0651-0043-SupStmt-Sep2011

SUPPORTING STATEMENT
United States Patent and Trademark Office
Patent and Trademark Financial Transactions
OMB CONTROL NUMBER 0651-0043
(September 2011)

A.

JUSTIFICATION

1.

Necessity of Information Collection

Under 35 U.S.C. § 41 and 15 U.S.C. § 1113, the United States Patent and Trademark
Office (USPTO) charges fees for processing and other services related to patents,
trademarks, and information products. Customers may submit payments to the USPTO
by several methods, including credit card, deposit account, electronic funds transfer
(EFT), and paper check transactions. The provisions of 35 U.S.C. § 41 and 15 U.S.C. §
1113 are implemented in 37 CFR 1.16-1.28, 2.6-2.7, and 2.206-2.209.
This information collection includes the Credit Card Payment Form (PTO-2038), which
provides the public with a convenient way to submit a credit card payment for fees
related to a patent, trademark, or information product. Customers may also submit
credit card payments via the Electronic Credit Card Payment Form (PTO-2231) when
using online systems through the USPTO Web site for paying fees related to patents,
trademarks, or information products.
The USPTO will not include credit card
information submitted using the provided credit card payment forms among the patent
or trademark records open to public inspection.
Customers may establish a deposit account for making fee payments by completing a
Deposit Account Application Form (PTO-2232) and sending the required information,
initial deposit, and service fee to the USPTO. Deposit accounts eliminate the need to
submit a check, credit card information, or other form of payment for each transaction
with the USPTO. Additionally, in the event that a fee amount due is miscalculated,
customers may authorize the USPTO to charge any remaining balance to the deposit
account and therefore avoid the potential consequences of underpayment. As
customers use their deposit accounts to make payments, they may deposit funds to
replenish their accounts by mailing a check to the USPTO or making a deposit online
via EFT using the Electronic Deposit Account Replenishment Form (PTO-2233)
available at the USPTO Web site. Replenishments may not be made by credit card.
Customers may close their deposit accounts by submitting a written request or by using
the Deposit Account Closure Request Form (PTO-2234). The remaining balance in the
deposit account will be refunded after a six-week waiting period with no account activity
to ensure that all outstanding charges have been applied before the account is closed.
In addition to credit cards and deposit accounts, customers may also use EFT to make
online fee payments to the USPTO. Customers must first establish a user profile with
their banking information by submitting the EFT User Profile Form (PTO-2236) through

the USPTO Web site. Once their profile is created, customers may use their User ID
and password to perform EFT transactions.
Under 37 CFR 1.26 and 2.209, the USPTO may refund fees paid by mistake or in
excess of the required amount. In general, refunds of amounts larger than $25 are
returned to the customer automatically using the same method as the original payment.
For refund amounts of $25 or less, customers must submit a written request to the
Refund Branch of the USPTO Office of Finance.
In order to access and manage their financial activity records online, customers may
create a Financial Profile through the USPTO Web site. Customers create a profile by
registering a username and password, providing contact information, and specifying the
types of notifications and alerts they would like to receive. After establishing a Financial
Profile, customers may then add the relevant account information to the profile in order
to track their credit card, deposit account, and EFT transactions with the USPTO.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect
the information discussed above:
Table 1: Information Requirements for Patent and Trademark Financial Transactions
Requirement

Statute

Rule

Credit Card Payment Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.23(b) and 2.207(b)

Electronic Credit Card Payment Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.23(b) and 2.207(b)

Deposit Account Application Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.21(b), 1.25, 2.6, and 2.208

Deposit Account Replenishment

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.21(b), 1.25, 2.6, and 2.208

Electronic Deposit Account
Replenishment Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.21(b), 1.25, 2.6, and 2.208

Deposit Account Closure Request
Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.25 and 2.208

EFT User Profile Form

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.23, 1.25, 2.207, and 2.208

Refund Request

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.26, 1.28, and 2.209

Financial Profiles

35 U.S.C. § 41, 15 U.S.C. § 1113

37 CFR 1.23, 1.25 and 2.206-2.208

2.

