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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Admittance to Practice and Roster of Registered Patent
Attorneys and Agents Admitted to Practice Before the
United States Patent and Trademark Office (USPTO)
OMB CONTROL NUMBER 0651-0012
May 2010
A.
JUSTIFICATION
1.
Necessity of Information Collection
This collection of information is required by 35 U.S.C. 2(b)(2)(D), which permits the
United States Patent and Trademark Office (USPTO) to establish regulations governing
the recognition and conduct of agents, attorneys, or other persons representing
applicants or other parties before the USPTO. This statute also permits the USPTO to
require information from applicants that shows that they are of good moral character
and reputation and have the necessary qualifications to assist applicants with the patent
process and to represent them before the USPTO.
The USPTO administers the statute through 37 CFR 1.21, 10.14, 10.170, 11.5-11.14
and 11.28. These rules address the requirements to apply for the examination for
registration and to demonstrate eligibility to be a registered attorney or agent before the
USPTO. The Office of Enrollment and Discipline (OED) collects information to
determine the qualifications of individuals entitled to represent applicants before the
USPTO in the preparation and prosecution of applications for a patent. The OED also
collects information to administer and maintain the roster of attorneys and agents
registered to practice before the USPTO. Information concerning registered attorneys
and agents is published by the OED in a public roster that can be accessed through the
USPTO web site.
The information in this collection is used by the USPTO to review applications for the
examination for registration and to determine whether an applicant may be added to, or
an existing practitioner may remain on, the Register of Patent Attorneys and Agents.
NOTE that the USPTO is approved to collect a fee under 37 CFR 11.8 and is seeking
continued approval to collect that fee. The USPTO has not implemented the changes
from that final rule or the new information collection activities associated with that
rulemaking; however, we continue to include the estimates of that burden in this
request. The USPTO at this time is not collecting that fee but is retaining an estimated
burden for the fee collection. If the agency chooses to begin collecting the fee, it will
inform the public.
PLEASE NOTE ALSO that the USPTO is requesting continued approval for items
currently approved but not collected that are associated with 37 CFR 11.13 and were
introduced as collection items on June 24, 2004 by the final rule 0651-AB55, Changes
to Representation of Others Before the United States Patent and Trademark Office (60
Fed.Reg. 35428). The Office of Management and Budget (OMB) has previously
approved the collection of these items. The USPTO has not implemented the changes
from that proposed rule or the new information collection activities associated with that
rulemaking; however, we continue to include the estimates of that burden in this
request.
If the agency determines that it will not implement the Rule and/or determines that the
fee under 37 CFR 11.8 will never be collected, the agency will request a removal of the
burden estimates from this collection.
Five new items are being introduced since the last approval:
Two new items with an associated form:
• PTO-158T Application for Reciprocal Recognition to Practice in Trademark
Matters Before the United States Patent and Trademark Office Under 37 CFR
11.14(c) by a Foreign Attorney or Agent, and
• PTO-158LS Application for Registration in the USPTO Law School Program for
Law Student to Practice Before the United States Patent and Trademark Office
Under 37 CFR 11.14(c).
Three new items with no associated form:
• Cover pages used for submitting correspondence to OED (for documents
submitted with applications, requests for reconsideration, and petitions);
• Electronic change of address submissions,
• Record keeping costs (a copy of every document submitted to OED in
connection with an application for registration).
Table 1 identifies the proposed statutory and regulatory provisions that require the
USPTO to collect this information:
Table 1: Information Requirements for Attorneys and Agents Registered to Practice Before the USPTO
Requirement
Statute
Rule
ITEMS FOR WHICH FEES CURRENTLY ARE COLLECTED
Application for Registration to Practice Before the United
States Patent and Trademark Office
35 U.S.C. 2(b)(2)(D)
37 CFR 11.6 and 11.7
Application for Registration to Practice Before the United
States Patent and Trademark Office Under 37 CFR 11.6(c)
by a Foreign Resident
35 U.S.C. 2(b)(2)(D)
37 CFR 11.6(c) and 11.7
Application for Reciprocal Recognition to Practice in
Trademark Matters Before the United States Patent and
Trademark Office Under 37 CFR 11.14(c) by a Foreign
Attorney or Agent
35 U.S.C. 2(b)(2)(D)
37 CFR 11.14(c)
Application for Registration in the USPTO Law School
Program for Law Students to Practice Before the United
States Patent and Trademark Office Under 37 CFR 11.14(c)
35 U.S.C. 2(b)(2)(D)
37 CFR 11.14(c)
2
Registration Examination to Become a Registered
Practitioner
35 U.S.C. 2(b)(2)(D)
37 CFR 11.7(b)(1)(ii)
Undertakings Completed by Former USPTO Employees who
Served in the Patent Examining Corps Who Desire to
Register to Practice Before the United States Patent and
Trademark Office Under 37 CFR 11.10(b)
35 U.S.C. 2(b)(2)(D)
37 CFR 11.10(b)
Data Sheet completed by Patent Attorneys and Agents
registering to practice before the United States Patent and
Trademark Office
35 U.S.C. 2(b)(2)(D)
37 CFR 11.5 and 11.11
Oath or Affirmation
35 U.S.C. 2(b)(2)(D)
37 CFR 11.8
Reinstatement to the Register
35 U.S.C. 2(b)(2)(D)
37 CFR 11.11
Written request for reconsideration and further review of
disapproval notice of application
35 U.S.C. 2(b)(2)(D)
37 CFR 11.2(c) and (d)
Petitions to the Director of the Office of Enrollment and
Discipline under 37 CFR 11.12(c)
35 U.S.C. 2(b)(2)(D)
37 CFR 10.170
ITEMS FOR WHICH FEES CURRENTLY ARE NOT COLLECTED
Petition for reinstatement after disciplinary removal under 37
CFR 11.7(h)
35 U.S.C. 2(b)(2)(D)
37 CFR 11.7(h)
Annual Practitioner Maintenance Fee
35 U.S.C. 2(b)(2)(D)
37 CFR 1.21(a)(2)
Annual Fee, Limited Recognition
35 U.S.C. 2(b)(2)(D)
37 CFR 11.9
Voluntary Inactive Status
35 U.S.C. 2(b)(2)(D)
37 CFR 11.11
Request for restoration to active status from voluntary
inactive status
35 U.S.C. 2(b)(2)(D)
37 CFR 11.11
Balance of annual fee due on restoration to active status from
voluntary inactive status
35 U.S.C. 2(b)(2)(D)
37 CFR 11.8
Delinquency fee for annual fee
35 U.S.C. 2(b)(2)(D)
37 CFR 11.8
Reinstatement Fee (fee required to be paid after the due date
of the required annual fee)
35 U.S.C. 2(b)(2)(D)
37 CFR 11.11
Sponsor Application for USPTO Continuing Legal Education
(CLE)
35 U.S.C. 2(b)(2)(D)
37 CFR 11.13
Certification of Attendance at USPTO-approved CLE Training
35 U.S.C. 2(b)(2)(D)
37 CFR 11.13
Practitioner Request for Paper Version of CLE
35 U.S.C. 2(b)(2)(D)
37 CFR 11.13
On-Line Version of the seminar CLE
35 U.S.C. 2(b)(2)(D)
37 CFR 11.12
Paper Version of the CLE
35 U.S.C. 2(b)(2)(D)
37 CFR 11.13
Practitioner’s supporting documentation for a motion to hold
in abeyance a disciplinary proceeding because of a current
disability or addiction
35 U.S.C. 2(b)(2)(D)
37 CFR 11.28
2.
