0651-0035-SupStmt-Sep2011

SUPPORTING STATEMENT
United States Patent and Trademark Office
Representative and Address Provisions
OMB CONTROL NUMBER 0651-0035
(September 2011)

A.

JUSTIFICATION

1.

Necessity of Information Collection

Under 35 U.S.C. § 2 and 37 CFR 1.31-1.32, 1.510, and 1.915, a patent applicant, assignee
of record, or third party requester may grant power of attorney to a person who is registered
to practice before the United States Patent and Trademark Office (USPTO) to act for them
in a patent, application, or reexamination proceeding. A power of attorney may be revoked,
and a registered practitioner may withdraw as attorney or agent of record,
under 37 CFR 1.36.
37 CFR 1.33 provides for the applicant, assignee, or practitioner of record to supply a
correspondence address and daytime telephone number for receiving notices, official
letters, and other communications from the USPTO related to a patent, application, or
reexamination proceeding. In addition, third party requesters or practitioners of record for
third party requesters must supply a correspondence address so that (i) patent owners can
comply with the statutory mandate of service under 35 U.S.C. §§ 304 and 314 and (ii) the
USPTO can comply with the statutory mandate under 35 U.S.C. § 314 of sending copies of
reexamination communications to third party requesters.
The USPTO's Customer Number practice permits applicants, assignees, practitioners of
record, and third party requesters to change the correspondence address or
representatives of record for a number of patents, applications, or reexamination
proceedings with one change request instead of filing separate requests for each patent,
application, or reexamination proceeding. Customers may request a Customer Number
from the USPTO and associate this Customer Number with a correspondence address or a
list of registered practitioners. Any changes to the address or practitioner information
associated with a Customer Number will be applied to all patents, applications, and
reexamination proceedings associated with that Customer Number.
The Customer Number practice is optional, in that changes of correspondence address or
power of attorney may be filed separately for each patent, application, or reexamination
proceeding without using a Customer Number. However, a Customer Number associated
with the correspondence address for a patent application is required in order to access
private information about the application using the Patent Application Information Retrieval
(PAIR) system, which is available through the USPTO Web site. The PAIR system gives
authorized individuals secure online access to application status information, but only for
patent applications that are linked to a Customer Number. Customer Numbers may be
associated with U.S. patent applications as well as international Patent Cooperation Treaty

(PCT) applications. The use of a Customer Number is also required in order to grant power
of attorney to more than ten practitioners or to establish a separate “fee address” for
maintenance fee purposes that is different from the correspondence address for a patent or
application.
In addition to the forms offered by the USPTO to assist customers with providing the
information in this collection, customers may also format requests using a Customer
Number Upload Spreadsheet to designate or change the correspondence address or fee
address for a list of patents, applications, or reexamination proceedings by associating
them with a Customer Number. The Customer Number Upload Spreadsheet must be
submitted to the USPTO on a computer-readable diskette or compact disc (CD),
accompanied by a signed cover letter requesting entry of the address changes for the listed
patents, applications, and reexamination proceedings. The spreadsheet and cover letter
must be mailed to the USPTO and cannot be filed electronically. Customers may download
a Microsoft Excel template with instructions from the USPTO Web site to assist them in
preparing the spreadsheet in the proper format. The Customer Number Upload
Spreadsheet may not be used to change the power of attorney for patents, applications, or
reexamination proceedings.
This information collection includes the information necessary to submit a request to grant
or revoke power of attorney for an application, patent, or reexamination proceeding, and for
a registered practitioner to withdraw as attorney or agent of record. This collection also
includes the information necessary to change the correspondence address for an
application, patent, or reexamination proceeding, to request a Customer Number and
manage the correspondence address and list of practitioners associated with a Customer
Number, and to designate or change the correspondence address or fee address for one or
more patents, applications, or reexamination proceedings by using a Customer Number.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the
information discussed above:
Table 1: Information Requirements for Representative and Address Provisions
Requirement

