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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Post Allowance and Refiling
OMB CONTROL NUMBER 0651-0033
(July 2010)
A.
Justification
1.
Necessity of Information Collection
The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 131 and
151 to examine applications and, when appropriate, allow applications and issue them as
patents. When an application for a patent is allowed by the USPTO, the USPTO issues a
notice of allowance and the applicant must pay the specified issue fee (including the
publication fee, if applicable) within three months to avoid abandonment of the application.
If the appropriate fees are paid within the proper time period, the USPTO can then issue
the patent. If the fees are not paid within the designated time period, the application is
abandoned and the applicant may petition the Director to accept a delayed payment with a
satisfactory showing that the delay was unavoidable or unintentional. The Petition for
Revival of an Application for Patent Abandoned Unavoidably (Form PTO/SB/61) and the
Petition for Revival of an Application for Patent Abandoned Unintentionally (Form
PTO/SB/64) are approved under information collection 0651-0031. The rules outlining the
procedures for payment of the issue fee and issuance of a patent are found at 37 CFR 1.18
and 1.311-1.317.
Chapter 25 of Title 35 U.S.C. provides for several actions that an applicant may take after
issuance of a patent, including requesting a certificate of correction to correct an error or
errors in the patent. If the USPTO determines that the request should be approved, the
USPTO will issue a certificate of correction. For an original patent that is believed to be
wholly or partly inoperative, the patent owner(s) or inventor(s) may apply for reissue of the
patent, which entails several formal requirements including an oath or declaration stating
that the errors in the patent were not the result of any deceptive intention on the part of the
reissue applicant. If additional errors are corrected after the filing of the reissue application
and the original reissue oath/declaration, the reissue applicant must submit a supplemental
oath or declaration stating that the additional errors also occurred without any deceptive
intent. The rules outlining these procedures are found at 37 CFR 1.171-1.178 and 1.3221.325.
The public uses this information collection to pay fees for issuing patents, to request
corrections of errors in issued patents, and to submit applications for reissue patents. This
collection previously included information requirements related to patent reexaminations.
These items are being removed from this collection and were approved by the Office of
Management and Budget (OMB) in February 2010 as a separate new collection, 0651-0064
Patent Reexaminations.
Table 1 provides the specific statutes and regulations requiring the USPTO to collect the
information discussed above:
Table 1: Information Requirements for Post Allowance and Refiling
Requirement
Statute
Rule
Certificate of Correction
35 U.S.C. 254 and 255
37 CFR 1.322-1.325
Reissue Application Documentation
35 U.S.C. 251 and 252
37 CFR 1.171-1.179
Issue Fee Transmittal
35 U.S.C. 41(a) and 151
37 CFR 1.18 and 1.311-1.317
2.
Needs and Uses
The public uses this information collection to pay fees for issuing patents, to request
corrections of errors in issued patents, to apply for reissue patents, and to ensure that the
associated fees and documentation are submitted 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 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 Post Allowance and Refiling
Form and Function
Form #
Needs and Uses
Certificate of Correction
PTO/SB/44
Reissue Documentation
No Form
Reissue Patent Application
Transmittal
PTO/SB/50
Used by the patentee to list the number of the patent to be corrected
and the corrections to be made.
Facilitates matching the patent or patent file with other identifying
information in order to make the appropriate corrections.
Used by the USPTO to determine whether the indicated corrections
should be approved.
Used by the patentee to submit to the USPTO the remainder of the
documentation and information necessary for a reissue patent that is
not collected on one of the existing forms.
Used by the USPTO to finish processing a request for a reissue
application.
Provides a checklist for the patentee to ensure that the requirements
for a reissue application submission are met.
Allows the USPTO to identify the type of patent and patent number in
order to quickly associate the patent file with the reissue documents.
