0651-0009 SupStmt Oct 2011

0651-0009 SupStmt Oct 2011.pdf

Applications for Trademark Registration

OMB: 0651-0009

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SUPPORTING STATEMENT
United States Patent and Trademark Office
Applications for Trademark Registration
OMB Control Number 0651-0009
(October 3, 2011)

JUSTIFICATION

Necessity of Information Collection

The United States Patent and Trademark Office (USPTO) administers the Trademark
Act, 15 U.S.C. § 1051 et seq., which provides for the Federal registration of trademarks,
service marks, collective trademarks and service marks, collective membership marks,
and certification marks. Individuals and businesses who use their marks, or intend to
use their marks, in commerce regulable by Congress, may file an application with the
USPTO to register their marks. Registered marks remain on the register indefinitely, so
long as the owner of the registration files the necessary maintenance documents.
The rules implementing the Trademark Act are set forth in 37 CFR Part 2. The Act and
rules mandate that each certificate of registration include the mark, the particular goods
and/or services for which the mark is registered, the owner’s name, dates of use of the
mark in commerce, and certain other information. The USPTO also provides similar
information to the public concerning pending applications. Individuals or businesses
may access the register and pending application information through the USPTO’s
website to determine availability of a mark. Accessing and reviewing the USPTO’s
publicly available information may reduce the possibility of initiating use of a mark
previously registered or adopted by another. Thus, the Federal trademark registration
process may lessen the filing of papers in court and between parties.
Trademarks can be registered on either the Principal or Supplemental Register.
Registrations on the Principal Register confer all of the benefits of registration provided
under the Trademark Act. Certain marks that are not eligible for registration on the
Principal Register, but are capable of functioning as a trademark, may be registered on
the Supplemental Register. Registrations on the Supplemental Register do not have all
of the benefits of marks on the Principal Register. Registrations on the Supplemental
Register cannot be transferred to the Principal Register, but owners of registrations on
the Supplemental Register may apply for registration of their marks on the Principal
Register.
Table 1 identifies the statutes and rules that permit the USPTO to collect the information
needed to process trademark registration applications.

Table 1: Information Requirements for Trademark Registration Applications
Requirement
Registration of use-based and intent to use trademarks,
service marks, collective trademarks and service marks,
collective membership marks, and certification marks.
Registration of trademarks, service marks, collective
trademarks and service marks, collective membership marks,
and certification marks under § 44

Statute

Rule

15 U.S.C. §§ 1051-1054,
1061-1063, 1091, 1094
and 1095

37 CFR Part 2, 2.32, 2.34-2.38,
2.41–2.47, 2.51-2.54, 2.56, 2.59,
2.76, 2.80-2.89

15 U.S.C. § 1126

37 CFR Part 2, 2.32, 2.34-2.38, 2.412.47, 2.51-2.54, and 2.80-2.87

Needs and Uses

The information in this collection is a matter of public record and is used by the public
for a variety of private business purposes related to establishing and enforcing
trademark rights. The information is available at USPTO facilities and can also be
accessed at the USPTO’s website. Additionally, the USPTO provides the information to
other entities, including Patent and Trademark Resource Centers (PTRCs). The
PTRCs maintain the information for use by the public.
The information in this collection can be submitted in paper format or electronically
through the Trademark Electronic Application System (TEAS) using a regular TEAS
application form or a TEAS Plus application form. Applicants who choose to submit
their applications electronically must use the available TEAS forms; user-created forms
cannot be submitted through TEAS. Additionally, filers who submit drawings of marks
that are not standard character marks must attach digitized images of these drawings to
their submissions. Applicants who file their applications using the TEAS Plus form must
file a complete application, agree to file certain communications regarding the
application through TEAS, and agree to receive communications concerning the
application by e-mail.
This collection contains three paper forms and six electronic forms. In addition to the
TEAS and TEAS Plus forms for trademarks and service marks, TEAS also provides
application forms for certification marks, collective marks, and collective membership
marks and for the registration of a mark on the Supplemental Register. The separate
form for registration of a mark on the Supplemental Register is only available in
electronic format; applicants who file applications for the Supplemental Register on
paper use the basic application form. In addition, TEAS Plus applications are only
available for trademark/service mark applications. There are no TEAS Plus application
forms available for certification marks, collective marks, collective membership marks,
or applications for registration on the Supplemental Register at this time.
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., the OMB and specific
operating unit guidelines.

