0651-0041 SupStmt Feb2012

SUPPORTING STATEMENT
United States Patent and Trademark Office
Public User ID Badging
OMB CONTROL NUMBER 0651-0041
(February 3, 2012)

A.

JUSTIFICATION

1.

Necessity of Information Collection

The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. §
41(i)(1) to maintain a Public Search Facility to provide patent and trademark collections for
searching and retrieval of information. The Public Search Facility is maintained for public
use with paper and electronic search files and trained staff to assist searchers.
The USPTO issues online access cards to customers who wish to use the electronic search
systems at the Public Search Facility. Customers may obtain an online access card by
completing the application at the Public Search Facility reference desk and providing proper
identification. The plastic online access cards include a bar-coded user number and an
expiration date. Users may renew their cards by validating and updating the required
information and may obtain a replacement for a lost card by providing proper identification.
The USPTO also offers free training courses to assist the public with using the advanced
electronic search systems available at the facility. In January 2011, the USPTO
discontinued the $120 fee for users requesting private instruction for the online search
systems available at the Public Search Facility. Therefore, the private instruction fee is
being deleted from this collection.
Under the authority provided in 41 CFR Part 102-81, the USPTO issues security
identification badges to members of the public who wish to use the facilities at the USPTO.
Public users may apply for a security badge in person at the USPTO Office of Security by
providing the necessary information and presenting a valid form of identification with
photograph. The security badges include a color photograph of the user and must be worn
at all times while at the USPTO facilities.
2.

Needs and Uses

The public uses this information collection to obtain online access cards and security
identification badges for the Public Search Facility and other office areas at the USPTO, or
to sign up for user training classes. The applications for online access cards and security
identification badges are completed on site and handed to a USPTO staff member for entry
into the system and issuance of the card or badge. Renewal or replacement of online
access cards or security badges requires the user’s information to be verified and updated

as necessary. User training registration forms may be mailed, faxed, e-mailed, or hand
delivered to the USPTO.
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury and
General Government Appropriations Act for Fiscal Year 2001, apply to this information
collection, and this information collection and its supporting statement comply with all
applicable information quality guidelines, i.e. OMB and specific operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO Information
Quality Guidelines.
Table 1 outlines how this collection of information is used by the public and the USPTO:
Table 1: Needs and Uses of Information Collection for Public User ID Badging
Form and Function

Form #

Needs and Uses

Application for Public User ID (Online Access
Card)

PTO-2030

•
•

Conduct in Public Information Facilities

Issue Online Access Card

•
•

PTO-2030

•
Renew Online Access Card

•

PTO-2030

•
Replace Online Access Card

•

PTO-2030

•

User Training Registration Forms

No Form Numbers

•
•

Security Identification Badges for Public
Users

•

PTO-2224

•

Renew Security Identification Badges for
Public Users

•

PTO-2224

•

Replace Security Identification Badge

•

PTO-2224

•

2

Used by the public to request an online access
card.
Used by the public to learn the rules of conduct
and to agree to follow them.
Used by the USPTO to identify the status of any
existing online access cards for the user.
Used by the public to access the search facility
and its online systems.
Used by the USPTO to manage the use of the
facility and its services.
Used by the public to renew an online access
card.
Used by the USPTO to update the user record.
Used by the public to replace a lost or forgotten
online access card.
Used by the USPTO to update the user record
and issue a replacement online access card.
Used by the public to register for classes in using
the online search systems.
Used by the USPTO to collect registrations for
user training classes.
Used by the public to request a security
identification badge for access to USPTO public
facilities.
Used by the USPTO to process requests for
security identification badges and issue the
badge to the user.
Used by the public to renew a security
identification badge for access to USPTO public
facilities.
Used by the USPTO to process requests to
renew security identification badges for public
users.
Used by the public to replace a lost security
identification badge.
Used by the USPTO to update the user record

Form and Function

Form #

Needs and Uses
and issue a replacement security identification
badge.

3.

Use of Information Technology

Currently, the USPTO does not use automated, electronic, mechanical, or other
technologies to collect the information in this collection. The paper applications for the
online access cards and the security identification badges are completed on site and
handed to a USPTO staff member to enter into the electronic systems and issue the plastic
access card or security badge. Users must present proper identification and sign the
application form. The electronic database permits lost or replacement access cards and
badges to be quickly reissued upon confirming the identity of the requestor and updating
any changed information as necessary. The online access cards include a user number
and corresponding bar code.
For the security identification badges, the USPTO also takes color digital photographs of
the users to allow USPTO staff to verify the badge wearer’s identity on sight. These digital
photographs are stored in the electronic badging database to facilitate the replacement of
security badges as needed without retaking the photograph.
Since the information collected for the online access cards and security identification
badges must be verified in person, the USPTO does not plan to collect this information
electronically. The USPTO has no plans to disseminate this information electronically or
otherwise. Customers may download user training registration forms from the USPTO web
site, but at this time the USPTO is not collecting the completed class registration forms
electronically. If the USPTO later develops a means for electronic class registration, the
USPTO will develop the associated forms and submit them to OMB for review and approval
as necessary.
4.