Needs and Uses

This collection allows the public to pay for patent and trademark fees by credit card,
establish and manage USPTO deposit accounts, request refunds, and set up user
profiles. The USPTO uses this collection to process credit card payments, handle
deposit account requests, issue refunds, and provide user accounts for EFT and other
financial transactions.
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
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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 Collected for Patent and Trademark Financial Transactions
Form and Function

Form #

Needs and Uses

Credit Card Payment Form

PTO-2038

•
•

Used by the public to pay fees using a credit card and to
advise the USPTO of the purpose for which the fee is being
submitted.
Used by the USPTO to process the fee payment and
determine whether the appropriate fee has been submitted.

Electronic Credit Card Payment Form

PTO-2231

•
•

Used by the public to pay fees online using a credit card.
Used by the USPTO to process the fee payment and
determine whether the appropriate fee has been submitted.

Deposit Account Application Form

PTO-2232

•

Used by the public to open a deposit account at the
USPTO, make an initial deposit, and pay the setup fee.
Used by the USPTO to establish a deposit account for the
identified customer.

•
Deposit Account Replenishment

No Form

•
•

Electronic Deposit Account Replenishment
Form

PTO-2233

•
•

Deposit Account Closure Request Form

PTO-2234

•
•

EFT User Profile Form

PTO-2236

•
•

Refund Request

No Form

•
•

Financial Profiles

No Form
Number

•
•

3.

Used by the public to submit additional funds for a deposit
account by mail.
Used by the USPTO to process additions of funds to a
deposit account.
Used by the public to submit additional funds for a deposit
account online.
Used by the USPTO to process additions of funds to a
deposit account.
Used by the public to close a deposit account and recover
the remaining balance.
Used by the USPTO to close a deposit account and return
the remaining balance to the customer.
Used by the public to set up a User ID and password for
making online payments to the USPTO via electronic funds
transfer.
Used by the USPTO to collect the necessary banking
information from customers to allow payments via
electronic funds transfer.
Used by the public to request refunds for overpayments of
$25 or less.
Used by the USPTO to issue refunds of $25 or less at the
request of the customer.
Used by the public for online management of their financial
transactions with the USPTO.
Used by the USPTO to establish a financial profile to store
account and transaction information for customers.

Use of Information Technology

The agency leverages information technology to support the ability of customers to use
online systems provided by the USPTO for paying fees related to patents, trademarks,
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or information products. This information collection currently includes Web-based forms
used to make credit card payments, replenish deposit accounts, and establish user
profiles for EFT payments and other financial transactions.
After mailing in a Deposit Account Application to set up the account, customers may
then use the Electronic Deposit Account Replenishment Form to add funds to the
deposit account online through the USPTO Web site. Customers wishing to make
payments to the USPTO via EFT must first complete the online EFT User Profile Form
with the required banking information and choose a unique User ID and password.
After establishing an EFT User Profile, customers can then simply use their User ID and
password to make EFT payments to the USPTO. Customers may also change their
own password without assistance from USPTO staff.
The payment portion of these online transactions is handled by an electronic revenue
system maintained by the USPTO. The customer uses the web as an interface to the
revenue system, which maintains a secure payment server. The online payment system
uses Secure Sockets Layer (SSL) technology in order to encrypt the credit card data
and transmit it securely over the Internet. The customer is presented with an electronic
confirmation receipt after the payment is submitted and may print it out as a record of
payment.
The information for Financial Profiles is collected electronically. Customers with a
Financial Profile at the USPTO Web site may request to receive notifications and alerts.
They also may add the relevant account information to their profile in order to track their
credit card, deposit account, EFT, and paper check transactions with the USPTO. In
addition to tracking this activity, customers who have added the appropriate deposit
account and EFT information to their Financial Profiles may use them to add funds to a
deposit account or transfer funds between two deposit accounts.
4.

Efforts to Identify Duplication

This information is not collected elsewhere and does not result in a duplication of effort.
5.