This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO
Information Quality Guidelines.
Table 2 lists the information identified in this collection and explains how this information
is used by the public and by the USPTO:
Table 2: Needs and Uses of Information Collected for Trademark Registration Applications
Form and Function

Form #

Use-Based Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark
Application
- Collective Membership Mark
Application
- Certification Mark Application

PTO Form
1478, 1478(a),
4.8 and 4.9

Needs and Uses
•

•

TEAS Use-Based Trademark/Service
Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark
Application
- Collective Membership Mark
Application
- Certification Mark Application

PTO Form
1478, 1478(a),
4.8, and 4.9

•

TEAS Plus Use-Based
Trademark/Service Mark Application

PTO Form
1478

•
•
•

PTO Form
1478, 1478(a),
4.8, and 4.9

•

TEAS Intent to Use
Trademark/Service Mark Application,
including:
- Trademark/Service Mark
Application
- Collective Trademark/Service Mark
Application
- Collective Membership Mark
Application
- Certification Mark Application

PTO Form
1478, 1478(a),
4.8, and 4.9

•

Used by the public to apply for registration of trademarks/service
marks, collective trademarks/service marks, collective membership
marks, and certification marks that identify goods and/or services
classified in single or multiple classes.
Used by the USPTO to receive and process applications for
registrations of trademarks/service marks, collective
trademarks/service marks, collective membership marks, and
certification marks.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to complete and electronically submit
applications for registration of trademarks/service marks, collective
trademarks/service marks, collective membership marks, and
certification marks that identify goods and/or services classified in
single or multiple classes.
Used by the USPTO to receive and process electronically filed
applications for registrations of trademarks/service marks,
collective trademarks/service marks, collective membership marks,
and certification marks.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to complete and electronically submit
applications for registration of trademarks/service marks for a
reduced filing fee.
Used by the USPTO to receive and process electronically filed
applications for registrations of trademarks/service marks.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to apply for registration of trademarks/service
marks, collective trademarks/service marks, collective membership
marks, and certification marks that identify goods and/or services
classified in single or multiple classes.
Used by the USPTO to receive and process applications for
registrations of trademarks/service marks, collective
trademarks/service marks, collective membership marks, and
certification marks.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to complete and electronically submit
applications for registration of trademarks/service marks, collective
trademarks/service marks, collective membership marks, and
certification marks that identify goods and/or services classified in
single or multiple classes.
Used by the USPTO to receive and process electronically filed
applications for registrations of trademarks/service marks,
collective trademarks/service marks, collective membership marks,
and certification marks.
Used by the USPTO to determine whether marks may be
registered.

Form and Function
TEAS Plus Intent to Use
Trademark/Service Mark Application

Form #
PTO Form
1478

Needs and Uses
•
•
•

Application for Registration of
Trademark/Service Mark under § 44,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark
Application
- Collective Membership Mark
Application
- Certification Mark Application

PTO Form
1478, 1478(a),
4.8, and 4.9

TEAS Application for Registration of
Trademark/Service Mark under § 44,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark
Application
- Collective Membership Mark
Application
- Certification Mark Application

PTO Form
1478, 1478(a),
4.8, and 4.9

TEAS Plus Application for Registration
of Trademark/Service Mark under § 44

PTO Form
1478

•
•
•

Used by the public to complete and electronically submit
applications for registration of trademarks/service marks for a
reduced filing fee.
Used by the USPTO to receive and process electronically filed
applications for registrations of trademarks/service marks.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to apply for a priority filing date and/or for
registration based upon foreign registration of a mark.
Used by the USPTO to process applications for registration of a
mark based upon earlier-filed foreign applications or a foreign
registration
Used by the USPTO to determine whether marks may be
registered.