Statute

Rule

Power of Attorney

35 U.S.C. § 2

37 CFR 1.31, 1.32, 1.510, and 1.915

Revocation of Power of Attorney

35 U.S.C. § 2

37 CFR 1.36(a)

Withdrawal as Attorney or Agent

35 U.S.C. § 2

37 CFR 1.36(b)

Authorization to Act in a Representative Capacity

35 U.S.C. § 2

37 CFR 1.31, 1.32, 1.34

Petition to Grant or Revoke Power of Attorney by Fewer
than All the Applicants

35 U.S.C. § 2

37 CFR 1.17(h), 1.32(b)(4), 1.36(a)

Change of Correspondence Address

35 U.S.C. §§ 2, 304,
and 314

37 CFR 1.33

Request for Customer Number or Customer Number
Data Change

35 U.S.C. § 2

37 CFR 1.32 and 1.33

2

Requirement

Statute

Rule

Customer Number Upload Spreadsheet

35 U.S.C. § 2

37 CFR 1.33 and 1.363

Request to Update a PCT Application with a Customer
Number

35 U.S.C. § 2

37 CFR 1.33

2.

Needs and Uses

The public uses this information collection to grant or revoke power of attorney, to withdraw
as attorney or agent of record, to authorize a practitioner to act in a representative capacity,
to change a correspondence address, to request a Customer Number, and to change the
data associated with a Customer Number. This collection is necessary so that the USPTO
knows who is authorized to take action in an application, patent, or reexamination
proceeding and where to send correspondence regarding an application, patent, or
reexamination proceeding.
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 this information collection and its supporting statement comply with all
applicable information quality guidelines, i.e., 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 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses of Information Collection for Representative and Address Provisions
Form and Function

Form #

Needs and Uses

Power of Attorney to
Prosecute Applications
Before the USPTO

PTO/SB/80

•

•

Power of Attorney or
Revocation of Power of
Attorney with a New Power
of Attorney and Change of
Correspondence Address

PTO/SB/81

•
•

•

Used by an assignee to appoint an attorney or agent in all
applications in which the assignee is the assignee of record of the
entire interest and to change the correspondence address for the
applications.
Used by the USPTO to determine who is authorized to act on
behalf of the assignee and to change the correspondence address
for the applications.
Used by an applicant or assignee of record of the entire interest in
an application to appoint an attorney or agent and to change the
correspondence address for the identified application.
Used by an applicant or assignee of record of the entire interest in
an application to revoke all previous powers of attorney in an
application, to grant a new power of attorney, and to change the
correspondence address for the identified application.
Used by the USPTO to determine who is authorized to act on
behalf of the applicant or assignee, to process a request to revoke
a power of attorney and to grant a new power of attorney, and to
change the correspondence address for the identified application.

3

Form and Function

Form #

Needs and Uses

Patent – Power of Attorney
or Revocation of Power of
Attorney with a New Power
of Attorney and Change of
Correspondence Address

PTO/SB/81A

•
•

•

Reexamination – Patent
Owner Power of Attorney or
Revocation of Power of
Attorney with a New Power
of Attorney and Change of
Correspondence Address

PTO/SB/81B

•
•

•

Reexamination – Third
Party Requester Power of
Attorney or Revocation of
Power of Attorney with a
New Power of Attorney and
Change of Correspondence
Address

PTO/SB/81C

•
•

•

Request for Withdrawal as
Attorney or Agent and
Change of Correspondence
Address

PTO/SB/83

Authorization to Act in a
Representative Capacity

PTO/SB/84

•
•
•
•

Petition Under 37 CFR
1.36(a) to Revoke Power of
Attorney by Fewer than All
the Applicants

No Form

Petition to Waive 37 CFR
1.32(b)(4) and Grant Power
of Attorney by Fewer than
All the Applicants

