Rules for Patent Maintenance Fees

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/SB/45 Maintenance Fee Transmittal Form	Form	Modified	Available
Form PTO/SB/47 Fee Address Indication Form	Form	Modified	Available
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web	Form	Modified	Available
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))	Form	Modified	Available
Form PTO/SB/65 Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))	Form	Modified	Available
0651-0016-SupStmt-Mar2012.pdf	Supporting Statement A	Uploaded 2012-03-22	Available
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf	Supplementary Document	Uploaded 2012-01-26	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4678	Maintenance Fee Transmittal Transactions	Form	Modified	Maintenance Fee Transmittal Form
187818	“Fee Address” Indication Form	Form	Modified	Fee Address Indication Form
187817	Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(e))		Modified
187816	Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377)		Modified
187815	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web	Form	Modified	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web
187814	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))	Form	Modified	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))
187813	Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))	Form	Modified	Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))
187812	Electronic Maintenance Fee Transactions	Other-Sample web form	Modified

ICR Details

OMB Control No: 0651-0016	ICR Reference No: 201201-0651-007
Status: Historical Active	Previous ICR Reference No: 200901-0651-004
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Rules for Patent Maintenance Fees
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 05/09/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/27/2012
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	05/31/2015	36 Months From Approved	05/31/2012
Responses	573,161	0	470,397
Time Burden (Hours)	43,605	0	33,426
Cost Burden (Dollars)	791,160,764	0	614,571,323

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Abstract: Under 35 U.S.C. § 41 and 37 CFR 1.20(e)-(i) and 1.362-1.378, the USPTO charges fees for maintaining in force all utility patents based on applications filed on or after December 12, 1980. Payment of these maintenance fees is due at 3-1/2, 7-1/2, and 11-1/2 years after the date the patent was granted. If the USPTO does not receive payment of the appropriate maintenance fee and any applicable surcharge within a grace period of six months following each of the above intervals, the patent will expire and no longer be enforceable. The public uses this collection to submit patent maintenance fee payments, to file petitions regarding delayed or refused payments, and to designate an address to be used for fee-related correspondence.

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Authorizing Statute(s): US Code: 35 USC 41
  

Citations for New Statutory Requirements: None

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 55364	09/07/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	77 FR 18215	03/27/2012
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 8

table that charts list of burden

IC Title	Form No.	Form Name
Electronic Maintenance Fee Transactions
Maintenance Fee Transmittal Transactions	PTO/SB/45	Maintenance Fee Transmittal Form
Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(e))
Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))	PTO/SB/65	Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b))
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))	PTO/SB/66	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web	PTO/SB/66	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377)
“Fee Address” Indication Form	PTO/SB/47	Fee Address Indication Form

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	573,161	470,397	0	0	102,764	0
Annual Time Burden (Hours)	43,605	33,426	0	0	10,179	0
Annual Cost Burden (Dollars)	791,160,764	614,571,323	0	102,831,475	73,757,966	0

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

Burden Increase Due to:

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

Burden Reduction Due to:

Short Statement: Increases in annual responses and burden hours are administrative adjustments based on revised estimates of filings for the items in this collection. Increases in annual cost burden that are administrative adjustments are also primarily associated with revised estimates of annual filings. Increases in annual cost burden that are program changes are primarily due to increases in the maintenance fee amounts and related surcharges implemented by the USPTO, offset by a small decrease from removing recordkeeping costs from this collection. The recordkeeping costs previously associated with retaining the receipt from online transactions have been removed because retaining this receipt is a suggestion and not a requirement.

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Annual Cost to Federal Government: $1,003,806

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 03/27/2012

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