Used by the public to complete and electronically submit
applications seeking a priority filing date and/or registration based
upon foreign registration of a mark.
Used by the USPTO to receive and process electronically filed
applications for registration of marks based upon earlier filed
foreign applications or a foreign registration.
Used by the USPTO to determine whether marks may be
registered.
Used by the public to complete and electronically submit
applications seeking a priority filing date and/or registration based
upon foreign registration of a mark for a reduced filing fee.
Used by the USPTO to receive and process electronically filed
applications for registration of marks based upon earlier filed
foreign applications or a foreign registration.
Used by the USPTO to determine whether marks may be
registered.

Use of Information Technology

The Trademark Electronic Application System (TEAS) allows filers to submit most
trademark papers electronically, via the Internet. The TEAS forms are completed online
and transmitted electronically. TEAS is an interactive, web-based system that anyone,
regardless of experience, can use to file a trademark application. It improves the
efficiency of the application process and lessens the processing time.
The TEAS forms include online help instructions, as well as a “Form Wizard” that tailors
the form to the particular characteristics of the applicant and the mark in question,
based on responses provided by the user to questions posed by the Form Wizard.
Payment of the fees for the applications, petitions, requests, and other associated
papers transmitted electronically through TEAS is made by credit card, by an
authorization to charge a USPTO deposit account, or by electronic funds transfer. The
system also permits users who make multiple submissions to create multiple forms,
each of which includes the elements that do not vary from form to form.
The TEAS forms can be signed by hand, with the signature page scanned into the
system, or by an electronic signature using a combination of alphanumeric characters

that the user selects and types between two forward slashes. The forms are received at
the USPTO within seconds after transmission, and a confirmation of filing is immediately
issued via e-mail to the user.
In addition to providing a system that allows the electronic transmission of trademark
submissions, the USPTO also provides the public with online access to various
trademark records.
One such online product is the Trademark Electronic Search System (TESS), a webbased record of registered marks and marks in pending applications for registration.
TESS can be used by potential applicants for trademark registration to assist in the
determination of whether or not a particular mark may be available. The data in TESS
is identical to the data reviewed by examining attorneys at the USPTO in their
determination of whether marks for which registration is sought are confusingly similar
to marks in existing registrations or to marks in pending applications for registration.
TESS allows the user to choose from four different search tools, is updated daily, and is
easy to use.
Another online record system provided by the USPTO is the Trademark Application and
Registration Retrieval (TARR) system. TARR provides users with information regarding
the status of trademark applications and registrations. The data in the TARR system is
updated daily.
These systems are all accessible through the Trademark Electronic Business Center
(TEBC), which in turn is accessed through the USPTO website. Thus, the USPTO
offers a single source that provides a variety of systems useful both for making
submissions to the USPTO and for tracking the status of these submissions. The TEBC
also provides online descriptions of these systems and the systems feature online “help”
programs.
The USPTO maintains an online image database called Trademark Document Retrieval
(TDR). TDR includes images of each of the documents that make up the “electronic file
wrapper” of particular trademark applications or registrations. Currently, images of
virtually all pending trademark application files and almost all live trademark registration
files are present in TDR. The public accesses TDR by clicking on a link entitled “View
and/or Order documents” that appears on the USPTO home page.
The USPTO also maintains the Trademark Reporting and Monitoring (TRAM) System.
This system is an internal USPTO database only and provides support to all facets of
Trademark operations. TRAM supports Trademark operations from the receipt of a new
application in the USPTO, through processing and examination of the application, and
into the post-registration activities required to maintain registered trademarks.
Bibliographic data in TRAM for pending applications and active registrations is updated
in real time. The TRAM System maintains current location and status information on
applications and registrations, enabling the USPTO to promptly determine the status of
any file and to locate files. Data is received in an electronic format that permits

expedited transfer to TRAM, thereby reducing processing steps and improving the
reliability and quality of the data that is transferred.
4.

Efforts to Identify Duplication

This collection does not solicit any data already available at the USPTO. This collection
does not create a duplication of effort.
5.

Minimizing the Burden to Small Entities

Since registration of a trademark/service mark is a voluntary activity on the part of the
public, the USPTO has not collected data to determine if the collection of information
impacts small businesses or other small entities.
6.