No Form

•
•
•
•

Used by an inventor or patent owner to appoint an attorney or agent
and to change the correspondence address for the identified patent.
Used by an inventor or patent owner to revoke all previous powers
of attorney in a patent, to grant a new power of attorney in the
patent, and to change the correspondence address for the identified
patent.
Used by the USPTO to determine who is authorized to act on
behalf of the inventor or patent owner, to process a request to
revoke a power of attorney and to grant a new power of attorney,
and to change the correspondence address for the identified patent.
Used by an inventor or patent owner to appoint an attorney or agent
and to change the correspondence address in a reexamination
proceeding.
Used by an inventor or patent owner to revoke all previous powers
of attorney in a reexamination proceeding, to grant a new power of
attorney, and to change the correspondence address in the
reexamination proceeding.
Used by the USPTO to determine who is authorized to act on
behalf of the inventor or patent owner, to process a request to
revoke a power of attorney and to grant a new power of attorney,
and to change the correspondence address in a reexamination
proceeding.
Used by a third party requester to appoint an attorney or agent and
to change the correspondence address in a reexamination
proceeding.
Used by a third party requester to revoke all previous powers of
attorney in a reexamination proceeding, to grant a new power of
attorney, and to change the correspondence address in the
reexamination proceeding.
Used by the USPTO to determine who is authorized to act on
behalf of a third party requester, to process a request to revoke a
power of attorney and to grant a new power of attorney, and to
change the correspondence address in a reexamination
proceeding.
Used by a practitioner to withdraw as the attorney or agent of
record for an application and to change the correspondence
address for the identified application.
Used by the USPTO to process the withdrawal request and to
change the correspondence address for the identified application.
Used by a practitioner of record to indicate that another registered
practitioner has authority to take action in an application without
granting a power of attorney to the named practitioner.
Used by the USPTO to determine who is authorized to take action
in an application.
Used by an applicant or assignee to request that power of attorney
in an application be allowed to be revoked by fewer than all the
applicants or assignees of the entire interest.
Used by the USPTO to determine whether the request to revoke
power of attorney should be granted.
Used by an applicant or assignee to request that power of attorney
in an application be allowed to be granted by fewer than all the
applicants or assignees of the entire interest.
Used by the USPTO to determine whether the request to grant
power of attorney should be granted.

4

Form and Function

Form #

Needs and Uses

Change of Correspondence
Address – Application

PTO/SB/122

•

Change of Correspondence
Address – Patent

PTO/SB/123

•

•
Patent Owner Change of
Correspondence Address –
Reexamination Proceeding

PTO/SB/123A

•

•
Third Party Requester
Change of Correspondence
Address – Reexamination
Proceeding

PTO/SB/123B

•

•
Request for Customer
Number Data Change

PTO/SB/124

•

•
Request for Customer
Number

PTO/SB/125

•
•

Customer Number Upload
Spreadsheet

None

•

•

Request to Update a PCT
Application with a Customer
Number

3.

PTO-2248

•
•

Used by an applicant, assignee, or practitioner of record to change
the correspondence address of a single application to either a
specified correspondence address or the correspondence address
associated with a specified Customer Number.
Used by a patentee, assignee, or practitioner of record to change
the correspondence address of a single patent to either a specified
correspondence address or the correspondence address
associated with a specified Customer Number.
Used by the USPTO to process a request to change the
correspondence address for an application or patent.
Used by a practitioner of record or patent owner to change the
correspondence address in a reexamination proceeding to either a
specified correspondence address or the correspondence address
associated with a specified Customer Number.
Used by the USPTO to process a request to change the
correspondence address in a reexamination proceeding.
Used by a third party requester or practitioner of record for a third
party requester to change the correspondence address in a
reexamination proceeding to either a specified correspondence
address or the correspondence address associated with a specified
Customer Number.
Used by the USPTO to process a request to change the
correspondence address in a reexamination proceeding.
Used by the applicant, assignee, practitioner of record, or third
party requester to change the correspondence address or list of
registered practitioners associated with an existing Customer
Number.
Used by the USPTO to process a request for a Customer Number
data change.
Used by the public to request a Customer Number and associate a
correspondence address or list of registered practitioners with that
Customer Number.
Used by the USPTO to assign new Customer Numbers and
associate a specified address and a list of registered practitioners
with a new Customer Number.
Used by an applicant, assignee, practitioner of record, or third party
requester to change the correspondence address or fee address for
a list of applications, patents, and/or reexamination proceedings by
using a Customer Number.
Used by the USPTO to process a request to change the
correspondence address or fee address for a list of applications,
patents, and/or reexamination proceedings.
Used by an applicant to associate an already established PCT
paper application with an existing Customer Number.
Used by the USPTO to process a request to associate an existing
PCT application with a Customer Number.