2
Reissue Application
Declaration by the Inventor or
the Assignee
PTO/SB/51/52
Supplemental Declaration for
Reissue Patent Application to
Correct “Errors” Statement
(37 CFR 1.175)
PTO/SB/51S
Reissue Application: Consent
of Assignee; Statement of
Non-Assignment
PTO/SB/53
Enables the assignee to consent to filing a reissue application.
Allows the USPTO to verify the actual owners of the original patent.
Reissue Application Fee
Transmittal Form
PTO/SB/56
Used by the applicant or the applicant’s representatives to calculate
the reissue application fee.
Used by the USPTO to determine the appropriate reissue application
fee.
Provides the inventor or assignee with the required language stating
that all the errors in the original patent being corrected or any
additional errors made during the reissue examination process
occurred “without deceptive intent.”
Used by the USPTO to ensure that the requirements of 37 CFR 1.63
and 1.175 are met in order to reissue the patent.
Issue Fee Transmittal
PTOL-85B
Used by the public to submit an issue fee payment to the USPTO.
Used by the USPTO to determine whether all of the appropriate
information is included at the time of payment of the issue fee, such as
assignments, small entity status, method of payment, and certificate of
mailing.
Issue Fee Transmittal (EFSWeb)
PTOL-85B
Used by the public to submit an issue fee payment to the USPTO
electronically.
Used by the USPTO to determine whether all of the appropriate
information is included at the time of payment of the issue fee, such as
assignments, small entity status, and method of payment.
3.
Use of Information Technology
EFS-Web is a web-based document submission system that allows customers to file
requests for certificates of correction, issue fee transmittals, reissue patent applications,
and associated documents through their standard web browser without downloading
special software, changing their documentation preparation tools, or altering their workflow
processes. Customers may create their requests for certificates of corrections, reissue
patent applications and associated documents using the tools and processes that they
already use and then convert those documents into standard PDF files that are submitted
through EFS-Web to the USPTO. The fillable PDF forms, including the Issue Fee
Transmittal form (PTOL-85B), that can be submitted through EFS-Web may be
downloaded from the USPTO Web site and do not require special PDF creation software.
Registered and unregistered users can file documents securely through EFS-Web, which is
hosted on secure servers. The documents of registered users are protected using a Public
Key Infrastructure (PKI) system and digital certificates which provide authentication and
encryption security. For filers who are not registered, the documents are submitted to EFSWeb using Transport Layer Security (TLS) or Secure Socket Layer (SSL) protocol.
EFS-Web offers many benefits to filers, including immediate notification that a submission
has been received by the USPTO, automated processing of requests, and avoidance of
postage and other paper delivery costs. After the document has been successfully
submitted through EFS-Web, customers will receive an acknowledgement receipt that lists
the time and date stamp stating when the document was submitted to the USPTO, an
application number, a confirmation number, and other critical information, such as the EFS
ID, a listing of the files and documents associated with the submission, and page counts for
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the files and documents. This receipt is the legal equivalent of a postcard in the postcard
receipt practice used for patent application documents that are filed in paper. The USPTO
recommends that customers print the electronic acknowledgement receipt to keep with
their records.
There are many additional benefits to filing through EFS-Web. Users can access EFS-Web
from any computer with an Internet connection. Since EFS-Web is hosted on the USPTO’s
secure servers and not on the individual’s personal computer, USPTO staff can update
EFS-Web without requiring any action from the user. Customers can submit fee payments
and other requests in real time. The PDF forms can be passed around to multiple users for
collaboration.
EFS-Web integrates with the Patent Application Information Retrieval (PAIR) system, the
USPTO’s online database that provides trusted filers with controlled access to nonpublished patent application information. PAIR uses digital certificates to permit only
authorized individuals to access information about pending patent applications and to
maintain the confidentiality and integrity of the information as it is transmitted over the
Internet. Information for issued patents, certificates of correction, and reissue applications
is available to the general public. PAIR is available through the USPTO Web site.
4.