Consequences of Less Frequent Collection

Less frequent collection of this information is not possible, since the information is
collected only when voluntarily submitted by the public. Failure to collect this
information would leave trademark owners without the measure of certainty which a
Federal registration can provide and the public would not have access to a Federal
register of trademarks. The information could not be collected less frequently. If the
collection of information were not conducted, the USPTO could not comply with the
requirements of the Trademark Act, 15 U.S.C. § 1051 and 37 CFR Part 2.
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 Federal Register Notice was published on June 17, 2011 (76 Fed Reg.
35411). The public comment period ended on August 16, 2011. No public comments
were received.
Large and well-organized bar associations frequently communicate their views to the
USPTO. Also, the Trademark Public Advisory Committee (T-PAC) was created by the
American Inventors Protection Act of 1999 to advise the Director of the USPTO on the
agency’s operations, including its goals, performance, budget, and user fees. The TPAC includes nine voting members who are appointed by and serve at the pleasure of
the Secretary of Commerce. The statute also provides non-voting membership on the
Committee for the agency’s three recognized unions. Members include inventors,
lawyers, corporate executives, entrepreneurs, and academicians with significant
experience in management, finance, science, technology, labor relations, and
intellectual property issues. The members of the T-PAC reflect the broad array of
USPTO’s stakeholders and embrace the USPTO’s e-government initiative. This

diversity of interests is an effective tool in helping the USPTO nurture and protect the
intellectual property that is the underpinning of America’s strong economy.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
Response to this information collection is necessary for registration of a trademark or
service mark.
10.

Assurance of Confidentiality

Trademark applications are open to public inspection. Confidentiality is not required in
the processing of trademark applications.
11.

Justification for Sensitive Questions

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

Estimate of Hour and Cost Burden to Respondents

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

Respondent Calculation Factors
The USPTO estimates that it will receive 380,289 responses annually, with 374,020
applications filed electronically.

•

Burden Hour Calculation Factors
The USPTO estimates that it takes the public approximately 18 to 30 minutes (0.30 to
0.50 hours) to complete this information, depending on the application. This includes the
time to gather the necessary information, prepare the application, and submit the
completed request to the USPTO. The time estimates shown for the electronic forms in
this collection are based on the average amount of time needed to complete and
electronically file the associated form.

•

Cost Burden Calculation Factors
The USPTO believes that attorneys will complete these applications. The USPTO uses
a professional rate of $340 per hour for respondent rate cost burden calculations. This
is the median rate for attorneys in private firms as published in the 2011 AIPLA Report of
the Economic Survey, from the Committee on Economics of Legal Practice of the
American Intellectual Property Law Association (AIPLA). This report summarizes the
results of a survey with data on hourly billing rates. These are fully loaded hourly rates.

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)

Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.50

2,342

1,171

$340.00

$398,140.00

TEAS Use-Based Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.42

92,902

39,019

$340.00

$13,266,460.00

TEAS Plus Use-Based Trademark/Service Mark
Application

0.42

46,842

19,674

$340.00

$6,689,160.00

0.38

3,548

1,348

$340.00

$458,320.00

TEAS Intent to Use Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.30

140,720

42,216

$340.00

$14,353,440.00

TEAS Plus Intent to Use Trademark/Service Mark
Application

0.30

70,951

21,285

$340.00

$7,236,900.00

Application for Registration of Trademark/Service
Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.42

379

159

$340.00

$54,060.00

TEAS Application for Registration of
Trademark/Service Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.32

15,028

4,809

$340.00

$1,635,060.00

TEAS Plus Application for Registration of
Trademark/Service Mark under § 44

0.32

7,577

2,425

$340.00

$824,500.00

Total

- - - -

380,289

132,106

-----------

$44,916,040.00

13.

Total Annualized Cost Burden

There are postage costs, as well as filing and processing fees, associated with this
collection.