Use of Information Technology

The forms associated with this collection may be downloaded from the USPTO Web site in
Portable Document Format (PDF), filled out electronically, and then either printed for
mailing or submitted online to the USPTO.
Customers may submit a batch request in spreadsheet format to designate or change the
correspondence address or fee address for a list of patents, applications, or reexamination
proceedings by associating them with a Customer Number. The Customer Number Upload
5

Spreadsheet file must be submitted to the USPTO on a computer-readable diskette or
compact disc (CD) with a signed cover letter requesting entry of the address changes. The
spreadsheet and cover letter must be mailed to the USPTO and cannot be filed
electronically. Customers may download a Microsoft Excel template with instructions from
the USPTO Web site to assist them in preparing the spreadsheet in the proper format. At
this time, the USPTO has no plans to allow electronic submission of the Customer Number
Upload Spreadsheets. Use of the Customer Number Upload Spreadsheet reduces the
chance of errors and ensures that the USPTO avoids changing the address data for the
wrong patent, application, or reexamination proceeding.
The other items in this collection may be submitted to the USPTO online through EFS-Web.
EFS-Web is the USPTO’s web-based patent application and document submission system
that allows customers to file patent applications and associated documents electronically
through their standard web browser without downloading special software, changing their
document preparation tools, or altering their workflow processes. Typically, the customer
will prepare the forms or documents as standard PDF files and then upload them to the
USPTO servers using the secure EFS-Web interface. For one item in this collection, the
Request for Withdrawal as Attorney or Agent, the customer may choose to enter the
information directly into the EFS-Web interface screens instead of using the PDF form.
EFS-Web offers many benefits to filers, including immediate notification that a submission
has been received by the USPTO, automated processing of requests, and avoidance of
postage or other paper delivery costs.
To protect the confidentiality, authenticity, and integrity of electronic submissions, the
USPTO employs Public Key Infrastructure (PKI) technology for secure electronic
communications with its customers. All electronic submissions are automatically encrypted
prior to transmission to ensure confidentiality of the submission contents. After the
electronic package has been received by the USPTO, the EFS server uses digital signature
technology to verify that the package contents have not been altered and generates an
electronic acknowledgment receipt that is immediately returned to the customer.
Customers must have a Customer Number that is associated with the correspondence
address for a patent application in order to access private information about the application
using the Patent Application Information Retrieval (PAIR) system, which is available
through the USPTO Web site. PAIR allows authorized individuals secure and immediate
online access to up-to-date patent application status and history information, but only for
patent applications that are linked to a Customer Number. PAIR also offers public access
to non-private information about issued patents and published applications.
4.

Efforts to Identify Duplication

This information is collected only when a respondent grants or revokes power of attorney in
an application, withdraws as attorney of record, changes a correspondence address or fee
address, requests a Customer Number, or changes data associated with a Customer
Number. This information is not collected elsewhere. However, if a customer submits
Customer Number forms containing a large amount of data, such as associating Customer
6

Number data with a large number of patents or applications, the USPTO may in some
cases contact the customer and request that the data be resubmitted using the Customer
Number Upload Spreadsheet format in order to facilitate accurate uploading of the data into
USPTO databases.
Additionally, the Customer Number Upload Spreadsheet instructs the user to provide both
the Customer Number and the correspondence address associated with the Customer
Number. This correspondence address is already on file with the Customer Number, but
the USPTO requests this information in order to verify that the Customer Number submitted
is correct for associating the patents and applications listed on the spreadsheet.
5.

Minimizing Burden to Small Entities

This collection of information does not impose a significant economic impact on small
entities or small businesses. The same information is required of every applicant and is not
available from any other source.
6.