Efforts to Identify Duplication
This information is collected only when an applicant pays an issue fee for a patent
application allowed by the USPTO, when the patentee or others apply for reissue of a
patent, or when the patentee or others request a certificate of correction to correct errors
contained in the patent. This information is not collected elsewhere and does not result in a
duplication of effort.
5.
Minimizing Burden to Small Entities
The information in this collection is necessary in order to process requests related to
certificates of correction, reissue applications, and issue fee payments. The same
information is required from every applicant, patent owner, or other customer and is not
available from any other source.
This information collection involves payment of fees by customers who may qualify as small
entities. To reduce this cost burden for small entities, the USPTO offers reduced fees (by
50%) for issued patents and reissue applications pursuant to 35 U.S.C. 41(h) for persons,
small business concerns, or nonprofit organizations that qualify as small entities under
37 CFR 1.27. No significant burden is placed on small entities, in that small entities are
simply required to identify themselves as such in order to obtain these benefits. An
assertion of small entity status only needs to be filed once in an application or patent.
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6.
Consequences of Less Frequent Collection
This information is collected only when the public submits a related request for a certificate
of correction, reissue patent application, or an issue fee payment. If the information were
not collected, the USPTO would not be able to comply with the statutes and regulations
governing the issuance of patents, issued patents and reissue applications. This
information could not be collected less frequently.
7.
Special Circumstances in the Conduct of Information Collection
There are no special circumstances associated with this collection of information.
8.
Consultations Outside the Agency
The 60-Day Notice was published in the Federal Register on February 9, 2010
(75 Fed. Reg. 6350). The comment period ended on April 12, 2010. One commenter (an
individual patent practitioner) responded to the February 9, 2010 60-Day Notice. The
USPTO’s response to the comment follows:
Comment: The commenter indicated that the USPTO has underestimated the time
required to gather the necessary information, prepare the reissue documentation,
supplemental reissue declaration, or issue fee transmittal, and submit it to the USPTO.
The commenter also indicates that the USPTO has underestimated the time required for
recordkeeping for this collection.
Response: The USPTO notes the concern expressed by the commenter regarding the time
required to gather the necessary information, prepare the reissue documentation,
supplemental reissue declaration, or issue fee transmittal, and submit it to the USPTO.
The basis for the commenter’s concern seems to be, at least in part, due to the
commenter’s belief that the planning of a reissue application can be time-consuming,
involving consideration of prior art and competitive positions. For the present analysis,
however, the USPTO must take into consideration not only more complex reissue
applications filed with an eye towards competitive positioning, but also more straightforward
reissue applications filed without particular concern for competitive positioning.
Nevertheless, in response to the commenter’s concern, the USPTO in this Supporting
Statement has revised its estimate for the amount of time required to gather the necessary
information, prepare the reissue documentation, supplemental reissue declaration, or issue
fee transmittal, and submit it to the USPTO, as shown in greater detail at Table 3 below as
well as in Section 15. The USPTO has also revised its estimate for the amount of time
required for recordkeeping for this collection, as explained in greater detail at Section 13
below.
The USPTO has long-standing relationships with groups from whom patent application data
is collected, such as the American Intellectual Property Law Association, as well as patent
bar associations, independent inventor groups, and users of our public facilities. Their
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views are expressed in meetings and considered in developing proposals for information
collection requirements.
9.
Payment or Gifts to Respondents
This information collection does not involve a payment or gift to any respondent.
10.
Assurance of Confidentiality
The confidentiality of patent applications is governed by statute (35 U.S.C. 122) and
regulation (37 CFR 1.11 and 1.14). The USPTO has a legal obligation to maintain the
confidentiality of the contents of unpublished patent applications and related documents.
Upon publication of an application or issuance of a patent, the patent application file is
made available to the public, subject to the provisions for providing only a redacted copy of
the file contents. The entire file of a reissue application is available to the public.
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 217,184 responses per year
as outlined in the table below.
Burden Hour Calculation Factors
The USPTO estimates that it will take the public from 12 minutes (0.20 hours) to 5
hours to gather the necessary information, prepare the appropriate form or other
document, and submit the information to the USPTO.