Applicants incur postage costs when submitting the non-electronic information to the
USPTO by mail through the United States Postal Service. The USPTO estimates that
approximately 98% of the paper forms are submitted via first-class mail. Out of 6,269
paper forms, the USPTO estimates that 6,143 forms will be mailed, with a first-class
postage cost of 44 cents. Therefore, the USPTO estimates that the postage costs for
this collection will be $2,703.
Table 4 calculates the postage costs for the use-based and intent to use trademark
applications and the applications for the registration of trademarks filed under §§ 44.
Table 4: Postage Costs for the Applications for Trademark Registration
Item

Responses
(yr)
(a)

Postage Costs
(b)

Total Cost
(yr)
(a) x (b)

Use-Based Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

2,295

$0.44

$1,010.00

3,477

$0.44

$1,530.00

371

$0.44

$163.00

6,143

----------------------

$2,703.00

Application for Registration of Trademark/Service Mark under § 44,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Total

There is also a non-hour cost burden in filing fees associated with this collection.
Applicants who choose to file their applications electronically instead of submitting them
in paper pay a reduced filing fee. Those who choose to file TEAS Plus applications pay
a further reduced fee, as long as they agree to certain conditions. An application must
include a filing fee for each class of goods and services. Therefore, the total filing fees
associated with this collection can vary depending on the number of classes in each
application. The total filing fees of $117,638,875 shown in Table 5 are based on the
minimum fee of one class per application for trademark registration.
Table 5: Filing Fees – Non-hour Cost Burden for the Applications for Trademark Registration
Item

Responses
(yr)
(a)

Use-Based Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

2,342

Filing fee*
($)
(b)

$375.00

Total Non-Hour
Cost Burden
(yr)
(a) x (b)
(c)
$878,250.00

Item

Responses
(yr)
(a)

Filing fee*
($)
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)
(c)

TEAS Use-Based Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

92,902

$325.00

$30,193,150.00

TEAS Plus Use-Based Trademark/Service Mark Application

46,842

$275.00

$12,881,550.00

3,548

$375.00

$1,330,500.00

140,720

$325.00

$45,734,000.00

70,951

$275.00

$19,511,525.00

379

$375.00

$142,125.00

15,028

$325.00

$4,884,100.00

7,577

$275.00

$2,083,675.00

Intent to Use Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
TEAS Intent to Use Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
TEAS Plus Intent to Use Trademark/Service Mark Application
Application for Registration of Trademark/Service Mark under § 44,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
TEAS Application for Registration of Trademark/Service Mark under
§ 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
TEAS Plus Application for Registration of Trademark/Service Mark
under § 44
Total

380,289

- - - - -

$117,638,875.00

*NOTE: All filing fees are based on per class filing.

In addition, the USPTO charges a processing fee of $50 to process applications that
were originally filed as TEAS Plus applications, but which failed to meet the application
requirements. The USPTO estimates that out of the 125,370 TEAS Plus applications
filed, 3,000 of them will be subject to the processing fee. A processing fee is charged
for each class of goods and services in the application, so the total processing fee can
vary depending on the number of classes. The total processing fees shown here are
based on the minimum fee of one class per application. Therefore, the USPTO
estimates that, at a minimum, the processing fees will add $150,000 to the filing fees
estimated above, as shown in Table 6.

Table 6: Processing Fees – Non-hour Cost Burden for Applications That Do Not Meet TEAS Plus
Requirements
Item

Responses
(yr)
(a)

Processing
Fee*
($)
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)
(c)

TEAS Plus Use-Based Applications That Do Not Meet TEAS Plus
Requirements

1,121

$50.00

$56,050.00

TEAS Plus Intent- to- Use Applications That Do Not Meet TEAS Plus
Requirements

1,698

$50.00

$84,900.00

181

$50.00

$9,050.00

3,000

----------------

$150,000.00

TEAS Plus Applications for Registration of a Trademark/Service Mark
under § 44 That Do Not Meet TEAS Plus Requirements
Total

*NOTE: All processing fees are based on per class filing.