Needs and Uses
This information in this collection is used by the Director of OED to determine whether
the applicant for registration is of good moral character and repute; has the necessary
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legal, scientific, and technical qualifications; and is otherwise competent to advise and
assist applicants in the presentation and prosecution of applications for patent grants.
The information supplied by an applicant seeking to apply for the examination for
registration and/or to request that they be included on the Register of Patent Attorneys
and Agents is used by the USPTO to review applicants for the examination and to
determine whether an applicant may be added to, or an existing practitioner may remain
on, the Register of Patent Attorneys and Agents.
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.,
OMB and specific operating unit guidelines.
This proposed collection of information would 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 outlines how this information is used by the public and by the USPTO. There
are eight forms associated with this collection.
Table 2: Needs and Uses of Information Collected from Registering Attorneys and Agents
Form and Function
Form #
Needs and Uses
ITEMS FOR WHICH FEES CURRENTLY ARE COLLECTED
Application for Registration to Practice
Before the United States Patent and
Trademark Office
(Ref. A)
•
•
Form PTO-158
•
•
•
•
Application for Registration to Practice
Before the United States Patent and
Trademark Office Under 37 CFR 11.6(c) by
a Foreign Resident
(Ref. B)
Form PTO-158A
•
•
•
•
•
•
4
Used by domestic applicants to apply for registration.
Used by practitioners to ensure that all of the necessary
information is provided to the USPTO.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by the USPTO to determine whether the applicant
possesses good moral character.
Used by the USPTO to register applicants.
Used by foreign applicants to apply for registration.
Used by practitioners to ensure that all of the necessary
information is provided to the USPTO.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by the USPTO to determine whether the applicant
possesses good moral character.
Used by the USPTO to register applicants.
Application for Reciprocal Recognition to
Practice in Trademark Matters Before the
United States Patent and Trademark Office
Under 37 CFR 11.14(c) by a Foreign
Attorney or Agent
(Ref. C)
Form PTO-158T
•
•
•
•
•
Application for Registration in the USPTO
Law School Program for Law Students to
Practice Before the United States Patent
and Trademark Office Under 37 CFR
11.14(c)
(Ref. D)
Form PTO-158LS
•
•
•
•
Registration Examination to Become a
Registered Practitioner
•
•
No Form
Associated
•
•
•
Undertaking Under 37 CFR 11.10(b)
Ref. (E)
•
Form PTO/275
•
•
Data Sheet – Register of Patent Attorneys
and Agents
(Ref. F)
Form PTO-107A
•
•
•
•
•
•
Oath or Affirmation
(Ref. G)
Form PTO-1209
•
•
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Used by foreign applicants to apply for recognition to
practice in trademark cases.
Used by foreign applicants to show they have met all the
necessary requirements to prosecute an application for
trademark registration.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements for trademark
prosecution cases.
Used by the USPTO to determine whether the applicant
possesses good moral character.
Used by the USPTO to recognize applicants.
Used by students to show that they are enrolled in a Law
School participating in an Intellectual Property Law Clinic
Program.
Used by students to show they have met all the
necessary requirements in coursework in patent and
trademark prosecution.
Used by the USPTO to determine whether the students
have the required courses necessary to participate in the
USPTO Law School Program.
Used by the USPTO to accept students into the USPTO
Law School Program.
Used by domestic applicants to apply for registration.
Used by domestic applicants to ensure that all of the
necessary information is provided to the USPTO.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by the USPTO to determine whether the applicant
possesses good moral character.
Used by the USPTO to register applicants.
Used by applicants who are former employees of the
USPTO to agree in writing that they will not aid in the
prosecution or preparation of any papers or applications
associated with applications reviewed while in the
employ of the USPTO.
Used by applicants who are former employees of the
USPTO to apply for a waiver in the scope of the
undertaking to specify areas where they may not aid in
the prosecution or preparation of any papers or
applications associated with applications reviewed while
in the employ of the USPTO.
Used by the USPTO to determine whether the applicant
is a former USPTO employee.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by all applicants requesting to be admitted to
practice before the USPTO.
Used by the USPTO to admit an applicant to practice
before the USPTO.
Reinstatement to the Register
(Ref. F)
Form PTO-107A
•
•
•
•
Written Request for Reconsideration and
Further Review of Disapproval Notice of
Application
•
No Form
Associated
•
•
•
•
Petition to the Director of the Office of
Enrollment and Discipline under 37 CFR
11.12(c)
•
No Form
Associated
•
Cover pages used for submitting
correspondence to OED (for documents
submitted with applications, requests for
reconsideration, and petitions)
•
No Form
Number
•
•
Change of address – electronic submission
(Ref. K)
•
Electronic
Submission
Format
•
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by the public to submit a written request for
reconsideration of a disapproval notice for admission to
the registration examination.
Used by the public to request further review or
consideration of their application.
Used by the applicant to appeal to the Director of the
USPTO for admission to the registration examination.
Used by the USPTO to reconsider a disapproval notice
for admission to the registration examination.
Used by the USPTO to grant admission to the
registration examination after further review and
reconsideration.
Used by the public to request in writing that a
requirement of the regulations, which is not a
requirement of the statutes, be suspended or waived by
the Director in an extraordinary situation, when justice
requires.
Used by the USPTO to determine whether a request that
a requirement of the regulations, which is not a
requirement of the statutes, be suspended or waived by
the Director in an extraordinary situation, when justice
requires, should be granted.
Used by applicants and practitioners (as required) for
requesting (1) reconsideration of a decision by OED staff
and (2) petitions.
Used by applicants and practitioners (as required) to
expedite the processing of applications, documents and
correspondence.
Used by the USPTO to provide faster processing of
applications and correspondence.
Used by practitioners to maintain current roster contact
information with the USPTO.
Used by the USPTO to maintain the Official Roster of
Attorneys and Agents.