Efforts to Identify Duplication

This information is collected only when a customer requests an online access card, security
identification badge, or registers for a training class. Customers must provide standard
identifying information when making these requests, but these requests may only be filed in
the USPTO and are not collected elsewhere. Safeguards within the database software
discourage the issuing of multiple online access cards or security badges to the same
person. Replacement online access cards and security identification badges may be
issued upon verifying the user’s personal information and updating the database as
necessary.

3

5.

Minimizing Burden to Small Entities

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

Consequences of Less Frequent Collection

This information is collected only when the public user accesses the public facilities at the
USPTO or when the user registers for a training class. The information for the online
access cards and security identification badges is collected only once, on the first visit, and
allows subsequent visits while the user’s card and badge are valid. Obtaining a security
identification badge will allow users to access the public facilities without having to manually
sign in each time they enter. Annual renewal of the access card or security badge, or
replacement when necessary, requires validating and updating the minimum information as
necessary in order to maintain the user records.
If the information for online access cards and security identification badges were not
collected, public access to accurate and complete search collections would be at risk and
the USPTO would not be able to identify and contact users who abuse their search
privileges. Therefore, this collection of information could not be conducted less frequently.
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 October 7, 2011 (76 Fed.
Reg. 62387). The public comment period ended on December 6, 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.

Payments or Gifts to Respondents

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

4

10.

Assurance of Confidentiality

Due to the fact that personal information, such as personal addresses and telephone
numbers, is collected, and that a digital photograph of the user is taken and stored in a
database, this information collection has been examined under the Privacy Act. An
amended Privacy Act System of Records Notice entitled “PAT/TM-14 Users of Public
Facilities of the Patent and Trademark Office” for the public user identification system was
published in the Federal Register on December 28, 1999 (64 Fed. Reg. 72640). An
additional Privacy Act System of Records Notice entitled “PAT/TM-18 USPTO Identification
and Security Access Control Systems” for security identification badges for individuals who
access USPTO facilities was published in the Federal Register on December 14, 2004 (69
Fed. Reg. 74502).
Records for public users are kept in secured premises with physical and electronic access
to the information limited to staff members whose official duties require it. The information
is available to the extent required by law and as allowed under the Freedom of Information
Act (FOIA) and the Privacy Act. Personal addresses, personal telephone numbers, and the
digital photographs are kept confidential; business addresses or telephone numbers could
be provided in response to a FOIA request. Completed user training forms are retained
and organized by class date, not by name or other personal identifier.
11.

Justification for Sensitive Questions

The identifying information being collected is necessary in order to issue a unique online
access card for public search facility users and a photo identification badge for access to
the public facilities of the USPTO. The photograph of the user is considered essential for
visually confirming that the security badge is being used by the individual to whom it was
issued. Digitally-stored photographs have become a basic part of all identification badges
and have been used for several years in similar systems such as the Reader Identification
Card at the Library of Congress. The online access cards issued by the Public Search
Facility and the identification badges issued by the Office of Security at the USPTO are
necessary in order to protect the integrity of the patent and trademark collections and
maintain proper physical security at the USPTO facilities.
12.

Estimate of Hour and Cost Burden to Respondents

Table 2 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 10,003 responses per year for this
collection.

5

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately five to ten minutes (0.08 to
0.17 hours) to complete the information in this collection, including gathering the necessary
information, preparing the appropriate form, and submitting the completed request.

•

Cost Burden Calculation Factors
The USPTO uses a professional rate of $340 per hour for respondent cost burden
calculations, which is the median rate for attorneys in private firms as shown in the 2011
Report of the Economic Survey published by the American Intellectual Property Law
Association (AIPLA). The USPTO uses a paraprofessional rate of $122 per hour for
respondent cost burden calculations, which is the average rate for paralegals as shown in
the 2010 National Utilization and Compensation Survey published by the National
Association of Legal Assistants (NALA). The USPTO estimates that approximately 1/3 of
the users responding to this collection are attorneys and 2/3 paraprofessionals. Using 1/3
of the professional rate of $340 per hour for attorneys in private firms and 2/3 of the
paraprofessional rate of $122 per hour, the estimated rate for respondents to this collection
is approximately $194 per hour. Using this estimated rate of $194 per hour, the USPTO
estimates that the respondent cost burden for submitting the information in this collection
will be approximately $191,866 per year.

Table 2: Burden Hour/Burden Cost to Respondents for Public User ID Badging
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Application for Public User ID (Online Access Card)
(PTO-2030)

0.08

2,330

186

$194.00

$36,084.00

Issue Online Access Card

0.17

2,095

356

$194.00

$69,064.00

Renew Online Access Card

0.08

1,059

85

$194.00

$16,490.00

Replace Online Access Card

0.08

145

12

$194.00

$2,328.00

User Training Registration Forms

0.08

74

6

$194.00

$1,164.00

Security Identification Badges for Public Users (PTO2224)

0.08

1,000

80

$194.00

$15,520.00

Renew Security Identification Badges for Public Users

0.08

3,200

256

$194.00

$49,664.00

Replace Security Identification Badge

0.08

100

8

$194.00

$1,552.00

.....