Cost Burden Calculation Factors
In 2009 the Committee on Economics of Legal Practice of the American Intellectual
Property Law Association published a report that summarized the results of a survey
with data on hourly billing rates. The professional rate of $325 per hour used in this
submission is the median rate for attorneys in private firms as published in that
report. The USPTO expects that the information in this collection will be prepared
by attorneys, except for the Issue Fee Transmittal, which will be prepared by
paraprofessionals at an estimated rate of $100 per hour. These estimates are fullyloaded hourly rates.
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Table 3: Burden Hour/Burden Cost to Respondents for Post Allowance and Refiling
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a x b)
Rate
($/hr)
(d)
Total Cost
($/yr)
(e)
(c x d)
Certificate of Correction (PTO/SB/44)
1.00
26,000
26,000
$325.00
$8,450,000.00
Reissue Documentation
5.00
850
4,250
$325.00
$1,381,250.00
Reissue Patent Application
Transmittal
(PTO/SB/50)
0.20
850
170
$325.00
$55,250.00
Reissue Application Declaration by
the Inventor or the Assignee
(PTO/SB/51/52)
0.50
1,135
568
$325.00
$184,600.00
Supplemental Declaration for Reissue
Patent Application to Correct “Errors”
Statement (37 CFR 1.175)
(PTO/SB/51S)
0.30
900
270
$325.00
$87,750.00
Reissue Application: Consent of
Assignee; Statement of Nonassignment (PTO/SB/53)
0.20
1,230
246
$325.00
$79,950.00
Reissue Application Fee Transmittal
Form (PTO/SB/56)
0.20
850
170
$325.00
$55,250.00
Issue Fee Transmittal
(PTOL-85B)
0.50
12,975
6,488
$100.00
$648,800.00
Issue Fee Transmittal (EFS-Web)
(PTOL-85B)
0.50
172,394
86,197
$100.00
$8,619,700.00
--------
217,184
124,359
---------
$19,562,550.00
Totals
The USPTO estimates that approximately 93% of the total responses for this collection will
be submitted electronically.
13.
Total Annualized (Non-hour) Cost Burden
There are no capital start-up or maintenance costs associated with this information
collection. However, this collection does have annual (non-hour) costs in the form of fees,
postage costs, and recordkeeping costs.
The Reissue Application Fee Transmittal Form (PTO/SB/56) includes the fees for the
reissue application under 37 CFR 1.16, including the basic filing fee, search fee, and
examination fee. These fees cover all parts of the application, including reissue
documentation, reissue application transmittal, reissue application declarations, and
consent of assignee or statement of non-assignment. There is no fee for the supplemental
declaration for a reissue patent application to correct an “errors” statement. Additionally,
there are several different issue fees under 37 CFR 1.18 depending on the type of patent
being issued, whether a publication fee is required, and whether the inventor is entitled to
the discounted small entity fee. The USPTO estimates that the total fees associated with
this collection will be $284,296,310 per year, as calculated in Table 4 below.