Consequences of Less Frequent Collection

This information is collected only when an applicant, assignee, or practitioner of record
submits an application, or when an applicant, assignee, practitioner of record, or third party
requester designates or changes their representative or correspondence address, or
requests a Customer Number. This information collection could not be conducted less
frequently. If the collection of information were not conducted, the USPTO would not know
who is authorized to take action in an application, patent, or reexamination proceeding and
could not communicate with the applicant, assignee, practitioner of record, third party
requester or authorized representative concerning the application, patent, or reexamination
proceeding.
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 May 10, 2011 (76 Fed. Reg.
27020). The comment period ended on July 11, 2011. No public comments were received.
The USPTO has long-standing relationships with groups from whom patent application data
is collected, such as the American Intellectual Property Law Association (AIPLA), as well as
patent bar associations, independent 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 to provide the
information required under this program.

7

9.

Payment or Gifts to Respondents

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

Assurance of Confidentiality

Confidentiality of patent applications is governed by statute (35 U.S.C. § 122) and
regulation (37 CFR 1.11 and 1.14). The USPTO has a legal obligation to maintain the
confidentiality of the contents of unpublished patent applications and related documents.
For secure electronic access to PAIR, the USPTO employs digital certificates and PKI
technology to permit only authorized individuals to access private patent application
information and to maintain the confidentiality and integrity of the information as it is
transmitted over the Internet. Upon publication of an application or issuance of a patent,
the patent application file is made available to the public, subject to the provisions for
providing only a redacted copy of the file contents. The entire file of a reexamination
proceeding is available to the public.
11.

Justification for Sensitive Questions

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

Estimate of Hour and Cost Burden to Respondents

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

Respondent Calculation Factors
The USPTO estimates that it will receive approximately 592,315 responses per year
for this collection, with approximately 25% of these responses submitted by small
entities.

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 3 minutes (0.05
hours) to 1.5 hours to submit the information in this collection, including the time to
gather the necessary information, prepare the appropriate form or document, and
submit the completed request to the USPTO.

•

Cost Burden Calculation Factors
The USPTO uses a professional rate of $340 per hour for respondent cost burden
calculations, which is the median rate for attorneys in private firms as shown in the
2011 Report of the Economic Survey published by the American Intellectual
Property Law Association (AIPLA).
The USPTO uses a paraprofessional rate of $122 per hour for respondent cost
burden calculations, which is the average rate for paralegals as shown in the 2010

8

National Utilization and Compensation Survey published by the National Association
of Legal Assistants (NALA).
The estimated costs for preparing Requests for Withdrawal as Attorney or Agent
(PTO/SB/83) and the two petitions in this collection are based on the professional
rate, while the costs for the remaining items are based on the paraprofessional rate.
Table 3: Burden Hour/Burden Cost to Respondents for Representative and Address Provisions
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Power of Attorney to Prosecute
Applications Before the USPTO
(PTO/SB/80)

0.05

3,600

180

$122.00

$21,960.00

Power of Attorney or Revocation of
Power of Attorney with a New Power of
Attorney and Change of Correspondence
Address (PTO/SB/81)

0.05

433,000

21,650

$122.00

$2,641,300.00

Patent – Power of Attorney or
Revocation of Power of Attorney with a
New Power of Attorney and Change of
Correspondence Address (PTO/SB/81A)

0.05

500

25

$122.00

$3,050.00

Reexamination – Patent Owner Power of
Attorney or Revocation of Power of
Attorney with a New Power of Attorney
and Change of Correspondence Address
(PTO/SB/81B)

0.05

400

20

$122.00

$2,440.00

Reexamination – Third Party Requester
Power of Attorney or Revocation of
Power of Attorney with a New Power of
Attorney and Change of Correspondence
Address (PTO/SB/81C)

0.05

100

5

$122.00

$610.00

Request for Withdrawal as Attorney or
Agent and Change of Correspondence
Address (PTO/SB/83)

0.20

760

152

$340.00

$51,680.00

Authorization to Act in a Representative
Capacity (PTO/SB/84)

0.05

1,400

70

$122.00

$8,540.00

Petition Under 37 CFR 1.36(a) to Revoke
Power of Attorney by Fewer than All the
Applicants

1.00

15

15

$340.00

$5,100.00

Petition to Waive 37 CFR 1.32(b)(4) and
Grant Power of Attorney by Fewer than
All the Applicants