10,003

989

.....

$191,866.00

Totals

13.

Total Annualized Cost Burden

The total annual (non-hour) cost burden for this collection is estimated to be $1,502, which
includes $1,500 in fees and $2 in postage.
Fees
•

100 replacement security identification badges per year at $15 each: $1,500

6

Postage Costs
•
14.

A total of 4 training forms per year will be mailed at $0.45 postage: $2
Annual Cost to the Federal Government

The USPTO estimates that it takes a GS-8, step 1 employee approximately five minutes
(0.08 hours) to process an application for an online access card, to issue the online access
card, to process a renewal or replacement card, or to process a user training registration
form. The current hourly rate for a GS-8, step 1 employee is $22.40. When 30% is added
to account for a fully-loaded hourly rate (benefits and overhead), the hourly rate for a GS-8,
step 1 employee is $29.12 ($22.40 + $6.72).
The USPTO estimates that it takes a GS-6, step 3 employee approximately five minutes
(0.08 hours) to process and issue a new security identification badge for public users.
Processing a renewal or replacement badge takes approximately one minute (0.02 hours).
The current hourly rate for a GS-6, step 3 employee is $19.41. When 30% is added to
account for a fully-loaded hourly rate (benefits and overhead), the hourly rate for a GS-6,
step 3 employee is $25.23 ($19.41 + $5.82).
Table 4 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 4: Burden Hours/Burden Costs to the Federal Government for Public User ID Badging
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Application for Public User ID (Online Access Card)

0.08

2,330

186

$29.12

$5,416.00

Issue Online Access Card

0.08

2,095

168

$29.12

$4,892.00

Renew Online Access Card

0.08

1,059

85

$29.12

$2,475.00

Replace Online Access Card

0.08

145

12

$29.12

$349.00

User Training Registration Forms

0.08

74

6

$29.12

$175.00

Security Identification Badges for Public Users

0.08

1,000

80

$25.23

$2,018.00

Renew Security Identification Badges for Public Users

0.02

3,200

64

$25.23

$1,615.00

Replace Security Identification Badge

0.02

100

2

$25.23

$50.00

-----

10,003

603

-----

$16,990.00

Total

15.

Reason for Change in Burden

Summary of Changes Since the Previous Renewal
OMB previously approved the renewal of this information collection in April of 2009 with

7

10,500 responses, 1,045 burden hours, and $1,982 in annual (non-hour) costs. There
have been no interim approvals.
For this renewal, the USPTO estimates that the total annual responses will be 10,003 and
the total annual burden hours will be 989. This decrease of 56 burden hours is due to
administrative adjustments.
The currently approved annual (non-hour) cost burden for this collection is $1,982. For this
renewal, the USPTO estimates that the total annual (non-hour) costs will be $1,502. This
decrease of $480 is due to a program change.
Change in Respondent Cost Burden
The total respondent cost burden for this collection has increased by $14,216, from
$177,650 to $191,866, from the previous renewal of this collection in April of 2009 due to:
•

Increase in estimated hourly rate. The 2009 renewal used an estimated rate of
$170 per hour for a combination of attorneys and paraprofessionals to prepare the
items in this collection. For the current renewal, the USPTO is using the updated
rate of $194 per hour for respondents to this collection.

•

Decrease in estimated burden hours. The total estimated burden hours have
decreased from 1,045 in the 2009 renewal to 989 for the current renewal due to a
decrease in the estimated number of annual filings for this collection.

Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the total annual responses will decrease by
497 (from 10,500 to 10,003) and the total burden hours will decrease by 56 (from 1,045 to
989) from the currently approved burden for this collection. These changes are due to the
following administrative adjustments:
•

Decrease of 223 estimated annual responses for the Application for Public User
ID (Online Access Card) from 2,553 to 2,330; a burden decrease of 18 hours.

•

Decrease of 187 estimated annual responses for the Issue Online Access Card
from 2,282 to 2,095; a burden decrease of 32 hours.

•

Decrease of 67 estimated annual responses for the Renew Online Access Card
from 1,126 to 1,059; a burden decrease of 5 hours.

•

Decrease of 20 estimated annual responses for the Replace Online Access Card
from 165 to 145; a burden decrease of 1 hour.

8

Changes in Annual (Non-Hour) Costs
For this renewal, the USPTO estimates that the annual (non-hour) costs will decrease by
$480, from $1,982 to $1,502, due to a program change, as follows:
•

16.

Decrease of $480. This collection is currently approved with a total of $1,980 in
fees. For this renewal, the USPTO estimates that total fees will decrease to $1,500
as a program change. The $120 fee for the 4 users who request private instruction
for the online search systems available at the Public Search Facility is being deleted
from this collection. With the elimination of this fee, this collection no longer has any
fees associated with training for the online search systems.
Project Schedule

The USPTO does not plan to publish this information for statistical use.
17.

Display of Expiration Date of OMB Approval

The forms in this information collection will display the OMB control number and the
expiration date.
18.

Exception to the Certificate Statement

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

B.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

9