0028 Just 08

SF-83 SUPPORTING STATEMENT
United States Patent and Trademark Office
Fastener Quality Act Insignia Recordal Process
OMB CONTROL NUMBER 0651-0028

A.

JUSTIFICATION

1.

Necessity of Information Collection

Under Section 5 of the Fastener Quality Act of 1999 (FQA), 15 U.S.C. § 5401 et seq.,
certain industrial fasteners must bear an insignia identifying the manufacturer. The
manufacturer must record this fastener insignia with the United States Patent and
Trademark Office (USPTO). The procedures for the recordal of fastener insignia under
the FQA are set forth in 15 CFR 280.300 et seq.
The purpose of this collection is to ensure that certain fasteners can be traced to their
manufacturers and to protect against the sale of mismarked, misrepresented or
counterfeit fasteners. It is mandatory for manufacturers of fasteners covered by the
FQA to submit an application to the USPTO for recordal of an insignia on the Fastener
Insignia Register.
The insignia may either be a unique alphanumeric designation that the USPTO will
issue upon request or a trademark that is either registered at the USPTO or is the
subject of an application to obtain a registration. After a manufacturer submits a
complete application for recordal, the USPTO issues a Certificate of Recordal. These
certificates remain active for five years. Applications to maintain the certificates must be
filed within six months of the expiration date, or, upon payment of an additional
surcharge, within six months following the expiration date. If a recorded alphanumeric
designation is assigned by the manufacturer, the designation becomes “inactive,” and
the new owner must submit an application to reactivate the designation within six
months of the date of assignment. If the recordal is based on a trademark application or
registration, and that registration is assigned, the recordal becomes “inactive” and
cannot be reactivated. Instead, the new owner of the trademark application or
registration must apply for a new recordal. Manufacturers who record insignia must
notify the USPTO of any changes of address.
This information collection includes one form, the Application for Recordal of Insignia or
Renewal/Reactivation of Recordal Under the Fastener Quality Act (Form PTO-1611),
which provides manufacturers with a convenient way to submit a request for the
recordal of a fastener insignia or to renew or reactivate an existing Certificate of
Recordal. Use of Form PTO-1611 is not mandatory, and applicants may instead
prepare requests for recordal using their own format. In October of 2007 OMB
approved a Change Worksheet to update the design of Form PTO-1611 and to include
instructions for submitting the completed form by electronic mail.

Table 1 identifies the statutory and regulatory provisions that require the USPTO to
collect the information discussed above:
Table 1: Information Requirements to Record an Insignia or Renew a Recordal
Requirement
Recordal of Insignia or Renewal of Recordal Under the
Fastener Quality Act

2.

Statute

Rule

15 U.S.C. § 5401

15 CFR 280.300 – 280.326

Needs and Uses

The public uses this information collection to comply with the insignia recordal
provisions of the FQA. An applicant may choose to use either the Application for
Recordal of Insignia or Renewal/Reactivation of Recordal Under the Fastener Quality
Act (PTO-1611) or prepare requests for recordal using its own document that includes
the information required by 15 CFR 280.310(b)(1)-(8).
The USPTO uses the information in this collection to record or renew insignias under
the FQA and to maintain the Fastener Insignia Register, which is open to public
inspection. The public may download the Fastener Insignia register from the USPTO
Web site or purchase printed copies from the USPTO.
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury
and General Government Appropriations Act for Fiscal Year 2001, apply to this
information collection and comply with all applicable information quality guidelines, i.e.,
the OMB and specific operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO
Information Quality Guidelines.
Table 2 describes how this collection of information is used by the public and by the
USPTO:
Table 2: Needs and Uses of Information Collected for Insignia Recordal/Renewal
Form and Function
Application for Recordal of Insignia or
Renewal/Reactivation of Recordal
Under the Fastener Quality Act
(Ref. A)

Form #
PTO-1611

Needs and Uses
•
•
•
•

3.

Used by manufacturers of certain types of industrial fasteners to
apply to the USPTO for recordal of fastener insignia.
Used by the manufacturer to renew or reactivate the recordal of
the fastener insignia.
Used by the USPTO to process the information needed to issue
and renew fastener insignia Certifications of Recordal.
Used by the USPTO to establish and maintain the fastener insignia
registry.

Use of Information Technology

The USPTO’s Trademark Electronic Application System (TEAS), a very costly system to
develop and pilot, has been extremely successful. Over 95% of new trademark

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applications are filed electronically.
As a result, USPTO customers are now
accustomed to filing a variety of documents electronically and consider the use of paper
forms for their FQA filings to be tedious and time consuming. While developing a
similar system for FQA filings would not be a cost effective method given the
comparatively small number of annual FQA filings versus trademark filings, using a
relatively inexpensive method of setting up an electronic mail box to receive
electronically completed portable document format (PDF) versions of the FQA form
provides numerous advantages.
First, by allowing users to fill the forms out electronically, fewer errors in transcription of
the data will be made. Frequently, the USPTO receives forms that were completed by
hand, which are often difficult to read. Second, by allowing the completed forms to be
sent via electronic mail, there is less likelihood of the form being misrouted or lost in the
regular mail. Third, international manufacturers can use electronic mail to avoid postal
delays and the higher costs associated with international postage. Finally, the current
modifications to the form will allow for more efficient development in the future. Use of a
fillable form for entering data will enable the USPTO to establish field-specific data
capture, which will eventually be used to automatically transfer the data to the
corresponding database and eliminate the process of manually entering the new
applications one at a time. Presently, a clerk must enter each field of data into a
database, which repeats work done by the customer and potentially leads to errors.
4.