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Table 4: Fees for Respondents for Post Allowance and Refiling
Item
Estimated
annual
responses
Certificate of Correction (PTO/SB/44)
Fee Amount
Estimated
annual
fees
26,000
$100.00
$2,600,000.00
Reissue Documentation
850
$0.00
$0.00
Reissue Patent Application Transmittal (PTO/SB/50)
850
$0.00
$0.00
1,135
$0.00
$0.00
900
$0.00
$0.00
1,230
$0.00
$0.00
Reissue Application Fee Transmittal Form (PTO/SB/56)
510
$1,520.00
$775,200.00
Reissue Application Fee Transmittal Form (small entity)
(PTO/SB/56)
340
$760.00
$258,400.00
Issue Fee (utility patent, no publication fee) (PTOL-85B)
11,162
$1,510.00
$16,854,620.00
2,712
$755.00
$2,047,560.00
118,518
$1,810.00
$214,517,580.00
Issue Fee (utility patent, with publication fee, small entity) (PTOL85B)
28,802
$1,055.00
$30,386,110.00
Issue Fee (design patent, no publication fee) (PTOL-85B)
13,218
$860.00
$11,367,480.00
9,976
$430.00
$4,289,680.00
Issue Fee (plant patent, no publication fee) (PTOL-85B)
50
$1,190.00
$59,500.00
Issue Fee (plant patent, no publication fee, small entity) (PTOL85B)
34
$595.00
$20,230.00
Issue Fee (plant patent, with publication fee) (PTOL-85B)
533
$1,490.00
$794,170.00
Issue Fee (plant patent, with publication fee, small entity) (PTOL85B)
364
$895.00
$325,780.00
Reissue Application Declaration by the Inventor or the Assignee
(PTO/SB/51/52)
Supplemental Declaration for Reissue Patent Application to Correct
“Errors” Statement (37 CFR 1.175) (PTO/SB/51S)
Reissue Application: Consent of Assignee; Statement of Nonassignment (PTO/SB/53)
Issue Fee (utility patent, no publication fee, small entity) (PTOL85B)
Issue Fee (utility patent, with publication fee) (PTOL-85B)
Issue Fee (design patent, no publication fee, small entity) (PTOL85B)
Totals
217,184
......
$284,296,310.00
Customers may incur postage costs when submitting the information in this collection to the
USPTO by mail. The USPTO estimates that the average first-class postage cost for a
mailed submission will be 88 cents and that approximately 15,200 submissions will be
mailed to the USPTO per year. The total estimated postage cost for this collection is
$13,376 per year.
When submitting the information in this collection to the USPTO electronically, the
customer is strongly urged to retain a copy of the acknowledgment receipt as evidence that
8
the submission was received by the USPTO on the date noted. The USPTO estimates that
it will take 2 minutes (0.03 hours) to print and retain a copy of the acknowledgment receipt
and that approximately 201,984 responses per year will be submitted electronically, for a
total of approximately 6,060 hours per year for printing this receipt. Using the
paraprofessional rate of $100 per hour, the USPTO estimates that the recordkeeping cost
associated with this collection will be $606,000 per year.
The total annual (non-hour) respondent cost burden for this collection in the form of
fees ($284,296,310), postage costs ($13,376), and recordkeeping costs ($606,000) is
$284,915,686 per year.
14.
Annual Cost to Federal Government
The USPTO estimates that it takes USPTO staff approximately 10 minutes (0.17 hours) to
1 hour to process the information in this collection, depending on the type and amount of
information submitted. The information in this collection is processed by GS-7, step 1 and
GS-5, step 1 employees at the hourly rates of $20.22 and $16.33. When 30% is added to
account for a fully-loaded hourly rate (benefits and overhead), the hourly rate for
information processed by GS-7 employees is $26.29 ($20.22 + $6.07) and by GS-5
employees is $21.23 ($16.33 + $4.90). The USPTO expects that the EFS-Web version of
the Issue Fee Transmittal form will be processed automatically without any direct staff time
required.
Table 5 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 5: Burden Hour/Burden Cost to the Federal Government for Post Allowance and Refiling
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a x b)
Rate
($/hr)
(d)
Total Cost
($/yr)
(e)
(c x d)
Certificate of Correction (PTO/SB/44)
0.50
26,000
13,000
$26.29
$341,770.00
Reissue Documentation
1.00
850
850
$21.23
$18,046.00
Reissue Patent Application Transmittal
(PTO/SB/50)
1.00
850
850
$21.23
$18,046.00
Reissue Application Declaration by the Inventor or
the Assignee (PTO/SB/51/52)
0.30
1,135
341
$21.23
$7,239.00
Supplemental Declaration for Reissue Patent
Application to Correct “Errors” Statement (37 CFR
1.175) (PTO/SB/51S)
0.30
900
270
$21.23
$5,732.00
Reissue Application: Consent of Assignee;
Statement of Non-assignment (PTO/SB/53)
0.30
1,230
369
$21.23
$7,834.00
Reissue Application Fee Transmittal Form
(PTO/SB/56)
0.30
850
255
$21.23
$5,414.00
Issue Fee Transmittal (PTOL-85B)
0.17
12,975
2,206
$21.23
$46,833.00
9
Issue Fee Transmittal (PTOL-85B) (EFS-Web)
Totals
15.