1.00

10

10

$340.00

$3,400.00

Change of Correspondence Address for
Application or Patent (PTO/SB/122/123)

0.05

140,000

7,000

$122.00

$854,000.00

Patent Owner Change of
Correspondence Address –
Reexamination Proceeding
(PTO/SB/123A)

0.05

130

7

$122.00

$854.00

9

Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Third Party Requester Change of
Correspondence Address –
Reexamination Proceeding
(PTO/SB/123B)

0.05

90

5

$122.00

$610.00

Request for Customer Number Data
Change (PTO/SB/124)

0.20

2,400

480

$122.00

$58,560.00

Request for Customer Number
(PTO/SB/125)

0.20

7,100

1,420

$122.00

$173,240.00

Customer Number Upload Spreadsheet

1.50

1,700

2,550

$122.00

$311,100.00

Request to Update a PCT Application
with a Customer Number (PTO-2248)

0.25

1,110

278

$122.00

$33,916.00

.....

592,315

33,867

.....

$4,170,360.00

Totals

13.

Total Annual (Non-hour) Cost Burden

The total (non-hour) respondent cost burden for this collection is estimated to be $64,916
per year, which includes $10,000 in filing fees and $54,916 in postage.
Filing Fees
The two petitions in this collection have associated filing fees under 37 CFR 1.17(f), for a
total of $10,000 per year:
•
•

15 Petitions Under 37 CFR 1.36(a) to Revoke Power of Attorney by Fewer than All
the Applicants at $400 each: $6,000
10 Petitions to Waive 37 CFR 1.32(b)(4) and Grant Power of Attorney by Fewer than
All the Applicants at $400 each: $4,000

Postage Costs
Two types of non-electronic submissions have associated first-class postage costs when
submitted by mail, for a total of $54,916 per year:
•
•

59,062 non-electronic responses (not including Customer Number Upload
Spreadsheets) at $0.88 postage: $51,975
1,700 Customer Number Upload Spreadsheets at $1.73 postage: $2,941

14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-5, step 1 employee approximately 3 to 12 minutes
(0.05 to 0.20 hours) to process the information in this collection, except for the Customer
Number Upload Spreadsheet. The USPTO estimates that the cost of a GS-5, step 1
10

employee is $21.23 per hour (GS hourly rate of $16.33 with 30% ($4.90) added for benefits
and overhead).
The USPTO estimates that it takes 25 minutes (0.42 hours) to process the Customer
Number Upload Spreadsheet. The spreadsheets are currently processed by contractors at
an average estimated cost of $28.44 per hour.
Table 4 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 4: Burden Hour/Cost to the Federal Government for Representative and Address Provisions
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Power of Attorney to Prosecute Applications
Before the USPTO (PTO/SB/80)

0.05

3,600

180

$21.23

$3,821.00

Power of Attorney or Revocation of Power of
Attorney with a New Power of Attorney and
Change of Correspondence Address
(PTO/SB/81)

0.05

433,000

21,650

$21.23

$459,630.00

Patent – Power of Attorney or Revocation of
Power of Attorney with a New Power of
Attorney and Change of Correspondence
Address (PTO/SB/81A)

0.05

500

25

$21.23

$531.00

Reexamination – Patent Owner Power of
Attorney or Revocation of Power of Attorney
with a New Power of Attorney and Change of
Correspondence Address (PTO/SB/81B)

0.05

400

20

$21.23

$425.00

Reexamination – Third Party Requester
Power of Attorney or Revocation of Power of
Attorney with a New Power of Attorney and
Change of Correspondence Address
(PTO/SB/81C)

0.05

100

5

$21.23

$106.00

Request for Withdrawal as Attorney or Agent
and Change of Correspondence Address
(PTO/SB/83)

0.05

760

38

$21.23

$807.00

Authorization to Act in a Representative
Capacity (PTO/SB/84)

0.05

1,400

70

$21.23

$1,486.00

Petition Under 37 CFR 1.36(a) to Revoke
Power of Attorney by Fewer than All the
Applicants