Minimizing Burden to Small Entities

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

Consequences of Less Frequent Collection

This information is collected only when a customer makes a credit card payment,
establishes or maintains a deposit account, sets up a user profile, or requests a refund
from the USPTO. This information could not be collected less frequently. If the
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information were not collected, the USPTO would not be able to accept payments using
credit cards, deposit accounts, or EFT and process related requests.
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 June 10, 2011 (76 Fed.
Reg. 34062). The comment period ended on August 9, 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
required to provide the information required under this program.
9.

Payment or Gifts to Respondents

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

Assurance of Confidentiality

This collection contains personal information that is subject to the Privacy Act and is
covered under the system of records notice entitled “PAT/TM-10 Deposit Accounts and
Electronic Funds Transfer Profiles,” which was published in the Federal Register on July
6, 2006 (71 Fed. Reg. 38387). This information, such as credit card numbers and
personal information associated with deposit accounts and EFT profiles, will be treated
confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. §
552) and the Privacy Act (5 U.S.C. § 552a).
The Credit Card Payment Form includes a statement advising the cardholder that if a
credit card number is included on any form or document other than the Credit Card
Payment Form, the USPTO will not be liable in the event that the credit card number
becomes public knowledge. The USPTO originally included this warning statement on
the form because patent and trademark applicants may submit fees on forms or
documents other than the Credit Card Payment Form. These other forms and
documents also contain this warning and directions to use the official Credit Card
Payment Form for submitting credit card payment information.

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This warning statement is necessary because of the different confidentiality
requirements for patents and trademarks. Confidentiality of information concerning
patent applications is governed by statute (35 U.S.C. § 122) and regulation (37 CFR
1.11 and 1.14). Upon publication of an application or issuance of a patent, the entire
patent application file is available to the public, subject to the provisions for providing
only a redacted copy of the file contents. Trademark applications and registrations are
also open to public inspection. Confidentiality is not required in the processing of
trademark applications.
In order to protect confidentiality, the USPTO will not include the credit card information
submitted using the provided credit card payment forms among the patent or trademark
records open to public inspection. If a customer supplies credit card information on a
form or document (e.g. in correspondence related to a patent or trademark) other than a
credit card payment form provided by the USPTO, the credit card information may
become part of a patent or trademark file that is open to public inspection. In such
cases, the USPTO will not be liable if the credit card information becomes public
knowledge.
Credit card and deposit account records are kept under a variety of administrative
controls to ensure that the information is kept confidential. Systems are maintained in
areas that are only accessible by authorized personnel and in buildings protected by
security systems after business hours. The USPTO maintains paper records in lockable
file cabinets or in file cabinets in secure areas. Electronic records are stored in secured
premises with appropriate measures taken to limit electronic access to authorized
personnel who require access for the performance of their official duties.
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 1,849,771 total
responses per year for this collection, with approximately 20% of these
responses submitted by small entities.
The USPTO estimates that approximately 90% of the total responses for this
collection will be submitted electronically using the Electronic Credit Card
Payment Form, Electronic Deposit Account Replenishment Form, the EFT User
Profile Form, and the Financial Profiles, which customers may access through
the USPTO Web site.
6

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately two to six minutes
(0.03 to 0.10 hours) to gather the necessary information, prepare the appropriate
form or document, and submit the items in this collection to the USPTO.

•

Cost Burden Calculation Factors
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 National Utilization and Compensation Survey published by the National
Association of Legal Assistants (NALA). The USPTO uses an estimated rate of
$30 per hour for fee administrators/coordinators.
The USPTO expects that approximately 75% of the submissions for this
information collection will be prepared by fee administrators/coordinators and that
25% of the submissions will be prepared by paraprofessionals. Using those
proportions and the estimated rates above, the USPTO estimates that the
average rate for all respondents will be approximately $53 per hour.