ITEMS FOR WHICH FEES CURRENTLY ARE NOT COLLECTED
Petition for reinstatement after disciplinary
removal under 37 CFR 11.7(h)
•
No Form
Associated
•
6
Used by a practitioners or agents to apply for recognition
or registration after disbarment, suspension on ethical
grounds, or resignation pending disciplinary proceedings
in any other jurisdiction; for asserting rehabilitation
following denial of a previous application on moral
character grounds, or on application for recognition of
registration after conviction of a felony or a crime
involving moral turpitude or breach of fiduciary duty; and
on petition for reinstatement after exclusion or
suspension on ethical grounds, or exclusion on consent
from practice before the USPTO.
Used by the USPTO to process requests for
reinstatement after disciplinary removal.
Annual Practitioner Maintenance Fee
(Ref. H)
Form PTO-2126
•
•
•
•
•
•
Annual Fee, Limited Recognition
(Ref. H)
Form PTO-2126
•
•
•
•
•
•
Voluntary Inactive Status
(Ref. H)
Form PTO-2126
•
•
•
•
Request for restoration to active status from
voluntary inactive status
(Ref. H)
Form PTO-2126
•
•
•
•
•
•
7
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Balance due on restoration to active status
from voluntary inactive status
(Ref. H)
Form PTO-2126
•
•
•
•
•
•
Delinquency fee for annual fee
(Attachment H)
Form PTO-2126
•
•
•
•
•
•
Reinstatement Fee
(fee required to be paid after the due date
of the required annual fee)
(Ref. H)
Form PTO-2126
•
•
•
•
•
•
Sponsor application for USPTO Continuing
Legal Education (CLE)
(Ref. I)
Form PTO-2149
Certification of Attendance at USPTOapproved CLE Training
(Ref. J)
Form PTO-2150
Practitioner request for paper version of
CLE
•
•
•
•
•
No Form
Associated
•
On-line version of the seminar CLE
•
No Form
Associated
•
8
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by domestic applicants to request that they be
included on the Register of Patent Attorneys and Agents.
Used by applicants and registered practitioners to
provide updated information such as addresses.
Used by registered practitioners to respond to periodic
surveys to verify current address and status.
Used by the USPTO to determine whether the applicant
can be included on the Register of Patent Attorneys and
Agents.
Used by the USPTO to determine whether the attorney
or agent may remain on the Register of Patent Attorneys
and Agents.
Used by the USPTO to update current address and/or
status of applicants and registered practitioners.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Paper Version of the CLE
•
No Form
Associated
•
Practitioner’s supporting documentation for
a motion to hold in abeyance a disciplinary
proceeding because of a current disability
or addiction
3.
•
No Form
Associated
•
Used by practitioners to show they have met all of the
necessary requirements.
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements.
Used by practitioners or agents to apply for a motion to
be held in abeyance after a disciplinary proceeding
because of a current disability or addiction.
Used by the USPTO to process requests for holding a
disciplinary proceeding in abeyance because of a
current disability or addiction.
Use of Information Technology
The USPTO does not use automated, electronic, mechanical, or other technological
collection techniques for the majority of the collection of this information.
At the present time, the USPTO does provide the option of fillable forms for the
Application Form (PTO-158) and the Undertaking Form (PTO-275). This means that
the respondent may type directly into the form on the computer. After typing the
information into the form, the form will have to be printed locally, signed, and then
submitted to the USPTO in accordance with the instructions in the General
Requirements Bulletin. It is possible that the USPTO may provide this capability for all
of the forms in this collection as it moves toward full electronic filing.
In June 2009 OED implemented online accounts for registered practitioners.
Registered practitioners are able to update their contact information by this method, or
they may elect to continue to complete and submit a paper Change of Address form.
This feature gives the practitioner full control over their address information. OED does
not change or retype the information.
At implementation, all active practitioners were mailed two letters: one contained ID
information and the other contained password information. Since implementation,
account information is sent to newly registered practitioners and to practitioners who
request a re-mailing.
After receiving their two letters, practitioners go online to the OED On-Line Change of
Address for Practitioners website to login to the Registered Practitioner Sign In. After
completing their information, OED updates the Official Roster of Patent Attorneys and
Agents.
The information that is collected by the USPTO to include the attorneys and agents
recognized to practice before the USPTO on the register can be accessed by the public
through the USPTO’s website. When the applicant clicks on the link to the Roster of
Patent Attorneys and Agents, the “Patent Attorneys and Agents Registered to Practice
before the USPTO” page will open. From this page, the applicant can search for
registered patent attorneys and agents through a search engine, by geographical
region, or by searching through the entire list of registered patent attorneys and agents.
The actual attorney names are all formatted in the same manner, regardless of the
9
search conducted: last name, street address, city, state, zip code, telephone number
(optional), registration number, and an indication of attorney/agent/government
employee status.
If the USPTO is notified by the patent office of another country that a registered patent
agent is no longer registered or no longer in good standing before the patent office of
that country, and does not show good cause why his or her name should not be
removed from the register, the Director of OED shall promptly remove the name from
the register and publish that the name has been removed. The Director of OED will
also remove the names of patent agents who are no longer living in the country in which
they are registered and publish that the names have been removed.
The Director of OED can publish on the Internet the names and business addresses of
all individuals seeking registration or recognition who pass the examination or for whom
examination has been waived, in addition to publishing a notice in the Official Gazette of
the United States Patent and Trademark Office to solicit information bearing on their
moral character and reputation. The Director of OED also publishes notices of
administrative suspensions.
4.
Efforts to Identify Duplication
The information in this collection is received prior to any other use by the USPTO. The
business address of the applicant for registration may be duplicated on individual patent
applications. For example, an address to which correspondence should be mailed is
required with each application for a patent, and in some cases may, in fact, consist of
the same information required by this collection. Furthermore, the address required on
each patent application is specific to each applicant for the patent and not necessarily to
the attorney or agent.
5.
Minimizing the Burden to Small Entities
This collection of information does not impose a significant economic impact on small
entities or small businesses.
6.
Consequences of Less Frequent Collection
This information is collected only at the time of filing for recognition to practice before
the USPTO or to update the roster of registered practitioners as needed (attorneys or
agents can submit updates to their roster information by letter). It could not be
conducted less frequently. If the collection of information were not conducted, the
USPTO would not be able to admit registered practitioners to practice before the
USPTO or keep the roster of registered practitioners updated.
7.
Special Circumstances in the Conduct of Information Collection
There are no special circumstances associated with this collection of information.
10
8.
Consultation Outside the Agency
The 60-Day Notice was published in the Federal Register on December 11, 2009 (74
Fed Reg. 65733). The comment period ended on February 9, 2010. No public
comments were received.