0.20

15

3

$21.23

$64.00

Petition to Waive 37 CFR 1.32(b)(4) and
Grant Power of Attorney by Fewer than All
the Applicants

0.20

10

2

$21.23

$42.00

Change of Correspondence Address for
Application or Patent (PTO/SB/122/123)

0.05

140,000

7,000

$21.23

$148,610.00

Patent Owner Change of Correspondence
Address – Reexamination Proceeding
(PTO/SB/123A)

0.05

130

7

$21.23

$149.00

11

Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Third Party Requester Change of
Correspondence Address – Reexamination
Proceeding (PTO/SB/123B)

0.05

90

5

$21.23

$106.00

Request for Customer Number Data Change
(PTO/SB/124)

0.20

2,400

480

$21.23

$10,190.00

Request for Customer Number
(PTO/SB/125)

0.20

7,100

1,420

$21.23

$30,147.00

Customer Number Upload Spreadsheet

0.42

1,700

714

$28.44

$20,306.00

Request to Update a PCT Application with a
Customer Number (PTO-2248)

0.05

1,110

56

$21.23

$1,189.00

.....

592,315

31,675

.....

$677,609.00

Totals

15.

Summary of Changes in Burden Since the Previous Renewal

Interim Approvals
•

Notice of Action, December 2008: Addition of supplemental forms associated with
power of attorney (PTO/SB/81A/81B/81C) and change of correspondence address
(PTO/SB/123A/123B). The addition of these forms did not affect the total responses
for this collection, but the total burden increased by 2 hours (due to rounding).

•

Notice of Action, August 2010: Revision of two Customer Number forms
(PTO/SB/124/125) to reflect revised procedures for associating PKI certificates with
Customer Numbers. There were no changes in burden.

Changes from the 60-Day Federal Register Notice
The estimated hourly rate of $340 for attorneys used by the USPTO in this submission
comes from the 2011 AIPLA Report of the Economic Survey. The 60-Day Federal Register
Notice used the previous attorney rate of $325 from the 2009 report. This change impacts
the estimated respondent cost burden for preparing the Request for Withdrawal as Attorney
or Agent (PTO/SB/83) and the petitions included in this collection. The 60-Day Federal
Register Notice indicated a total respondent cost burden of $4,167,705, which has
increased by $2,655 to $4,170,360 for this submission due to the updated attorney rate.
Change in Respondent Cost Burden
The total respondent cost burden has increased by $1,129,730, from $3,040,630 to
$4,170,360, from the previous renewal of this collection in November 2008, due to:

12

•

Increases in estimated hourly rates. The 2008 renewal used an estimated rate of
$310 per hour for attorneys to prepare the Request for Withdrawal as Attorney or
Agent (PTO/SB/83) and the petitions, and an estimated rate of $90 per hour for
paraprofessionals to prepare the other items in the collection. For the current
renewal, the USPTO is using updated rates of $340 per hour for attorneys and $122
per hour for paraprofessionals.

•

Increases in estimated burden hours. The total estimated burden hours have
increased from 33,357 in the 2008 renewal to 33,867 for the current renewal due to
increases in the estimated annual responses for this collection.

Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the total annual responses will increase by
23,413 (from 568,902 to 592,315) and the total burden hours will increase by 508 (from
33,359 to 33,867) from the currently approved burden for this collection. These changes
are due to the following administrative adjustments:
•

Increase of 100 estimated annual responses for the Power of Attorney to
Prosecute Applications Before the USPTO (PTO/SB/80) from 3,500 to 3,600; a
burden increase of 5 hours.

•

Increase of 7,400 estimated annual responses for the Power of Attorney or
Revocation of Power of Attorney with a New Power of Attorney and Change of
Correspondence Address (PTO/SB/81) from 425,600 to 433,000; a burden
increase of 370 hours.

•

Decrease of 250 estimated annual responses for the Patent – Power of Attorney
or Revocation of Power of Attorney with a New Power of Attorney and Change of
Correspondence Address (PTO/SB/81A) from 750 to 500; a burden decrease of 13
hours.