0.00
172,394
0
N/A
$0.00
----------
217,184
18,141
----------
$450,914.00
Reason for Changes in the Annual Burden
Summary of Changes Since the Previous Renewal
This information collection was previously approved by OMB in August 2007 with a total of
224,926 responses and 68,245 burden hours per year.
For this renewal, the USPTO estimates that the total annual responses will be 217,184 and
the total annual burden hours will be 124,359, which is a decrease of 7,742 responses but
an increase of 56,114 hours from the currently approved burden for this collection. This
increase in burden hours is due to both program changes and administrative adjustments.
In addition, the USPTO estimates that the proportion of responses submitted electronically
will increase from 17% to 93%.
The total annual (non-hour) cost burden for this renewal of $284,915,686 is an increase of
$11,802,256 from the currently approved total of $273,113,430 in annual costs for this
collection. This increase in annual costs is due to both program changes and
administrative adjustments.
Changes from the 60-Day Notice
Since the 60-Day Notice for this renewal was published, the USPTO has decided to revise
the time estimates for preparing several of the items in this collection: Reissue
Documentation (adjusted from 2 hours to 5 hours per response), Supplemental Declaration
for Reissue Patent Application to Correct “Errors” Statement (adjusted from 1.8 minutes to
18 minutes per response), Reissue Application: Consent of Assignee; Statement of Nonassignment (adjusted from 6 minutes to 12 minutes per response), and Issue Fee
Transmittal (adjusted from 12 minutes to 30 minutes per response for both standard and
EFS-Web versions). In addition, the USPTO has revised the estimated time for
recordkeeping associated with electronic submissions from 5 seconds (0.001 hours) to 2
minutes (0.03 hours) per response for printing and retaining the acknowledgment receipt,
increasing total recordkeeping hours from 202 to 6,060 and the associated costs from
$20,200 to $606,000.
As a result of these changes, the total estimated burden hours for this collection have been
increased from what was reported in the 60-Day Notice, from 65,832 to 124,359 burden
hours. In addition, the total estimated annual (non-hour) cost burden has been increased
from $284,329,886 to $284,915,686 due to the increase in estimated recordkeeping costs.
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Change in Respondent Cost Burden
This collection was previously approved in August 2007 with an estimated total respondent
cost burden of $12,486,080 per year. That submission used an estimated rate of $304 per
hour for attorneys preparing the items in this collection (except for the Issue Fee
Transmittals) and an estimated rate of $90 per hour for paraprofessionals preparing the
Issue Fee Transmittals. For this renewal, the USPTO has revised the estimated rates for
respondents to $325 for attorneys and $100 for paraprofessionals.
At these revised rates, the 124,359 burden hours for this renewal yield a respondent cost
burden of $19,562,550, which is an increase of $7,076,470 from the total respondent cost
burden reported in the 2007 submission. This increase in respondent cost burden is due to
the increase in total burden hours from the previous submission as well as the increases in
the estimated hourly rates for respondents.
Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the total annual responses for this collection
will decrease by 7,742 and the total annual burden hours will increase by 56,114. This
increase in burden hours is due to both program changes and administrative adjustments,
as follows:
The USPTO is adjusting the estimated annual responses for the Certificate of
Correction (PTO/SB/44) to 26,000, which is an increase of 1,000 from the previous
estimate of 25,000. Therefore, this collection takes a burden increase of 1,000
hours as an administrative adjustment.