The USPTO has long-standing relationships with groups from who patent application
data is collected, such as the American Intellectual Property Law Association (AIPLA),
as well as patent bar associations, inventor groups, and users of our public facilities.
Their views are expressed in regularly scheduled meetings and considered in
developing proposals for information collection requirements. There have been no
comments or concerns expressed by these or similar organizations concerning the time
required to provide the information under this program.
9.
Payment or Gifts to Respondents
This information collection does not involve a payment or gift to any respondent.
Response to this information collection is necessary to be recognized by the USPTO as
a registered attorney or agent.
10.
Assurance of Confidentiality
Confidentiality is governed by statute 35 U.S.C. 122 and regulations 37 CFR 1.11 and
1.14. This collection contains information of a confidential (personal) nature, which is
subject to the Privacy Act. This information is collected on Forms PTO-158 Application
for Registration to Practice Before the United States Patent and Trademark Office,
PTO/275 Undertaking Under 37 CFR 11.10(b), and PTO-107A Data Sheet – Register of
Patent Attorneys and Agents. Privacy Act Statements are included on all of these
forms. A Systems of Records Notice was published in the Federal Register on
November 16, 2005 (70 Fed Reg. 69520). Administrative controls, such as storage of
records in lockable metal file cabinets or in metal file cabinets in secured rooms or
premises, or electronic files stored in secure premises with access limited to those
whose official duties require access, are used to safeguard this information as
appropriate.
11.
Justification for Sensitive Questions
The USPTO does request information of a sensitive nature on Forms PTO-158
Application for Registration to Practice Before the United States Patent and Trademark
Office, PTO-158A Application for Registration to Practice Before the United States
Patent and Trademark Office Under 37 CFR 11.6(c) By a Foreign Resident, PTO-158T
Application for Reciprocal Recognition to Practice in Trademark Matters Before the
United States Patent and Trademark Office Under 37 CFR 11.14(c), PTO-158LS
Application for Registration in the USPTO Law School Program for Law Students to
11
Practice Before the United States Patent and Trademark Office Under 37 CFR 11.14(c),
and PTO-107A Data Sheet – Register of Patent Attorneys and Agents.
35 U.S.C. 31 requires that attorneys, agents, and others possess good moral character
and reputation before they are allowed to represent applicants. The information
requested is used in making a determination of the suitability of the applicant as a
potential registered patent attorney or agent. On the application forms and on the data
sheet, the USPTO informs the applicant that candor and truthfulness are considered to
be significant elements of fitness relevant to practicing before the USPTO, and that they
should provide all information, even if it is unfavorable. If the applicant answers “Yes” to
any of the questions, the USPTO also requests that the applicant provide a written
statement detailing all of the facts of the situation and any associated documentation.
The USPTO also warns the applicant on the form that failure to disclose any of the
requested information may result in either denial of registration or disciplinary
proceedings under 37 CFR 11.22 if the applicant becomes a registered patent attorney
or agent. The applicant also certifies by his or her signature that all of the information
provided in the application is true and correct. The applicant is additionally warned that
any willfully false statement or certification is considered to be a criminal offense and is
punishable by law under 18 U.S.C. 1001.
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 it receives approximately 93,340 responses annually.
•
Burden Hour Calculation Factors
The USPTO estimates that it will take the public from approximately 1 minute (0.02
hours) to 40 hours, depending upon the complexity of the situation, to gather the
necessary information, prepare the appropriate form or documents, and submit the
information to the USPTO.
•
Cost Burden Calculation Factors
The cost to respondents for taking the registration examination is estimated to be at the
rate of $39 per hour. The USPTO estimates that the remaining items in this collection
will primarily be supplied by professionals (patent attorneys and agents). The cost of
providing the requested information by each individual respondent is realistically
projected to be $50.00. However, one could consider the time spent in providing this
information as billable hours lost to any attorney. To arrive at a high-end figure, the cost
burden would be derived by multiplying the burden hours by $325 per hour, which is the
professional rate for attorneys in private forms as published in a report by the 2009
Committee on Economics of Legal Practice of the American Intellectual Property Law
Association. This information, however, is not billable to the private firm, in that it is not
related to any specific application, but rather to the overall practice of the attorney or
agent. This is a fully-loaded hourly rate.
12
Table 3: Burden Hour/Burden Cost to Respondents
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
ITEMS FOR WHICH FEES CURRENTLY ARE COLLECTED
Application for Registration to Practice Before the
United States Patent and Trademark Office
(includes both the computerized exam and the
USPTO-administered exam)
Form PTO-158
0.50
4,420
2,210
$325.00
$718,250.00
Application for Registration to Practice Before the
United States Patent and Trademark Office
(former examiners; examination waived)
Form PTO-158
0.50
100
50
$325.00
$16,250.00
Application for Registration to Practice Before the
United States Patent and Trademark Office Under 37
CFR 11.6(c) by a Foreign Resident
(examination waived)
Form PTO-158A
0.50
100
50
$325.00
$16,250.00
Application for Reciprocal Recognition to Practice in
Trademark Matters Before the United States Patent
and Trademark Office Under 37 CFR 11.14(c) by a
Foreign Attorney or Agent
(examination waived)
Form PTO-158T
0.50
25
13
$325.00
$4,225.00
Application for Registration in the USPTO Law School
Program for Law Students to Practice Before the
United States Patent and Trademark Office Under 37
CFR 11.14(c)
(examination waived) (Law School students only)
Form PTO-158LS
0.50
60
30
$325.00
$9,750.00
Registration Examination to Become a Registered
Practitioner
7.00
4,420
30,940
$39.00
$1,206,660.00
Undertaking under 37 CFR 11.10(b)
PTO/275
0.33
520
172
$325.00
$55,900.00
Data Sheet – Register of Patent Attorneys and Agents
(individuals passing the registration exam)
PTO-107A
0.17
1,995
339
$325.00
$110,175.00
Data Sheet – Register of Patent Attorneys and Agents
(foreign applicants)
PTO-107A
0.17
100
17
$325.00
$5,525.00
Data Sheet – Register of Patent Attorneys and Agents
(former examiners seeking registration)
PTO-107A
0.17
100
17
$325.00
$5,525.00
Oath or Affirmation
PTO-1209
0.08
2,195
176
$325.00
$57,200.00
Reinstatement to the Register
PTO-107A
0.17
30
5
$325.00
$1,625.00
Written request for reconsideration and further review
of disapproval notice of application
1.50
30
45
$325.00
$14,625.00
Petition to the Director of the Office of Enrollment and
Discipline Under 37 CFR 11.12(c)
0.75
20
15
$325.00
$4,875.00
13
Cover pages used for submitting correspondence to
OED (for documents submitted with applications,
requests for reconsideration, and petitions)
0.02
7,500
150
$325.00
$48,750.00
Change of address – electronic submission
0.03
4,200
126
$325.00
$40,950.00
ITEMS FOR WHICH FEES CURRENTLY ARE NOT COLLECTED
Petition for reinstatement after disciplinary removal
under 37 CFR 11.7(h)
40.00
4
160
$325.00
$52,000.00
Annual Practitioner Maintenance Fee
Form PTO-2126
0.17
32,500
5,525
$325.00
