1.19
Request for Corrected Filing Receipt
Petition for Revival of an Application for Patent Abandoned Unintentionally	PTO/SB/64	Petition for Revival of an Application for Patent Abandoned Unintentionally Under
Request for Oral Hearing Before the Board of Patent Appeals and Interferences	PTO/SB/32	Request for Oral Hearing Before the Board of Patent Appeals and Interferences
Processing Fee Under 37 CFR 1.17(i) Transmittal	PTO/SB/17i	Processing Fee under 37 CFR 1.17(i) Transmittal
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))
Requests to Access, Inspect and Copy	PTO/SB/68, PTO/SB/67	Power to Inspect/Copy ,   Request for Access to an Abandoned Application under 37 CFR 1.14
Deposit Account Order Form	PTO/SB/91	Deposit Account Order Form
Certificates of Mailing/Transmission	PTO/SB/97, PTO/SB/92	Certificate of Mailing under 37 CFR 1.8 ,   Certificate of Transmission under 37 CFR 1.8
Applicant Initiated Interview Request Form	PTOL-413A	Applicant Initiated Interview Request Form
eIDS (Information Disclosure Statements) filed with no additional disclosure requirements	PTO/SB/08a	Information Disclosure Statement by Applicant
Information Disclosure Statements with no additional disclosure requirements	PTO/SB/08A, PTO/SB/08B	Information Disclosure Statement by Applicant ,   Information Disclosure Statement by Applicant
Examination support document filed in certain nonprovisional applications covering the independent claims and the designated dependent claims (proposed 37 CFR 1.75(b)
Electronic Filing System (EFS) Copy of Application for Publication
Copy of File Content Showing Redactions
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	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))
Request for Processing of Replacement Drawings to Include the Drawings in Any Patent Application Publication
Express Abandonment under 37 CFR 1.138	PTO/SB/24	Express Abandonment Under 37 CFR 1.138
Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)	PTO/SB/24A	Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c)
Disclaimers	PTO/SB/43, PTO/SB/62, PTO/SB/26, PTO/SB/63, 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) ,   Terminal Disclaimer to Accompany Petition (Period Specified) ,   Terminal Disclaimer to Accompany Petition
Request for Expedited Examination of a Design Application	PTO/SB/27	Request for Expedited Examination of a Design Application (37 CFR 1.155)
Notice of Appeal	PTO/SB/31	Notice of Appeal from the Examiner to the Board of Patent Appeals and Interferences
Statement Under 37 CFR 3.73(b)	PTO/SB/96	Statement under 37 CFR 3.73(b)
Transmittal Form	PTO/SB/21	Transmittal Form

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ICR Summary of Burden

table that charts list 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	2,459,409	2,508,139	0	11,100	-59,830	0
Annual Time Burden (Hours)	2,893,322	3,724,791	0	-261,104	-570,365	0
Annual Cost Burden (Dollars)	147,592,807	114,723,256	0	-687,947	33,557,498	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 decrease in burden hours is due to a combination of the revised number of submissions, a re-estimation of the time it takes to complete some of the responses, and new requirements being added into the collection. The increase in costs is due to adjustments in responses and response times, the addition of new requirements into the collection and new EFS-Web submissions, and an adjustment for the current postage fees, increasing the recordkeeping costs, filing fees, and postage costs.

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Annual Cost to Federal Government: $7,320,402

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)? No

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: 09/26/2007

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