Table 3: Burden Hour/Burden Cost to Respondents for Patent and Trademark Financial Transactions
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Credit Card Payment Form (PTO-2038)

0.03

151,144

4,534

$53.00

$240,302.00

Electronic Credit Card Payment Form
(PTO-2231)

0.03

1,622,708

48,681

$53.00

$2,580,093.00

Deposit Account Application Form (PTO2232)

0.03

264

8

$53.00

$424.00

Deposit Account Replenishment

0.03

31,281

938

$53.00

$49,714.00

Electronic Deposit Account
Replenishment Form (PTO-2233)

0.03

33,250

998

$53.00

$52,894.00

Deposit Account Closure Request Form
(PTO-2234)

0.07

207

14

$53.00

$742.00

EFT User Profile Form (PTO-2236)

0.03

1,489

45

$53.00

$2,385.00

Refund Request

0.07

8,660

606

$53.00

$32,118.00

Financial Profiles

0.10

768

77

$53.00

$4,081.00

---------

1,849,771

55,901

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

$2,962,753.00

Totals

13.

Total Annual (Non-hour) Cost Burden

The total (non-hour) respondent cost burden for this collection is estimated to be
$141,971 per year, which includes $120,865 in service fees and $21,106 in postage.

7

Service Fees
There are service fees associated with deposit accounts and returned payments, for a
total of $120,865 per year:
•
•

•

264 service charges for establishing a deposit account, at $10 each: $2,640
4,273 service charges for deposit accounts that are below the minimum balance
at the end of the month ($1,000 minimum balance for an unrestricted deposit
account or $300 minimum balance for a restricted deposit account), at $25 each:
$106,825
228 returned payment charges for processing a payment refused (including a
check returned “unpaid”) or charged back by a financial institution, at $50 each:
$11,400

Postage Costs
The non-electronic items in this collection have associated first-class postage costs
when submitted by mail, for a total of $21,106 per year:
•
•

7,557 Credit Card Payment Forms (approximately 5% of the 151,144 total
submitted) that are mailed in by themselves and without other supporting
documents, at $0.44 postage: $3,325
40,412 other non-electronic submissions per year, including Deposit Account
Application Forms, Deposit Account Replenishments, Deposit Account Closure
Requests, and Refund Requests, at $0.44 postage: $17,781

14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-7, step 1 employee approximately 6 minutes
(0.10 hours) to process a paper Credit Card Payment Form and approximately 12
minutes (0.20 hours) to process a Refund Request. The USPTO estimates that the cost
of a GS-7, step 1 employee is $26.29 per hour (GS hourly rate of $20.22 with 30%
($6.07) added for benefits and overhead).
The USPTO estimates that it takes a GS-9, step 1 employee approximately 12 minutes
(0.20 hours) to process a Deposit Account Application Form, a Deposit Account
Replenishment, or a Deposit Account Closure Request Form. The USPTO estimates
that the cost of a GS-9, step 1 employee is $32.16 per hour (GS hourly rate of $24.74
with 30% ($7.42) added for benefits and overhead).
When a customer makes an online submission using the Electronic Credit Card
Payment Form or the Electronic Deposit Account Replenishment Form, the transaction
is processed electronically and recorded directly into the revenue system with no staff
time required. Similarly, when a customer creates an EFT User Profile or Financial
8

Profile online through the USPTO Web site, the information is processed electronically
and the profile established with no staff time required.
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 Patent and Trademark Financial
Transactions
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Credit Card Payment Form (PTO-2038)

0.10

151,144

15,114

$26.29

$397,347.00

Electronic Credit Card Payment Form (PTO2231)

0.00

1,622,708

0

N/A

$0.00

Deposit Account Application Form (PTO-2232)

0.20

264

53

$32.16

$1,704.00

Deposit Account Replenishment

0.20

31,281

6,256

$32.16

$201,193.00

Electronic Deposit Account Replenishment Form
(PTO-2233)

0.00

33,250

0

N/A

$0.00

Deposit Account Closure Request Form (PTO2234)

0.20

207

41

$32.16

$1,319.00

EFT User Profile Form (PTO-2236)

0.00

1,489

0

N/A

$0.00

Refund Request

0.20

8,660

1,732

$26.29

$45,534.00

Financial Profiles

0.00

768

0

N/A

$0.00

----------

1,849,771

23,196

-----------

$647,097.00

Totals

The USPTO estimates that the cost of providing and maintaining the systems to
process these transactions is approximately $1,527,700 annually, including costs for
associated hardware, software, licensing, and support. Therefore, this information
collection has a total government processing cost of approximately $2,174,797 per year.
15.