$1,795,625.00
Annual Fee, Limited Recognition
Form PTO-2126
0.17
200
34
$325.00
$11,050.00
Voluntary Inactive Status
Form PTO-2126
0.17
2,000
340
$325.00
$110,500.00
Request for Restoration to Active Status from
Voluntary Inactive Status
Form PTO-2126
0.17
700
119
$325.00
$38,675.00
Balance of Annual Fee Due on Restoration to Active
Status from Voluntary Inactive Status
Form PTO-2126
0.17
700
119
$325.00
$38,675.00
Delinquency Fee for Annual Fee
Form PTO-2126
0.17
2,100
357
$325.00
$116,025.00
Reinstatement Fee
(fee required to be paid after the due date of the
required annual fee)
Form PTO-2126
0.17
420
71
$325.00
$23,075.00
Sponsor Application for USPTO Continuing Legal
Education (CLE)
Form PTO-2149
1.00
350
350
$325.00
$113,750.00
Certification of Attendance at USPTO-approved CLE
Training
Form PTO-2150
1.00
350
350
$325.00
$113,750.00
Practitioner request for paper version of CLE
0.08
100
8
$325.00
$2,600.00
On-Line version of the seminar CLE
2.00
28,000
56,000
$325.00
$18,200,000.00
Paper version of the CLE
2.00
100
200
$325.00
$65,000.00
40.00
1
40
$325.00
$13,000.00
- - - - -
93,340
98,028
Practitioner’s supporting documentation for a motion
to hold in abeyance a disciplinary proceeding
because of a current disability or addiction
Total
13.
- - - -
$23,010,260.00
Total Annualized (Non-hour) Cost Burden
There are no capital start-up or maintenance costs associated with this information
collection. However, this collection does have (non-hour) costs due to record keeping
requirements, filing fees, and mailing costs.
14
There are record keeping costs for this collection as a result of the Oath which includes
a notary public requirement. The average fee for having a document notarized is $2.
The USPTO estimates that it will receive 2,195 responses to this information collection
per year as a result of this notary requirement, for a total cost of $4,390 per year. Also,
another record keeping cost is being added into the collection. The General
Requirements Bulletin recommends that “applicants should make and keep a copy of
every document submitted to the Office in connection with an application for
registration.” The USPTO estimates that it will take an applicant approximately 5
minutes (0.08 hours) to print and retain a copy of the submissions and that
approximately 4,700 responses will be made per year, for a total of 376 hours. Using
the professional rate of $325 per hour for attorneys in private firms, the USPTO
estimates that the record keeping cost associated with this copy requirement will be
$122,200 per year, for a total record keeping cost of $126,590 ($4,390 + $122,200).
The application fees are broken out to demonstrate that the application forms can cover
any one of five different categories: as applicable when used for the registration
examination fee for the USPTO-administered exam and the computerized exam
administered by a commercial entity; as applicable when used for registration fees only
(former examiners; examination waived); as applicable when used for registration fees
for those who must prove fitness to practice); and as applicable when used for
registration fees by a foreign resident (examination waived).
The total annual non-hour cost burden associated with filing fees is $5,561,840, as
outlined in Table 4 below:
Table 4: Filing Fees – Non-hour Cost Burden
Item
Responses
(a)
Filing fee
($)
(b)
Total Non-Hour
Cost Burden
(a) x (b)
(c)
ITEMS FOR WHICH FILING FEES CURRENTLY ARE COLLECTED
Non-Refundable Application Fee for Registration to Practice Before
the United States Patent and Trademark Office (includes both the
computerized exam and the USPTO-administered exam)
4,420
$40.00
$176,800.00
Non-Refundable Application Fee for Enrollment and/or Reinstatement
to Practice Before the United States Patent and Trademark Office
under 37 CFR 1.21(a)(10) (those who must prove fitness to practice)
35
$1,600.00
$56,000.00
Application Fee for Registration to Practice Before the United States
Patent and Trademark Office, as applicable when used for registration
fees only (former examiners; examination waived)
100
$40.00
$4,000.00
Application for Registration to Practice Before the United States
Patent and Trademark Office Under 37 CFR 11.6(c) by a Foreign
Resident (examination waived)
100
$40.00
$4,000.00
25
$40.00
$1,000.00
Application Fee for Reciprocal Recognition to Practice in Trademark
Matters Before the United States Patent and Trademark Office Under
37 CFR 11.14(c) by a Foreign Attorney/Agent (examination waived)
15
Application for Registration in the USPTO Law School Program for
Law Students to Practice Before the United States Patent and
Trademark Office Under 37 CFR 11.14(c) (examination waived; Law
School students only)
60
$0.00
$0.00
Registration examination fee for administration of computerized
examination to become a registered patent practitioner administered
by the USPTO (USPTO-administered exam)
20
$450.00
$9,000.00
Registration examination fee for administration of computerized
examination to become a registered patent practitioner administered
by a commercial entity (computer exam)
4,400
$200.00
$880,000.00
520
$0.00
$0.00
Data Sheet – Register of Patent Attorneys and Agents
(includes applicants that passed the examination, former examiners,
and foreign applicants)
2,195
$100
$219,500.00
Oath or Affirmation
2,195
$0.00
$0.00
Reinstatement to the Register
30
$100.00
$3,000.00
Written request for reconsideration and further review of disapproval
notice of application
30
$130.00
$3,900.00
Petition to the Director of the Office of Enrollment and Discipline under
11.12(c)
20
$130.00
$2,600.00
Cover pages used for submitting correspondence to OED (for
documents submitted with applications, requests for reconsideration,
and petitions)
7,500
$0.00
$0.00
Change of address – electronic submission
4,200
$0.00
$0.00
4
$1,600.00
$6,400.00
32,500
$118.00
$3,835,000.00
200
$118.00
$23,600.00
2,000
$25.00
$50,000.00
Request for restoration to active from voluntary inactive status
700
$50.00
$35,000.00
Balance of annual fee due on restoration to active from voluntary
inactive status
700
$93.00
$65,100.00
2,100
$50.00
$105,000.00
Reinstatement Fee
(required to be paid after the due date of the required annual fee or
CLE)
420
$100.00
$42,000.00
Sponsor Application for USPTO CLE
350
$60.00
$21,000.00
Certification of Attendance at USPTO-approved CLE Training
350
$0.00
$0.00
Practitioner request for paper version of CLE program and furnished
narrative
100
$75.00
$7,500.00
28,000
$0.00
$0.00
Undertaking under 37 CFR 11.10(b)
Total for Filing Fees Currently Collected
$1,359,800.00
ITEMS FOR WHICH FILING FEES CURRENTLY ARE NOT COLLECTED
Petition for reinstatement after disciplinary removal under 11.7(h)
Annual Practitioner Maintenance Fee
Annual Fee, Limited Recognition
Voluntary Inactive Status
Delinquency Fee for annual fee
(fee paid after the due date and for CLE)
On-line version of the seminar CLE
16
Paper version of the CLE
100
$0.00
$0.00
1
$11,440.00
$11,440.00
Practitioner’s supporting documentation for a motion to hold in
abeyance a disciplinary proceeding because of a current disability or
addiction
Total for Filing Fees Currently Not Collected
$4,202,040.00
TOTAL
93,375
$5,561,840.00
There are mailing costs from postage fees that also need to be added into this
collection. The General Requirements Bulletin for Admission to the Examination for
Registration to Practice in Patent Cases Before the USPTO States that all business with
the USPTO should be transacted in writing. Personal attendance is unnecessary. The
actions of the OED will be based exclusively on the written record in the USPTO (37
CFR 1.2). All documents may be submitted to the USPTO by first-class mail through
the United States Postal Service. All correspondence may include a certificate of
mailing for each piece of correspondence enclosed, stating the date of deposit or
transmission to the USPTO. Postage costs will range from $0.44 to $4.80.
