0651-0028 SupStmt Nov2011

SUPPORTING STATEMENT
United States Patent and Trademark Office
Fastener Quality Act Insignia Recordal Process
OMB CONTROL NUMBER 0651-0028
(November 2011)

A.

JUSTIFICATION

1.

Necessity of Information Collection

Under Section 5 of the Fastener Quality Act of 1999 (FQA), 15 U.S.C. § 5401 et seq.,
certain industrial fasteners must bear an insignia identifying the manufacturer. It is also
mandatory for manufacturers of fasteners covered by the FQA to submit an application
to the United States Patent and Trademark Office (USPTO) for recordal of the insignia
on the Fastener Insignia Register.
The procedures for the recordal of fastener insignia under the FQA are set forth in 15
CFR 280.300 et seq. The purpose of requiring both the insignia and the recordation is
to ensure that certain fasteners can be traced to their manufacturers and to protect
against the sale of mismarked, misrepresented, or counterfeit fasteners.
The insignia may be either a unique alphanumeric designation that the USPTO will
issue upon request or a trademark that is registered at the USPTO or is the subject of
an application to obtain a registration. After a manufacturer submits a complete
application for recordal, the USPTO issues a Certificate of Recordal. These certificates
remain active for five years. Applications to renew the certificates must be filed within
six months of the expiration date or, upon payment of an additional surcharge, within six
months following the expiration date.
If a recorded alphanumeric designation is assigned by the manufacturer, the
designation becomes “inactive,” and the new owner must submit an application to
reactivate the designation within six months of the date of assignment. If the recordal is
based on a trademark application or registration, and that application or registration is
assigned, the recordal becomes “inactive” and cannot be reactivated. Instead, the new
owner of the trademark application or registration must apply for a new recordal.
Manufacturers who record the insignia must notify the USPTO of any changes of
address.
This information collection includes one form, the Application for Recordal of Insignia or
Renewal/Reactivation of Recordal Under the Fastener Quality Act (Form PTO-1611),
which provides manufacturers with a convenient way to submit a request for the
recordal of a fastener insignia or to renew or reactivate an existing Certificate of
Recordal. Use of Form PTO-1611 is not mandatory, and applicants may instead
prepare requests for recordal using their own format.

Table 1 identifies the statutory and regulatory provisions that require the USPTO to
collect the information discussed above:
Table 1: Information Requirements to Record an Insignia or Renew a Recordal
Requirement

Statute

Recordal of Insignia or Renewal/Reactivation of Recordal
Under the Fastener Quality Act

2.

15 U.S.C. § 5401

Rule
15 CFR 280.300 – 280.326

Needs and Uses

The public uses this information collection to comply with the insignia recordal
provisions of the FQA. An applicant may choose to use either the Application for
Recordal of Insignia or Renewal/Reactivation of Recordal Under the Fastener Quality
Act (PTO-1611) or prepare requests for recordal using a document that includes the
information required by 15 CFR 280.310(b)(1)-(8).
The USPTO uses the information in this collection to record, renew, or reactivate
insignias under the FQA and to maintain the Fastener Insignia Register, which is open
to public inspection. The public may download the Fastener Insignia Register from the
USPTO Web site.
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 describes how this collection of information is used by the public and by the
USPTO:
Table 2: Needs and Uses of Information Collected for Insignia Recordal/Renewal
Form and Function
Application for Recordal of Insignia or
Renewal/Reactivation of Recordal
Under the Fastener Quality Act

Form #
PTO-1611

Needs and Uses
•
•
•
•

Used by manufacturers of certain types of industrial fasteners to
apply to the USPTO for recordal of fastener insignia.
Used by the manufacturer to renew or reactivate the recordal of
the fastener insignia.
Used by the USPTO to process the information needed to issue,
renew, or reactivate fastener insignia Certificates of Recordal.
Used by the USPTO to establish and maintain the Fastener
Insignia Registry.

