Practitioner Records Maintenance, Disclosure and Discipline before the United States Patent and Trademark Office (USPTO)

Forms and Documents

Document Name	Status
0651-USPTO-Information-Quality-Guidelines-Dec2009[1].pdf Supplementary Document	2010-08-04
0651-0017 Justification 2010.pdf Supporting Statement A	2010-08-04

IC Document Collections

IC ID	Document Title	Status
4681	Record Keeping Maintenance	Modified
180816	Complaint/Violation Reporting	Modified
180814	Record Keeping Maintenance Regarding Practitioners Under Suspension or Exclusion from the USPTO, Resigned Practitioners, and Practitioners Transferred to Disability Inactive Status	Modified

ICR Details

OMB Control No: 0651-0017	ICR Reference No: 201007-0651-004
Status: Historical Active	Previous ICR Reference No: 200706-0651-005
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Practitioner Records Maintenance, Disclosure and Discipline before the United States Patent and Trademark Office (USPTO)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/14/2010
	Date Received in OIRA: 08/10/2010
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2013	36 Months From Approved	10/31/2010
Responses	635	0	532
Time Burden (Hours)	12,330	0	10,402
Cost Burden (Dollars)	487	0	87

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

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Authorizing Statute(s): None

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 13728	03/23/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 46910	08/04/2010
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Record Keeping Maintenance Regarding Practitioners Under Suspension or Exclusion from the USPTO, Resigned Practitioners, and Practitioners Transferred to Disability Inactive Status
Record Keeping Maintenance
Complaint/Violation Reporting

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	635	532	0	0	103	0
Annual Time Burden (Hours)	12,330	10,402	0	0	1,928	0
Annual Cost Burden (Dollars)	487	87	0	0	400	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in the responses, burden hours, and annual cost burden for this collection is due to administrative adjustments. The USPTO expects the number of responses for this collection to increase by 103, from 532 to 635 per year and that the burden hours will increase by 1,928, from 10,402 to 12,330 hours per year. The USPTO estimates that the total annual (non-hour) cost burden for this collection will increase by $400, from $87 to $487 per year. This is due not only to increased submissions, but also to an increased postage rate and a recalculation of the weight of the responses.

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Annual Cost to Federal Government: $557,211

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]? No

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: 08/10/2010

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