Consequently, the USPTO estimates that it will receive 93,340 responses to this
information collection per year subject to mailing costs, for a total cost of $21,713 per
year in postage fees.
Table 5: Postage Fees – Non-hour Cost Burden
Item
Responses
(a)
Postage Fee
($)
(b)
Total Non-Hour
Cost Burden
(a) x (b)
(c)
ITEMS FOR WHICH POSTAGE FEES CURRENTLY ARE COLLECTED
4,420
$0.61
$2,696.00
Application for Registration to Practice Before the United States
Patent and Trademark Office (former examiners; examination waived)
100
$0.61
$61.00
Application for Registration to Practice Before the United States
Patent and Trademark Office Under 37 CFR 11.6(c) by a Foreign
Resident (examination waived)
100
$0.44
$44.00
Application for Reciprocal Recognition to Practice in Trademark
Matters Before the United States Patent and Trademark Office Under
37 CFR 11.14(c) by a Foreign Attorney or Agent (examination waived)
25
$0.61
$15.00
Application for Registration in the USPTO Law School Program for
Law Students to Practice Before the United States Patent and
Trademark Office Under 37 CFR 11.14(c) (examination waived; Law
School students only)
60
$0.00
$0.00
4,420
$0.00
$0.00
520
$0.00
$0.00
2,195
$0.44
$966.00
Application for Registration to Practice Before the United States
Patent and Trademark Office (includes both the computerized exam
and the USPTO-administered exam)
Registration Examination to become a registered practitioner
Undertaking under 37 CFR 11.10(b)
Data Sheet – Register of Patent Attorneys and Agents
(includes applicants that passed the examination, former examiners,
and foreign applicants)
17
Oath or Affirmation
2,195
$0.00
$0.00
Reinstatement to the Register
30
$0.44
$13.00
Written request for reconsideration and further review of disapproval
notice of application
30
$0.61
$18.00
Petition to the Director of the Office of Enrollment and Discipline under
37 CFR 11.12(c)
20
$1.73
$35.00
Cover pages used for submitting correspondence to OED (for
documents submitted with applications, requests for reconsideration,
and petitions)
7,500
$0.00
$0.00
Change of address – electronic submission
4,200
$0.00
$0.00
Total for Postage Currently Collected
$3,848.00
ITEMS FOR WHICH POSTAGE FEES CURRENTLY ARE NOT COLLECTED
Petition for reinstatement after disciplinary removal under 37 CFR
11.7(h)
4
$0.78
$3.00
32,500
$0.44
$14,300.00
200
$0.44
$88.00
2,000
$0.44
$880.00
Request for restoration to active from voluntary inactive status
700
$0.44
$308.00
Balance of annual fee due on restoration to active from voluntary
inactive status
700
$0.44
$308.00
2,100
$0.44
$924.00
Reinstatement fee
(required to be paid after the due date of the required annual fee or
CLE)
420
$0.44
$185.00
Sponsor application for USPTO CLE
350
$1.73
$606.00
Certification of attendance at USPTO-approved CLE training
350
$0.61
$214.00
Practitioner request for paper version of CLE program and furnished
narrative
100
$0.44
$44.00
28,000
$0.00
$0.00
100
$0.00
$0.00
1
$4.80
$5.00
93,340
- - - - -
$21,713.00
Annual Practitioner Maintenance Fee
Annual Fee, Limited Recognition
Voluntary Inactive Status
Delinquency fee for annual fee
(fee paid after the due date and for CLE)
On-line version of the seminar CLE
Paper version of the CLE
Practitioner’s supporting documentation for a motion to hold in
abeyance a disciplinary proceeding because of a current disability or
addiction
Total for Postage Currently Not Collected
$17,865.00
TOTAL
Therefore, the total annualized (non-hour) cost burden for this collection from record
keeping requirements ($126,590), filing fees ($5,561,840), and mailing costs ($21,713)
amounts to $5,710,143.
18
14.
Annual Cost to the Federal Government
The burden hours for relevant items are broken out below (and rounded off to arrive at a
total) to take into account the different efforts required of the USPTO for handling the
files and related tasks, along with any required follow-up activities to process the
various components. The USPTO estimates that it takes a GS-9, step 5 and a GS-15,
step 5 between 5 minutes (0.08 hours) and 40 hours to process the majority of the
information in this collection. The hourly rate for a GS-9, step 5, is currently $28.04.
When 30% is added to account for a fully loaded hourly rate (benefits and overhead),
the cost per hour is $28.04 + $8.42, for a rate of $36.46. The hourly rate for a GS-15,
step 5, is currently $67.21. When 30% is added to account for a fully loaded hourly rate
(benefits and overhead), the cost per hour is $67.21 + $20.16, for a rate of $87.37.
The USPTO estimates that it will take a GS-15, step 5, 1,500 hours develop and
maintain a data bank of 2,000 questions and answers for the registration examination to
become a registered practitioner. The hourly rate for a GS-15, step 5, is currently
$67.21. When 30% is added to account for a fully loaded hourly rate (benefits and
overhead), the cost per hour is $67.21 + $20.16, for a rate of $87.37.