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3.

Use of Information Technology

The USPTO’s Trademark Electronic Application System (TEAS), a very costly system to
develop and pilot, has been extremely successful. Over 95% of new trademark
applications are filed electronically.
As a result, USPTO customers are now
accustomed to filing a variety of documents electronically and consider the use of paper
forms for their FQA filings to be tedious and time consuming. While developing a
similar system for FQA filings would not be a cost-effective method given the
comparatively small number of annual FQA filings versus trademark filings, using the
relatively inexpensive method of setting up an electronic mail box to receive
electronically completed portable document format (PDF) versions of the FQA form
provides numerous advantages.
First, by allowing users to fill the forms out electronically, fewer errors in transcription of
the data will be made. Frequently, the USPTO receives forms that were completed by
hand, which are often difficult to read. Second, by allowing the completed forms to be
sent via electronic mail, there is less likelihood of the form being misrouted or lost in the
regular mail. Third, international manufacturers can use electronic mail to avoid postal
delays and the higher costs associated with international postage. Finally, the current
modifications to the form will allow for more efficient development in the future. Use of a
fillable form for entering data will enable the USPTO to establish field-specific data
capture, which will eventually be used to automatically transfer the data to the
corresponding database and eliminate the process of manually entering the new
applications one at a time. Presently, a clerk must enter each field of data into a
database, which repeats work done by the customer and potentially leads to errors.
4.

Efforts to Identify Duplication

This information is collected only when a manufacturer requests that the USPTO record
or renew a fastener insignia. This information is not collected elsewhere and does not
result in a duplication of effort.
5.

Minimizing the Burden to Small Entities

This collection does not impose a significant economic impact on small entities or small
businesses. Only manufacturers of certain fasteners that are covered under the FQA
are required to respond to this collection. This information is not available from any
other source. The same information is required from every manufacturer who requests
the recordal or renewal of a fastener insignia.
6.

Consequences of Less Frequent Collection

This information is collected only when a manufacturer applies for recordal, renewal, or
reactivation of a fastener insignia and is not found elsewhere. If this information were
not collected, the manufacturers and the USPTO would be unable to comply with the
regulations implementing the FQA. Renewal of the Certificate of Recordal is required

3

every five years, and reactivation is required when ownership of a recorded
alphanumeric designation is assigned to another entity. This collection of information
could not be conducted less frequently. Less frequent collection would result in
inaccurate or obsolete information in the fastener insignia registry.
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 July 29, 2011 (76 Fed.
Reg. 45540). The public comment period ended on September 27, 2011. The USPTO
received no public comments in response to the Notice.
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. T-PAC
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 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.
10.

Assurance of Confidentiality

Fastener insignia applications are not confidential and are open to public inspection.
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 anticipated burden hours and costs of this information collection
to the public, based on the following factors:
•

Respondent Calculation Factors

4

The USPTO estimates that 95 Applications for Recordal of Insignia or
Renewal/Reactivation of Recordal Under the Fastener Quality Act will be submitted
annually.
•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 15 minutes (0.25 hours)
to submit the information in this collection, including the time to gather the necessary
information, prepare the form, and submit the request for recordal or renewal of a
fastener insignia to the USPTO.

•

Cost Burden Calculation Factors
The USPTO uses a paraprofessional rate of $122 per hour for respondent cost burden
calculations. This 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).

Table 3: Burden Hour/Burden Cost to Respondents for Insignia Recordal/Renewal
Item

Hours
(a)

Application for Recordal of Insignia or Renewal/Reactivation
of Recordal Under the Fastener Quality Act

0.25

95

24

$122.00

$2,928.00

Total

- - - -

95

24

- - - -

$2,928.00

13.

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Total Annualized (Non-Hour) Cost Burden

The total annual (non-hour) cost burden for this collection is estimated to be $2,044 per
year, which includes $2,040 in filing fees and $4 in postage.
Filing Fees:
•
•

95 new recordals, renewals, or reactivations of fastener insignia per year at $20
each: $1,900
7 late renewals (after the expiration date but within six months of that date) that
incur a surcharge of $20 each: $140

Postage Costs:
•
14.