Efforts to Identify Duplication

This information is collected only when a manufacturer requests that the USPTO record
or renew a fastener insignia. This information is not collected elsewhere and does not
result in a duplication of effort.
5.

Minimizing the Burden to Small Entities

This collection does not impose a significant economic impact on small entities or small
businesses. Only manufacturers of certain fasteners that are covered under the FQA
are required to respond to this collection. This information is not available from any
other source. The same information is required from every manufacturer who requests
the recordal or renewal of a fastener insignia.
6.

Consequences of Less Frequent Collection

This information is collected only when a manufacturer applies for recordal or renewal of
a fastener insignia and is not found elsewhere. If this information were not collected,
the manufacturers and the USPTO would be unable to comply with the regulations
implementing the FQA. Renewal of the Certificate of Recordal is required every five
years, and reactivation is required when ownership of a recorded alphanumeric
designation is assigned to another entity. This collection of information could not be
conducted less frequently. Less frequent collection would result in inaccurate or
obsolete information in the fastener insignia registry.

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7.

Special Circumstances in the Conduct of Information Collection

There are no special circumstances associated with this collection of information.
8.

Consultation Outside the Agency

The 60-Day Notice was published in the Federal Register on October 17, 2008 [73 Fed.
Reg. 61789]. The public comment period ended on December 16, 2008. The USPTO
received no public comments in response to the Notice.
Large and well-organized bar associations frequently communicate their views to the
USPTO. Also, the Trademark Public Advisory Committee (T-PAC) was created by the
American Inventors Protection Act of 1999 to advise the Director of the USPTO on the
agency’s operations, including its goals, performance, budget, and user fees. T-PAC
includes nine voting members who are appointed by and serve at the pleasure of the
Secretary of Commerce. The statute also provides non-voting membership on the
Committee for the agency’s three recognized unions. Members include inventors,
lawyers, corporate executives, entrepreneurs, and academicians with significant
experience in management, finance, science, technology, labor relations, and
intellectual property issues. The members of T-PAC reflect the broad array of USPTO’s
stakeholders and embrace the USPTO’s e-government initiative. This diversity of
interests is an effective tool in helping the USPTO nurture and protect the intellectual
property that is the underpinning of America’s strong economy.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
10.

Assurance of Confidentiality

Fastener insignia applications are not confidential and are open to public inspection.
11.

Justification for Sensitive Questions

None of the required information in this collection is considered to be of a sensitive
nature.
12.

Estimate of Hour and Cost Burden to Respondents

Table 3 calculates the anticipated burden hours and costs of this information collection
to the public, based on the following factors:
•

Respondent Calculation Factors
The USPTO estimates that 130 Applications for Recordal of Insignia or
Renewal/Reactivation of Recordal Under the Fastener Quality Act will be submitted
annually.

4

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 15 minutes (0.25 hours),
depending on the complexity of the situation, to gather the necessary information,
prepare the form, and submit the completed request.

•

Cost Burden Calculation Factors
The USPTO expects that the information in this collection will be prepared by paraprofessionals at an estimated rate of $100 per hour. This is a fully-loaded hourly rate.

Table 3: Burden Hour/Burden Cost to Respondents for Insignia Recordal/Renewal
Item

Hours
(a)

Application for Recordal of Insignia or Renewal/Reactivation
of Recordal Under the Fastener Quality Act

0.25

130

33

$100.00

$3,300.00

Total

- - - -

130

33

- - - -

$3,300.00

13.

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Total Annualized (Non-Hour) Cost Burden

There are no capital start-up, recordkeeping, or maintenance costs associated with this
information collection. However, this collection does have annual (non-hour) costs in
the form of filing fees and postage costs.
Under 37 CFR 2.7, the filing fee for a recordal of fastener insignia is $20, whether it be a
new recordal, renewal, or a request for reactivation. The USPTO estimates that it will
receive 125 new recordals or renewals of fastener insignia per year for a total of $2,500
in filing fees. If a manufacturer submits a renewal after the expiration date but within six
months of that date, then the manufacturer must pay an additional $20 late renewal
surcharge. The USPTO estimates that approximately 10 of the estimated 125
responses per year will be late renewals that incur the surcharge, for a total of $200 in
additional charges. If a manufacturer fails to renew or assign an alphanumeric
designation assigned by the USPTO to a new owner, the current owner may submit a
request for reactivation of that same alphanumeric designation for a fee of $20. The
USPTO estimates approximately 5 reactivation requests will be received per year, for a
total of $100. Therefore, the total estimated filing costs for this collection will be $2,800.
The public may submit the information for this collection to the USPTO by mail through
the United States Postal Service. The USPTO estimates that approximately 60 of the
130 responses per year will be submitted to the USPTO by mail at an average firstclass postage cost of 75 cents per response, for a total postage cost of $45.
The total annualized (non-hour) cost burden for this collection in the form of filing
fees ($2,800) and postage costs ($45) is estimated to be $2,845 per year.