For the cover pages, there is no processing time for the USPTO. Implementation of the
cover pages is a time-saving measure for the USPTO in that it simplifies document
identification. However, at the present time, document identification is done by
contractor support, General Clerk category. The USPTO estimates that it takes a
General Clerk approximately 1 minute (0.02 hours) to process a cover page. The hourly
rate for a General Clerk is $31.25 per hour. This is a fully-loaded hourly rate.
There is no processing time for the USPTO regarding the events associated with an
actual address change submitted electronically. The USPTO does not review or
otherwise intervene with address changes that practitioners input directly from their own
online accounts. However, the USPTO does incur processing time and costs with
regard to creating new or resending User ID and Password Notices for practitioner
online accounts. The USPTO estimates that it will take a GS-12, step 1, an average of
2 minutes (0.03 hours) for manual activities associated with account management
(generating letters, placing orders for automated notices, etc.). The hourly rate for a
GS-12, step 1, is currently $35.88. When 30% is added to account for a fully loaded
hourly rate (benefits and overhead), the cost per hour is $35.88 + $10.76, for a rate of
$46.64.
Table 6 calculates the processing hours and costs of this information collection to the
Federal Government:
19
Table 6: Burden Hour/Burden Cost to the Federal Government
Item
Responses
(yr)
(b)
Hours
(a)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
ITEMS FOR WHICH FEES CURRENTLY ARE COLLECTED
Application for Registration to Practice Before the
United States Patent and Trademark Office
(includes both the computerized exam and the
USPTO-administered exam)
0.25
4,420
900
$36.46
$29,250.00
Application for Registration to Practice Before the
United States Patent and Trademark Office
(former examiners, examination waived)
0.25
100
25
$36.46
$813.00
Application for Registration to Practice Before the
United States Patent and Trademark Office Under
37 CFR 11.6(c) by a Foreign Resident
(examination waived)
0.25
100
25
$36.46
$813.00
Application for Reciprocal Recognition to Practice
in Trademark Matters Before the United States
Patent and Trademark Office Under 37 CFR
11.14(c) by a Foreign Attorney or Agent
(examination waived)
0.25
25
6
$36.46
$219.00
Application for Registration in the USPTO Law
School Program for Law Students to Practice
Before the United States Patent and Trademark
Office Under 37 CFR 11.14(c) (examination
waived; Law School Students only)
0.25
60
15
$36.46
$547.00
Registration examination to become a registered
practitioner
7.00
4,420
24,500
$36.46
$796,250.00
Undertaking under 37 CFR 11.10(b)
0.25
520
130
$36.46
$4,225.00
Data Sheet – Register of Patent Attorneys and
Agents (includes applicants that passed the
examination, former examiners, and foreign
applicants)
0.25
2,195
549
$36.46
$17,843.00
Oath or Affirmation
0.08
2,195
176
$36.46
$5,720.00
2,400
30
$87.37
$36.46
$186,984.00
$975.00
40
8
$87.37
$36.46
$3,116.00
$260.00
32
6
$87.37
$36.46
$2,493.00
$195.00
Reinstatement to the Register
GS-15, step 5
GS-9, step 5
30
40.00
0.50
Written request for reconsideration and further
review of disapproval notice of application
GS-15, step 5
GS-9, step 5
Petition to the Director of the Office of Enrollment
and Discipline under 37 CFR 11.12(c)
GS-15, step 5
GS-9, step 5
30
8.00
1.50
20
16.00
3.00
Cover pages used for submitting correspondence
to OED (for documents submitted with
applications, requests for reconsideration, and
petitions)
0.02
7,500
150
$31.25
$4,688.00
Change of address – electronic submission
0.08
3,484
279
$46.64
$13,013.00
ITEMS FOR WHICH FEES CURRENTLY ARE NOT COLLECTED
20
Petition for reinstatement after disciplinary
removal under 37 CFR 11.12(c)
40.00
4
160
$77.91
$12,466.00
Annual Practitioner Maintenance Fee
0.50
32,500
12,460
$36.46
$404,950.00
Annual Fee, Limited Recognition
0.50
200
100
$36.46
$3,250.00
Voluntary Inactive Status
0.50
2,000
1,000
$36.46
$32,500.00
2,800
350
$87.37
$36.46
$218,148.00
$11,375.00
Request for restoration to active from voluntary
inactive status
GS-15, step 5
GS-9, step 5
700
4.00
0.50
Balance of annual fee due on restoration to active
from voluntary inactive status
0.50
700
350
$36.46
$11,375.00
Delinquency fee for annual fee
0.50
2,100
1,050
$36.46
$34,125.00
1,680
210
$87.37
$36.46
$130,889.00
$6,825.00
7,000
175
$87.37
$36.46
$545,370.00
$5,688.00
Reinstatement Fee
(required to be paid after the due date and for
CLE)
GS-15, step 5
GS-9, step 5
420
4.00
0.50
Sponsor Application for USPTO CLE
GS-15, step 5
GS-9, step 5
350
20.00
0.50
Certification of Attendance at USPTO-approved
CLE Training
1.00
350
350
$36.46
$11,375.00
Practitioner request for paper version of CLE
program and furnished narrative
4.00
100
400
$36.46
$13,000.00
560
1,120
$87.37
$36.46
$43,630.00
$36,400.00
52
104
$87.37
$36.46
$4,051.00
$3,380.00
40
1
$87.37
$36.46
$3,116.00
$33.00
60
90,000
$77.91
$7,011,900.00
92,684
90,429
- - - - -
$7,029,601.00
On-line version of the Seminar CLE
GS-15, step 5
GS-9, step 5
0.02
0.04
28,000
Paper version of the CLE
GS-15, step 5
GS-9, step 5
0.52
1.04
100
Practitioner’s supporting documentation for a
motion to hold in abeyance a disciplinary
proceeding because of a current disability or
addiction
GS-15, step 5
GS-9, step 5
1
40.00
0.50
Registration examination program development
cost to the Federal Government to develop and
maintain a question and answer data bank for the
registration examination
Total
15.
1,500.00
- - - - -
Reason for Change in Burden
Summary of Changes Since the Previous Renewal
OMB previously approved this collection in December 2007 with a total of 72,122
responses and 89,475 annual burden hours. With this renewal, the USPTO estimates
that the annual responses will be 92,340, with the annual burden hours at 98,028, which
21
is an increase of 20,218 responses and 8,553 burden hours over the previously
approved burden for this collection. This increase is due to both administrative
adjustments and program changes.
