Practitioner Conduct and Discipline

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
0651-USPTO-Information-Quality-Guidelines-Dec2009[1].pdf	Supplementary Document	Uploaded 2010-08-04	Available
0651-0017 Just Stmt Oct 2012 final.doc	Supporting Statement A	Uploaded 2012-10-17	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4681	Record Keeping Maintenance		Removed
204523	Record Keeping Maintenance and Disclosure (inc: advertisements, disclosure requirements relating to soliciting professional employment and notifications by non-attorney Practitioner of inadvertently s		New
180816	Complaints/Violation Reporting (including Grievances)		Modified
180814	Record Keeping Maintenance Under Suspension or Exclusion from the USPTO		Modified

ICR Details

OMB Control No: 0651-0017	ICR Reference No: 201210-0651-003
Status: Historical Inactive	Previous ICR Reference No: 201007-0651-004
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Practitioner Conduct and Discipline
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 11/26/2012
	Date Received in OIRA: 10/18/2012
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2015	09/30/2013	09/30/2013
Responses	10,766	0	635
Time Burden (Hours)	11,926	0	12,330
Cost Burden (Dollars)	552	0	487

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Abstract: This collection of information is required by 35 U.S.C. Sec. 2(b)(2)(D) and 32-33. Through proposed rule RIN 0651-AC81, "Changes to Representation of Others Before the United States Patent and Trademark Office," the USPTO proposes to align the USPTO's professional responsibility rules with those of most other U.S. jurisdictions by replacing the current USPTO Code of Professional Responsibility with the new USPTO Rules of Professional Conduct. The USPTO also proposes to revise the existing procedural rules governing disciplinary investigations and proceedings. The USPTO is changing the name of the collection to Practitioner Conduct and Discipline.

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Authorizing Statute(s): US Code: 35 USC 2 Name of Law: null
   US Code: 35 USC 32-33 Name of Law: null
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC81	Proposed rulemaking	77 FR 64190	10/18/2012

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Record Keeping Maintenance Under Suspension or Exclusion from the USPTO
Complaints/Violation Reporting (including Grievances)
Record Keeping Maintenance
Record Keeping Maintenance and Disclosure (inc: advertisements, disclosure requirements relating to soliciting professional employment and notifications by non-attorney Practitioner of inadvertently s

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ICR Summary of Burden

table that charts list of burden

	Total Request	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	10,766	635	0	10,081	50	0
Annual Time Burden (Hours)	11,926	12,330	0	-1,044	640	0
Annual Cost Burden (Dollars)	552	487	0	0	65	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: A total of 1,044 burden hours have been deleted from this collection as a result of program changes, along with an increase of 640 burden hours due to administrative adjustments. This results in a total not burden hour decrease of 404.

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Annual Cost to Federal Government: $620,706

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: 10/18/2012

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