Reason for Change in Burden

Change in Respondent Cost Burden
The total respondent cost burden for this collection has increased by $572,593, from
$2,390,160 to $2,962,753, from the previous renewal of this collection in December
2008, due to:
•

Increases in estimated hourly rates. The 2008 renewal used an estimated
rate of $48 per hour for respondents to this collection, which was based on the
expectation that 75% of submissions will be prepared by fee
administrators/coordinators at an estimated rate of $30 per hour and that 25%
will be prepared by paraprofessionals at a rate of $100 per hour. For the current
renewal, the USPTO is using an updated rate of $122 per hour for
9

paraprofessionals, which yields a revised average estimated rate of $53 per hour
for respondents.
•

Increases in estimated burden hours. The total estimated burden hours have
increased from 49,795 in the 2008 renewal to 55,901 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 annual responses will increase by
202,638 (from 1,647,133 to 1,849,771) and the total burden hours will increase by 6,106
(from 49,795 to 55,901) from the currently approved burden for this collection. These
changes are due to the following administrative adjustments:
•

Decrease of 100,583 estimated annual responses for the Credit Card
Payment Form (PTO-2038) from 251,727 to 151,144; a burden decrease of
3,018 hours.

•

Increase of 300,787 estimated annual responses for the Electronic Credit
Card Payment Form (PTO-2231) from 1,321,921 to 1,622,708; a burden
increase of 9,023 hours.

•

Decrease of 41 estimated annual responses for the Deposit Account
Application Form (PTO-2232) from 305 to 264; a burden decrease of 1 hour.

•

Decrease of 898 estimated annual responses for Deposit Account
Replenishments from 32,179 to 31,281; a burden decrease of 27 hours.

•

Increase of 4,241 estimated annual responses for the Electronic Deposit
Account Replenishment Form (PTO-2233) from 29,009 to 33,250; a burden
increase of 128 hours.

•

Increase of 39 estimated annual responses for the Deposit Account Closure
Request Form (PTO-2234) from 168 to 207; a burden increase of 2 hours.

•

Decrease of 1,361 estimated annual responses for the EFT User Profile Form
(PTO-2236) from 2,850 to 1,489; a burden decrease of 41 hours.

•

Increase of 186 estimated annual responses for Refund Requests from 8,474
to 8,660; a burden increase of 13 hours.

•

Increase of 268 estimated annual responses for Financial Profiles from 500 to
768; a burden increase of 27 hours.

10

Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will
decrease by $134,488 (from $276,459 to $141,971), with a decrease of $135,100 due
to program changes partially offset by a net increase of $612 due to administrative
adjustments, as follows:
Program Changes:
•

Decrease of $135,100. This collection was previously approved with a total of
$135,100 in recordkeeping costs associated with printing and retaining a copy of
the acknowledgment receipt after submitting the Electronic Credit Card Payment
Form and the Electronic Deposit Account Replenishment Form. 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.

Administrative Adjustments:
•

Increase of $2,065. This collection is currently approved with a total of $118,800
in service fees associated with setting up deposit accounts, not maintaining the
required minimum balance for deposit accounts, and returned payments. For
this renewal, the USPTO estimates that total service fees will increase to
$120,865, primarily due to expected increases in total fees collected for belowminimum balances but offset by expected decreases in fees collected for setting
up deposit accounts and returned payments.

•

Decrease of $1,453. This collection is currently approved with a total of $22,559
in postage costs associated with mailing responses to the USPTO. For this
renewal, the USPTO estimates that the postage costs for mailed items will
decrease to $21,106, primarily due to an overall decrease in the expected
number of mailed submissions from 53,712 to 47,969 per year. This decrease is
partially offset by a small increase in first-class postage rates since the previous
renewal in 2008.

16.

Project Schedule

The USPTO does not intend 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.

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18.

Exceptions to the Certificate Statement

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

B.

COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

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