The total annualized (non-hour) cost burden for this renewal of $5,710,143 is an
increase of $1,769,219 from the currently approved total of $3,940,924. The increase in
costs for the current renewal is due to an adjustment in responses, the addition of four
new requirements into the collection, and an increase in postage costs, due to both
administrative adjustments and program changes.
Changes from the 60-Day Notice
There have been no changes in the responses, burden hours or respondent cost
burden since the publication of the 60-Day Notice for this collection.
Likewise, there has been no change in the total (non-hour) cost burden since the
publication of the 60-Day Federal Register Notice.
Changes in Respondent Cost Burden
When this collection was approved by OMB in December 2007, the estimated hourly
rate for attorneys was $304. Using that rate, the reported burden hours yielded a
respondent cost burden of $20,707,900.
For this renewal, the USPTO is using the current professional hourly rate of $325. At
this rate, the reported burden hours yield a respondent cost burden of $23,010,260,
which is an increase of $2,302,360. This increase in respondent cost burden is due to
the increase in the estimated hourly professional rate, an adjustment in responses, and
the addition of four new requirements into the collection.
Changes in Responses and Burden Hours
With this renewal, a total of 8,553 burden hours have been added to the currently
approved burden hour total. This increases the total number of burden hours from
89,475 to 98,028 per year as a result of both administrative adjustments and program
changes. The increase 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 four requirements being added into this collection, as a result of administrative
adjustments and program changes.
The estimate of the burden hours in this submission differs from the currently approved
information collection in the following ways:
•
The USPTO believes that the number of Applications for Registration to Practice
Before the USPTO submitted per year will increase by 1,105 responses, from
3,600 to 4,705. In addition to the three Applications for Registration all ready
22
approved, the USPTO is adding two new Applications for Registration into the
collection, (1) Application for Reciprocal Recognition to Practice in Trademark
Matters Before the United States Patent and Trademark Office Under 37 CFR
11.14(c) by a Foreign Attorney or Agent, and (2) Application for Registration in
the USPTO Law School Program for Law Students to Practice Before the United
States Patent and Trademark Office Under 37 CFR 11.14(c). Therefore, this
submission takes a total burden increase of 503 hours, 460 as an
administrative adjustment and 43 as a program change.
•
The USPTO expects that the number of Registration Examinations to Become a
Registered Practitioner that are submitted will increase by 920, from 3,500 to
4,420 responses per year. Therefore, this submission takes a total burden
increase of 6,440 hours as an administrative adjustment.
•
The USPTO expects that the number of Reinstatements to the Register that are
submitted will decrease by 30, from 60 to 30 responses per year. Therefore,
this submission takes a total burden decrease of 5 hours as an
administrative adjustment.
•
The USPTO expects that the number of Written Requests for Reconsideration
and Further Review of Disapproval Notice of Application submitted per year will
increase by 25 responses, from 5 to 30 responses per year. Therefore, this
submission takes a total burden increase of 37 hours as an administrative
adjustment.
•
The USPTO expects that the number of Petitions to the Director of the Office of
Enrollment and Discipline under 37 CFR 11.12(c) submitted per year will
increase by 18 responses, from 2 to 20 responses per year. Therefore, this
submission takes a total burden increase of 13 hours as an administrative
adjustment.
•
The USPTO expects that the number of Annual Practitioner Maintenance Fees
submitted per year will increase by 7,580, from 24,920 to 32,500 responses per
year. The name of the requirement has been changed from Annual Practitioner
Registration Fee. Therefore, this submission takes a total burden increase
of 1,289 hours as an administrative adjustment.
•
The USPTO is adding the requirement Cover Pages used for submitting
correspondence to OED (for documents submitted with applications, requests for
reconsideration, and petitions) into the collection. The USPTO estimates that it
will take 1 minute to complete this requirement and that it will receive 7,500
responses per year. Therefore, this submission takes a total burden
increase of 150 hours as a program change.
•
The USPTO is adding the requirement Change of Address – electronic
submission into the collection. The USPTO estimates that it will take 2 minutes
23
to complete this requirement and that it will receive 4,200 responses per year.
Therefore, this submission takes a total burden increase of 126 hours as a
program change.
A total of 8,553 burden hours have been added to this collection as a result of
administrative adjustments and program changes. The increase 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 four requirements being
added into this collection. This results in a total net burden hour increase of
8,234 hours as an administrative adjustment and 319 hours as a program change.
Changes in Annual (non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will
increase by $1,769,219, from $3,940,924 currently on the OMB inventory to the present
$5,710,143. Even though this collection has a decrease in responses for the
Reinstatement to the Register, it is offset by increases in costs is due to adjustments in
responses and response times, the addition of new requirements into the collection, an
adjustment for filing fees and postage costs, and the addition of recordkeeping costs.
Therefore, the cost burden increase of $1,646,004 due to administrative
adjustments and an increase of $123,215 due to program changes yield a total
increase in annual (non-hour) cost burden of $1,769,219 for the collection.
16.
Project Schedule
There is no plan to publish this information for statistical use.
17.
Display of Expiration Date of OMB Approval
The forms in this information collection will display the OMB Control Number and
expiration date.
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.
24
References
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.
K.
Form PTO-158 Application for Registration to Practice Before the United States Patent
and Trademark Office
Form PTO-158A Application for Registration to Practice Before the United States Patent
and Trademark Office Under 37 CFR 10.6(c) by a Foreign Resident
Form PTO-158T Application for Reciprocal Recognition to Practice in Trademark Matters
Before the United States Patent and Trademark Office Under 37 CFR 11.14(c) by a
Foreign Attorney or Agent
Form PTO-158LS Application for Registration in the USPTO Law School Program for Law
Students to Practice Before the United States Patent and Trademark Office Under 37 CFR
11.14(c)
Form PTO/275 Undertaking Under 37 CFR 11.10(b)
Form PTO-107A Data Sheet – Register of Patent Attorneys and Agents; Reinstatement to
the Register
Form PTO-1209 Oath or Affirmation
Form PTO-2126 Annual Practitioner Registration Fee; Annual Fee, Limited Recognition;
Voluntary Inactive Status; Request for Restoration to Active Status from Voluntary Inactive
Status; Balance Due on Restoration to Active Status from Voluntary Inactive Status;
Delinquency Fee; Reinstatement Fee
Form PTO-2149 Sponsor Application for USPTO Continuing Legal Education (CLE)
Form PTO-2150 Certification of Attendance at USPTO Approved CLE Training
Electronic submission form for Changes of Address for Registered Patent Attorneys and
Agents
25
| File Type | application/pdf |
| File Title | SF-12 SUPPORTING STATEMENT |
| Author | Galaxy Scientific Corporation |
| File Modified | 2010-05-24 |
| File Created | 2010-05-24 |