The USPTO is adjusting the estimated annual responses for Reissue
Documentation to 850, which is a decrease of 250 from the previous estimate of
1,100. However, the USPTO has also revised the time estimate for preparing this
documentation, increasing the estimate from 2 hours to 5 hours per response.
Therefore, this collection takes a burden increase of 2,050 hours as an
administrative adjustment.
The USPTO is adjusting the estimated annual responses for Reissue Patent
Application Transmittals (PTO/SB/50) to 850, which is a decrease of 250 from the
previous estimate of 1,100. Therefore, this collection takes a burden decrease
of 50 hours as an administrative adjustment.
The USPTO is adjusting the estimated annual responses for Reissue Application
Declarations by the Inventor or the Assignee (PTO/SB/51/52) to 1,135, which is an
increase of 35 from the previous estimate of 1,100. Therefore, this collection
takes a burden increase of 18 hours as an administrative adjustment.
The USPTO is adjusting the estimated annual responses for the Supplemental
Declaration for Reissue Patent Application to Correct “Errors” Statement
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(PTO/SB/51S) to 900, which is an increase of 200 from the previous estimate of
700. The USPTO has also revised the time estimate for preparing this requirement,
increasing the estimate from 1.8 minutes (0.03 hours) to 18 minutes (0.30 hours) per
response. Therefore, this collection takes a burden increase of 249 hours as
an administrative adjustment.
The USPTO is adjusting the estimated annual responses for the Reissue
Application: Consent of Assignee; Statement of Non-assignment (PTO/SB/53) to
1,230, which is an increase of 155 from the previous estimate of 1,075. The USPTO
has also revised the time estimate for preparing this requirement, increasing the
estimate from 6 minutes (0.10 hours) to 12 minutes (0.20 hours) per response.
Therefore, this collection takes a burden increase of 138 hours as an
administrative adjustment.
The USPTO is adjusting the estimated annual responses for Reissue Application
Fee Transmittal Forms (PTO/SB/56) to 850, which is a decrease of 250 from the
previous estimate of 1,100. Therefore, this collection takes a burden decrease
of 50 hours as an administrative adjustment.
The USPTO is deleting the Request for Ex Parte Reexamination Transmittal Form
(PTO/SB/57) from this collection. This item has been approved as part of a new
collection under OMB Control Number 0651-0064. Therefore, this collection
takes a burden decrease of 1,000 hours as a program change.
The USPTO is deleting the Request for Inter Partes Reexamination Transmittal
Form (PTO/SB/58) from this collection. This item has been approved as part of a
new collection under OMB Control Number 0651-0064. Therefore, this collection
takes a burden decrease of 200 hours as a program change.
The USPTO is deleting the Petition to Review Refusal to Grant Ex Parte
Reexamination from this collection. This item has been approved as part of a new
collection under OMB Control Number 0651-0064. Therefore, this collection
takes a burden decrease of 100 hours as a program change.
The USPTO is deleting the Petition to Review Refusal to Grant Inter Partes
Reexamination from this collection. This item has been approved as part of a new
collection under OMB Control Number 0651-0064. Therefore, this collection
takes a burden decrease of 1 hour as a program change.
The USPTO is deleting the Petition to Request Extension of Time in Ex Parte or
Inter Partes Reexamination from this collection. This item has been approved as
part of a new collection under OMB Control Number 0651-0064. Therefore, this
collection takes a burden decrease of 25 hours as a program change.
12
The USPTO is adjusting the estimated annual responses for the Issue Fee
Transmittal (PTOL-85B) to 12,975, which is a decrease of 141,425 from the
previous estimate of 154,400. This adjustment is due to the public’s increased
usage of electronic filing through EFS-Web. However, the USPTO has also revised
the time estimate for preparing this requirement, increasing the estimate from 12
minutes (0.20 hours) to 30 minutes (0.50 hours) per response. Therefore, this
collection takes a burden decrease of 24,392 hours as an administrative
adjustment.