5 non-electronic responses per year at $0.88 postage: $4
Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-7, step 10 employee approximately 15 minutes
(0.25 hours) to process the information in this collection. The USPTO estimates that the
cost of a GS-7, step 10 employee is $34.18 per hour (GS hourly rate of $26.29 with
30% ($7.89) added for benefits and overhead).

5

Table 6 calculates the burden hours and cost to the Federal Government for processing
this information collection:
Table 6: Burden Hour/Burden Cost to the Federal Government for Insignia Recordal/Renewal
Item

Hours
(a)

Application for Recordal of Insignia or
Renewal/Reactivation of Recordal Under the Fastener
Quality Act
Total

15.

Responses
(yr)
(b)

0.25

- - - - -

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

Rate
($/hr)
(d)

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

95

24

$34.18

$820.00

95

24

- - - - -

$820.00

Reason for Change in Burden Since Previous Renewal

Summary of Changes Since the Previous Renewal
OMB previously approved the renewal of this information collection in February of 2009
with 130 responses and 33 burden hours, and $2,845 in annual (non-hour) costs.
There have been no interim approvals.
For this renewal, the USPTO estimates that the total annual responses will be 95 and
the total annual burden hours will be 24. This decrease of 35 burden hours is due to an
administrative adjustment.
The currently approved annual (non-hour) cost burden for this collection is $2,845. For
this renewal, the USPTO estimates that the total annual (non-hour) costs will be $2,044.
This decrease of $801 is due to an administrative adjustment.
Changes in Respondent Cost Burden
The total respondent cost burden for this collection has decreased by $372, from $3,300
to $2,928, from the previous renewal of this collection in February 2009, due to:
•

Increase in estimated hourly rate. The 2009 renewal used an estimated rate
of $100 per hour for paraprofessionals to prepare the application in this
collection. For the current renewal, the USPTO is using the updated rate of $122
per hour for paraprofessionals.

•

Decrease in estimated burden hours. The total estimated burden hours have
decreased from 33 in the 2009 renewal to 24 for the current renewal due to a
decrease in the estimated number of annual filings for this collection.

6

Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the total annual responses will decrease by
35 (from 130 to 95) and the total burden hours will decrease by 9 (from 33 to 24) from
the currently approved burden for this collection. These changes are due to the
following administrative adjustment.
•

Decrease of 35 estimated annual responses for the Application for Recordal of
Insignia from 130 to 95; a burden decrease of 9 hours.

Changes in Annual (Non-Hour) Costs
For this renewal, the USPTO estimates that the annual (non-hour) costs will decrease
by $801, from $2,845 to $2,044, due to administrative adjustments, as follows:

16.

•

Decrease of $760. This collection is currently approved with a total of $2,800 in
filing fees. For this renewal, the USPTO estimates that total filing fees will
decrease to $2,040, due to the expected decrease in annual responses.

•

Decrease of $41. This collection is currently approved with a total of $45 in
postage costs. The USPTO has adjusted the estimated postage costs to $4
based on two factors. First, submissions by mail have greatly decreased since
the previous renewal in 2009, from 50% to 5% due to the introduction of
electronic mail transmission of applications, resulting in a decrease in the
expected number of mailed submissions from 60 to 5. Second, first-class
postage rates have increased slightly since 2009. This small increase in postage
rates partially offsets the decrease in expected mailed submissions.
Project Schedule

There is no plan to publish this information for statistical use. However, the USPTO
does publish a register of active fastener insignia that is available for public inspection.
The Fastener Insignia Register may be downloaded or viewed from the USPTO Web
site, and printed copies may be purchased from the USPTO.
17.

Display of Expiration Date of OMB Approval

The form 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.

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B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

8