The USPTO estimates that the total non-hour cost burden associated with the filing and
processing fees for this collection will be $117,788,875.
Therefore, the USPTO estimates that the total annual (non-hour) cost burden for this
collection, in the form of postage costs, filing fees, and processing fees is $117,791,578
per year.
14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-7, step 9 employee 10 minutes (0.17 hours) to
process the use-based, intent to use, and § 44 applications if they are submitted on
paper. In the case of electronically filed applications, the USPTO estimates that it takes
4 minutes (0.07 hours) to process regular TEAS applications and 3 minutes (0.05 hours)
to process TEAS Plus applications.
The current hourly rate for a GS-7, step 9 is $25.62. When 30% is added to account for
a fully loaded hourly rate (benefits and overhead), the rate per hour for a GS-7, step 9 is
$33.31 ($25.62 + $7.69).
Table 6 calculates the processing hours and costs of this information collection to the
Federal Government:
Table 6: Burden Hour/Burden Cost to the Federal Government
Item

Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

Hours
(a)

0.17

Responses
(yr)
(b)

2,342

Burden
(hrs/yr)
(c)
(a) x (b)
398

Rate
($/hr)
(d)

$33.31

Total Cost
($/hr)
(e)
(c) x (d)
$13,257.00

Rate
($/hr)
(d)

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

Hours
(a)

TEAS Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

92,902

6,503

$33.31

$216,615.00

TEAS Plus Use-Based Trademark/Service Mark
Application

0.05

46,842

2,342

$33.31

$78,012.00

0.17

3,548

603

$33.31

$20,086.00

TEAS Intent to Use Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

140,720

9,850

$33.31

$328,104.00

TEAS Plus Intent to Use Trademark/Service Mark
Application

0.05

70,951

3,548

$33.31

$118,184.00

Application for Registration of Trademark/Service Mark
under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.17

379

$33.31

$2,132.00

TEAS Application for Registration of
Trademark/Service Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

15,028

1,052

$33.31

$35,042.00

TEAS Plus Application for Registration of
Trademark/Service Mark under § 44

0.05

7,577

379

$33.31

$12,624.00

380,289

24,739

- - - - -

$824,056.00

Total

15.

- - - - -

Responses
(yr)
(b)

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

Item

Summary of Changes in Burden Since Previous Renewal

OMB previously approved this information collection on December 3, 2008, with
291,859 responses, 84,821 burden hours, and $91,050,433 in annualized (non-hour)
costs. There have been no interim approvals.
With this renewal, the USPTO estimates that the total burden and annualized (nonhour) costs for this collection will be 380,289 responses, 132,106 burden hours, and
$117,791,578 in annualized costs, which is an increase of 88,430 responses, 47,285
burden hours, and $26,741,145 in annualized costs over the currently approved burden
for this collection. The increases in burden are due to administrative adjustments.

Changes Since the 60-Day Federal Register Notice
Adjustments in the estimated hourly rates for attorneys have been made since the June
2011 Federal Register Notice publication. Respondent Cost Burden reflects the most
current estimated hourly rate for attorneys. See “Changes in Respondent Cost Burden”
below for more details.
Changes in Respondent Cost Burden
As noted in Section 12 above, the USPTO estimates the hourly rate for respondents at
rates published in American Intellectual Property Law Association (or AIPLA) Reports of
the Economic Survey, which is published every two years. In 2008 the USPTO
estimated the hourly respondent cost burden based on a rate of $310 per hour from the
2007 Report. In the June 2011 Federal Register Notice, the USPTO increased that rate
to $325 an hour, based on the 2009 Report. Since the publication of that Federal
Register Notice, the estimated rate has increased to $340 an hour, based on the 2011
Report.
The rate updates (in addition to increased submissions and adjusted completion times
for the applications) have resulted in the following changes in annual respondent cost
burden:
•

An $18,621,530 increase from $26,294,510 to $44,916,040 (reflecting a rate
change from $310 to $340 per hour)

•

An $1,981,590 increase from $42,934,450 to $44,916,040 (reflecting a rate
change from $325 to $340 per hour)

•

Overall, an increase from $26,294,510 to $44,916,040

Changes in Responses and Burden Hours
Estimates reflect a net burden increase of 47,285 hours per year, with an increase
of 88,430 responses per year. There is a total reduction of 1,358 hours per year, but
that reduction is offset by an increase of 48,643 hours per year. These changes are
due solely to administrative adjustments, as follows:
•

Decrease of 3,547 in estimated annual responses for the use-based
trademark/service mark applications filed on paper from 5,889 to 2,342 responses,
which offsets a 7-minute increase in time to complete these applications from 23 to
30 minutes; for a final burden decrease of 1,067 hours.