The USPTO is adjusting the estimated annual responses for the EFS-Web version
of the Issue Fee Transmittal (PTOL-85B) to 172,394, which is an increase of
133,794 from the previous estimate of 38,600. This adjustment is due to the public’s
increased usage of electronic filing through EFS-Web. The USPTO has also revised
the time estimate for preparing this requirement, increasing the estimate from 12
minutes (0.20 hours) to 30 minutes (0.50 hours) per response. Therefore, this
collection takes a burden increase of 78,477 hours as an administrative
adjustment.
In sum, this information collection has a total burden increase of 56,114 hours, with
a decrease of 1,326 hours due to program changes being offset by a net increase of
57,440 hours due to administrative adjustments.
Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will increase
by $11,802,256. This increase in annual (non-hour) costs is due to both program changes
and administrative adjustments, as follows:
The USPTO is deleting from this collection five items related to reexaminations,
which have been approved as part of a new collection under OMB Control Number
0651-0064. These items were previously approved in this collection with a total of
$2,163,521 in annual (non-hour) costs, including fees, postage, and recordkeeping
costs. Therefore, this collection takes a decrease of $2,163,521 in annual (nonhour) costs as a program change.
The remaining items in this collection were previously approved with a total of
$270,949,909 in annual (non-hour) costs, including fees, postage, and
recordkeeping costs. For this renewal, the USPTO estimates that the total annual
(non-hour) costs for these items will be $284,915,686, an increase of $13,965,777.
This increase is due to the following factors:
The remaining items in this collection were previously approved with a total of
$270,849,900 in fees. For this renewal, total fees for these items have increased to
$284,296,310 because of changes in the fees for issued patents and reissue
applications as well as adjustments to the estimated responses. Therefore, this
13
collection takes an increase of $13,446,410 in annual (non-hour) costs, which
represents an increase of $17,242,410 as a program change that is partially
offset by a decrease of $3,796,000 as an administrative adjustment.
The remaining items in this collection were previously approved with a total of
$100,009 in postage and recordkeeping costs associated with submitting the
information in this collection to the USPTO by mail or online. For this renewal, total
postage and recordkeeping costs have increased to $619,376 due to several
factors, including adjustments in the estimated annual responses, estimated
postage costs, estimated hourly rate and time for recordkeeping, and estimated
proportion of electronic submissions. Therefore, this collection takes an increase
of $519,367 as an administrative adjustment.
In sum, this collection has a net increase in annual (non-hour) cost burden of
$11,802,256, with a net increase of $15,078,889 due to program changes being
partially offset by a decrease of $3,276,633 due to administrative adjustments.
16.
Published Collections of Information
No special publication of the items in this collection is planned. However, information
regarding patents with certificates of correction, reissue applications filed, and reissue
patents granted is published weekly in the Official Gazette of the United States Patent and
Trademark Office. The Official Gazette is published in electronic format on the USPTO
Web site.
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.
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.
14
REFERENCES
A.
B.
C.
D.
E.
F.
G.
H.
I.
The USPTO Information Quality Guidelines
Form PTO/SB/44 Certificate of Correction
Form PTO/SB/50 Reissue Patent Application Transmittal
Forms PTO/SB/51/52 Reissue Application Declaration by the Inventor or the
Assignee
Form PTO/SB/51S Supplemental Declaration for Reissue Patent Application to
Correct “Errors” Statement (37 CFR 1.175)
Form PTO/SB/53 Reissue Application, Consent of Assignee; Statement of NonAssignment
Form PTO/SB/56 Reissue Application Fee Transmittal Form
Form PTOL-85B Issue Fee Transmittal
Form PTOL-85B Issue Fee Transmittal (EFS-Web)
15
| File Type | application/pdf |
| File Title | Microsoft Word - 0651-0033-JustStmt-Jul2010-final.doc |
| File Modified | 2010-07-16 |
| File Created | 2010-07-16 |