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14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-7, step 3 employee approximately 10 minutes
(0.17 hours) to process the applications for recording insignias and renewing recordals.
The current hourly rate for a GS-7, step 3 is $20.10. When 30% is added to account for
a fully loaded hourly rate (benefits and overhead), the combined cost for a GS-7, step 3
is $20.10 + $6.03, for a rate of $26.13.
Table 6 calculates the processing hours and costs of this information collection to the
Federal Government:
Table 6: Burden Hour/Burden Cost to the Federal Government for Insignia Recordal/Renewal
Item

Application for Recordal of Insignia or Renewal of
Recordal Under the Fastener Quality Act
Total

15.

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

0.17

130

22

$26.13

$575.00

- - - - -

130

22

- - - - -

$575.00

Reason for Change in Burden

Summary of Changes Since the Previous Renewal
OMB previously approved the renewal of this collection in April of 2006. Since then,
OMB approved a change worksheet in October of 2007, which increased the number of
responses, burden hours, and annualized (non-hour) costs for this collection.
This collection is currently approved with a total of 115 responses and 20 burden hours
per year. For this renewal, the USPTO estimates that the total annual responses will be
130 and the total annual burden hours will be 33. This increase of 13 burden hours is
due to an administrative adjustment.
The currently approved annual (non-hour) cost burden for this collection is $2,444. For
this renewal, the USPTO estimates that the total annual (non-hour) costs will be $2,845.
This increase of $401 is due to an administrative adjustment.
Changes in Respondent Cost Burden
The USPTO believes that paraprofessionals will provide the information covered in this
collection. In the previous renewal, the hourly rate of $81 was used for the
paraprofessionals. For this renewal, the USPTO is using the current professional hourly
rate of $100. This increase in the hourly rate, along with the estimated increase in the
number of filings has increased the estimated total respondent cost burden for this
collection.

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The total respondent cost burden for the currently approved collection is $1,620. With
this renewal, the USPTO estimates that the total respondent cost burden will increase
by $1,680, to $3,300 per year.
Changes in Responses and Burden Hours
The USPTO estimates that the number of responses will increase by 15, from 115 to
130 responses. Consequently, the total burden hours for this collection will increase as
well by 13, from 20 to 33 burden hours per year. Therefore, this information
collection has a net burden increase of 13 hours due to an administrative
adjustment.
Changes in Annual (Non-Hour) Costs
The USPTO estimates that the annual (non-hour) costs for this collection will increase
by $401, from $2,444 to $2,845 per year. This change is due to administrative
adjustments, as follows:
•

The USPTO estimates that applications for the recordal or renewal of an insignia
under the Fastener Quality Act submitted to the USPTO will increase, from 115 to
130 responses per year. Consequently, the USPTO estimates that the filing fee
costs associated with these applications will increase by $400, from $2,400 to
$2,800 per year. Therefore, this collection has an increase of $400 in annual
(non-hour) filing fee costs due to an administrative adjustment.

•

The USPTO believes that the applications for recordal of insignias or renewal of
recordals under the Fastener Quality Act will be mailed through the United States
Postal Service by first-class mail. Previously, the USPTO estimated that the
average first-class postage cost would be 58 cents. The United States Postal
Service has since increased first-class postage costs, leading to a revised estimate
of 75 cents. However, with the introduction of electronic mail transmission of
applications, the number of applications sent via U.S. mail is expected to decrease,
offset by the increase in the number of submissions and increased postage costs.
Consequently, the USPTO estimates that the postage cost for this collection will
increase by $1, from $44 to $45 per year. Therefore, this collection has an
increase of $1 in annual (non-hour) postage costs due to an administrative
adjustment.

Therefore, this information collection has a net burden increase of $401 in annual
(non-hour) costs associated with filing fees and postage costs due to
administrative adjustments.
16.

Project Schedule

There is no plan to publish this information for statistical use. However, the USPTO
does publish a register of active fastener insignia that is available for public inspection.

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The Fastener Insignia Register may be downloaded or viewed from the USPTO Web
site, and printed copies may be purchased from the USPTO.

17.

Display of Expiration Date of OMB Approval

The form in this information collection will display the OMB Control Number and the
date on which the OMB’s approval of this information collection expires.
18.

Exception to the Certificate Statement

This collection of information does not include any exceptions to the certificate
statement.

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

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REFERENCES
A.

Application for Recordal of Insignia or Renewal/Reactivation of Recordal Under the
Fastener Quality Act (PTO-1611)

9