•

Decrease of 250 estimated annual responses for the Reexamination – Patent
Owner Power of Attorney or Revocation of Power of Attorney with a New Power of
Attorney and Change of Correspondence Address (PTO/SB/81B) from 650 to 400; a
burden decrease of 13 hours.

•

Decrease of 450 estimated annual responses for the Reexamination – Third Party
Requester Power of Attorney or Revocation of Power of Attorney with a New Power
of Attorney and Change of Correspondence Address (PTO/SB/81C) from 550 to
100; a burden decrease of 23 hours.

•

Increase of 10 estimated annual responses for the Request for Withdrawal as
Attorney or Agent and Change of Correspondence Address (PTO/SB/83) from 750
to 760; a burden increase of 2 hours.
13

•

Increase of 50 estimated annual responses for the Authorization to Act in a
Representative Capacity (PTO/SB/84) from 1,350 to 1,400; a burden increase of 2
hours.

•

No change to the previously approved estimated annual responses and burden
hours for the Petition Under 37 CFR 1.36(a) to Revoke Power of Attorney by Fewer
than All the Applicants and the Petition to Waive 37 CFR 1.32(b)(4) and Grant
Power of Attorney by Fewer than All the Applicants.

•

Increase of 19,673 estimated annual responses for the Change of
Correspondence Address forms for Applications and Patents (PTO/SB/122 and
PTO/SB/123) from 120,327 to 140,000; a burden increase of 984 hours.

•

Decrease of 620 estimated annual responses for the Patent Owner Change of
Correspondence Address – Reexamination Proceeding (PTO/SB/123A) from 750 to
130; a burden decrease of 31 hours.

•

Decrease of 560 estimated annual responses for the Third Party Requester
Change of Correspondence Address – Reexamination Proceeding (PTO/SB/123B)
from 650 to 90; a burden decrease of 28 hours.

•

Increase of 400 estimated annual responses for the Request for Customer
Number Data Change (PTO/SB/124A/124B) from 2,000 to 2,400; a burden
increase of 80 hours.

•

Decrease of 1,400 estimated annual responses for the Request for Customer
Number (PTO/SB/125A/125B) from 8,500 to 7,100; a burden decrease of 280
hours.

•

Decrease of 300 estimated annual responses for the Customer Number Upload
Spreadsheet from 2,000 to 1,700; a burden decrease of 450 hours.

•

Decrease of 390 estimated annual responses for the Request to Update a PCT
Application with a Customer Number (PTO-2248) from 1,500 to 1,110; a burden
decrease of 97 hours.

Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will decrease
by $192,262 (from $257,178 to $64,916), with a $32,080 decrease due to program changes
and a $160,182 decrease due to administrative adjustments, as follows:

14

Program Changes:
•

No change in the estimated total filing fees of $10,000 for the petitions included in
this collection.

•

Decrease of $28,080. This collection was previously approved with a total of
$28,080 in annual (non-hour) costs for recordkeeping associated with printing and
retaining a copy of the acknowledgment receipt for electronic submissions. The
USPTO is removing these recordkeeping costs from this collection because keeping
a copy of the acknowledgment receipt is a suggestion and not a requirement.

•

Decrease of $4,000. This collection was previously approved with a total of $4,000
in capital start-up costs associated with submitting the Customer Number Upload
Spreadsheet on diskette or CD to the USPTO by mail. The USPTO is removing
these costs from this collection because these supplies (blank media and padded
envelopes) are customary and usual costs of business operations and not major
investment activities.

Administrative Adjustments:
•

Decrease of $160,182. This collection is currently approved with a total of
$215,098 in postage costs. The USPTO has adjusted the estimated postage costs
to $54,916 based on two factors. First, submissions by mail have greatly decreased
since the previous renewal in 2008, from approximately 45% to 10% of responses,
resulting in a decrease in the expected number of mailed submissions from 257,106
to 60,762 per year. Second, first-class postage rates have increased slightly since
2008. This small increase in postage rates partially offsets the decrease in expected
mailed submissions.

16.

Project Schedule

The USPTO does not 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 the
expiration date of OMB approval.
18.

Exception to the Certificate Statement

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

15

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

16