•

Increase of 34,524 in estimated annual responses for the TEAS use-based
trademark/service mark applications from 58,378 to 92,902 responses and a 4minute increase in time to complete these applications from 21 to 25 minutes, for a
final burden increase of 18,587 hours.

•

Increase of 9,582 in estimated annual responses for the TEAS Plus use-based
trademark/service mark applications from 37,260 to 46,842 responses and a 4minute increase in completion time from 21 to 25 minutes, for a final burden
increase of 6,633 hours.

•

Decrease of 1,918 in estimated annual responses for the paper intent to use
trademark/service mark applications from 5,466 to 3,548 responses, which offsets a
6-minute increase in time to complete these applications from 17 to 23 minutes, for a
final burden decrease of 182 hours.

•

Increase of 23,706 in estimated annual responses for the TEAS intent to use
trademark/service mark applications from 117,014 to 140,720 responses and a 3minute increase in the time to complete these applications from 15 to 18 minutes, for
a final burden increase of 12,962 hours.

•

Increase of 22,437 in estimated annual responses for the TEAS Plus intent to use
trademark/service mark applications from 48,514 to 70,951 responses and a 3minute increase in the time to complete these applications from 15 to 18 minutes, for
a final burden increase of 9,156 hours.

•

Decrease of 433 in estimated annual responses for the paper applications for
registration of trademark/service mark under § 44 from 812 to 379 responses, which
offsets a 5-minute increase in time to complete these applications from 20 to 25
minutes, for a final burden decrease of 109 hours.

•

Increase of 2,632 in estimated annual responses for the TEAS applications for
registration of trademark/service mark under § 44 from 12,396 to 15,028 responses,
for a final burden increase of 842 hours.

•

Increase of 1,447 in estimated annual responses for the TEAS Plus applications
for registration of trademark/service mark under § 44 from 6,130 to 7,577 responses,
for a final burden increase of 463 hours.

Changes in Annual (Non-Hour) Costs
There is a net burden increase of $26,741,145 in annual (non-hour) costs per year
due to administrative adjustments. The USPTO estimates that $2,242,155 per year
will be reduced from this collection, but that this reduction will be offset by an increase
of $28,983,300 per year. Changes are as follows:
•

Decrease of $2,305 in estimated annual postage costs from $5,008 to $2,703
(including an increase in postal rates).

•

Decrease of $1,330,125 in estimated annual filing fee costs for the paper usebased trademark/service mark applications, from $2,208,375 to $878,250.

•

Increase of $11,220,300 in estimated annual filing fee costs for the TEAS usebased trademark/service mark applications, from $18,972,850 to $30,193,150.

•

Increase of $2,635,050 in estimated annual filing fee costs for the TEAS Plus
use-based trademark/service mark applications, from $10,246,500 to $12,881,550.

•

Decrease of $719,250 in estimated annual filing fee costs for the paper intent to
use trademark/service mark applications, from $2,049,750 to $1,330,500.

•

Increase of $7,704,450 in estimated annual filing fee costs for the TEAS intent to
use trademark/service mark applications, from $38,029,550 to $45,734,000.

•

Increase of $6,170,175 in estimated annual filing fee costs for the TEAS Plus
intent to use trademark/service mark applications, from $13,341,350 to $19,511,525.

•

Decrease of $162,375 in estimated annual filing fee costs for the paper
applications for registration of a trademark/service mark under § 44, from $304,500
to $142,125.

•

Increase of $855,400 in estimated annual filing fee costs for the TEAS
applications for registration of a trademark/service mark under § 44, from
$4,028,700 to $4,884,100.

•

Increase of $397,925 in estimated annual filing fee costs for the TEAS Plus
applications for registration of a trademark/service mark under § 44, from
$1,685,750 to $2,083,675.

•

Decrease of $28,100 in estimated annual processing fee costs for applications
originally filed as TEAS Plus applications that failed to meet the requirements and
thus required the additional $50 processing fee, from $178,100 to $150,000.

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 the
date on which OMB’s approval of this information collection expires.
18.

Exception to the Certificate Statement

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

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

File Type	application/pdf
File Title	SF-12 SUPPORTING STATEMENT
Author	USPTO
File Modified	2011-10-12
File Created	2011-10-12