Justification for Nonmaterial/Nonsubstantive Change

JUSTIFICATION FOR NONMATERIAL/NONSUBSTANTIVE CHANGE
United States Patent and Trademark Office
Applications for Trademark Registration
OMB Control Number 0651-0009
(April 18, 2013)

Background
The United States Patent and Trademark Office (USPTO) is submitting this request to
adjust the current inventory estimates for information collection 0651-0009 Applications
for Trademark Registration.
The USPTO has determined that certain estimates were based on classes and would
be better estimated based on applications.
The response estimates used to calculate the hour and cost burdens in the 2011
renewal (approved by OMB on December 6, 2011) were based on projections of the
total number of classes that would be filed instead of the total number of applications
that would be filed. A trademark application for registration of a mark can be filed with
more than one class of goods and/or services designated. There is no requirement that
a separate application be filed for each class.
Furthermore, the burden hour estimates were calculated using the projected number of
classes multiplied by the time estimates for an applicant to complete one application
and for the USPTO to process one application. Similarly, the cost estimates were
calculated using projected class estimates, rather than being based on the per-class fee
for a projected number of single-class applications. Therefore, the response, burden
hour, and cost estimates reported in the renewal were higher than they would have
been had they been based on projected applications filed.
Summary of Changes


Estimate of Hour and Cost Burden to Respondents – The USPTO now estimates
that this collection will have 296,747 responses, 103,084 burden hours, and
$35,048,560 in respondent costs. The complete calculations are shown in the table
below:

Burden Hour/Burden Cost to Respondents
Item

Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

Hours
(a)

0.50

Responses
(yr)
(b)

1,830

Burden
(hrs/yr)
(c)
(a) x (b)
915

Rate
($/hr)
(d)

$340.00

Total Cost
($/hr)
(e)
(c) x (d)
$311,100.00

Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

TEAS Use-Based Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.42

68,311

28,691

$340.00

$9,754,940.00

TEAS Plus Use-Based Trademark/Service Mark
Application

0.42

40,732

17,107

$340.00

$5,816,380.00

Intent to Use Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.38

2,772

1,053

$340.00

$358,020.00

TEAS Intent to Use Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.30

103,470

31,041

$340.00

$10,553,940.00

TEAS Plus Intent to Use Trademark/Service Mark
Application

0.30

61,697

18,509

$340.00

$6,293,060.00

Application for Registration of Trademark/Service
Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.42

296

124

$340.00

$42,160.00

TEAS Application for Registration of
Trademark/Service Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.32

11,050

3,536

$340.00

$1,202,240.00

TEAS Plus Application for Registration of
Trademark/Service Mark under § 44

0.32

6,589

2,108

$340.00

$716,720.00

Total

- - - -

296,747

103,084

-----------

$35,048,560.00



Total Annualized Cost Burden – The USPTO now estimates that this collection will
have $2,112 in postage costs, $91,236,775 in filing fees, and $117,100 in
processing fees. The complete calculations are outlined below:
Postage Costs - The USPTO estimates that approximately 98% of the paper forms
are submitted via first-class mail. Out of 4,898 paper forms, the USPTO estimates
that 4,800 forms will be mailed, with a first-class postage cost of 44 cents.
Filing Fees - Applicants who choose to file their applications electronically instead of
submitting them in paper pay a reduced filing fee. Those who choose to file TEAS
Plus applications pay a further reduced fee, as long as they agree to certain

2

conditions. An application must include a filing fee for each class of goods and
services. The total filing fees associated with this collection can vary depending on
the number of classes in each application. However, the estimates are based on
submission of the filing fee for one class of goods or services.
Processing Fees – The USPTO charges a processing fee of $50 to process
applications that were originally filed as TEAS Plus applications, but which failed to
meet the TEAS Plus requirements. The USPTO estimates that out of the 109,018
TEAS Plus applications filed, 2,342 will be subject to the processing fee. A
processing fee is charged for each class of goods and services in the application, so
the total processing fee can vary depending on the number of classes. However,
the estimates are based on submission of the processing fee for one class or goods
or services.
Annual (Non-hour) Cost Burden
Type of Cost

Estimated
Annual
Responses

Amount

Totals

Postage for Use-Based Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

1,793

$0.44

$789.00

Postage for Intent to Use Trademark/Service Mark Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

2,717

$0.44

$1,195.00

290

$0.44

$128.00

-------------------

-----------------

$2,112.00

1,830

$375.00

$686,250.00

Filing Fees for TEAS Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

68,311

$325.00

$22,201,075.00

Filing Fees for TEAS Plus Use-Based Trademark/Service Mark
Application

40,732

$275.00

$11,201,300.00

Postage for Application for Registration of Trademark/Service Mark
under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Total Postage

Filing Fees for Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

3

Filing Fees for Intent to Use Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Filing Fees for TEAS Intent to Use Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Filing Fees for TEAS Plus Intent to Use Trademark/Service Mark
Application
Filing Fees for Application for Registration of Trademark/Service Mark
under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Filing Fees for TEAS Application for Registration of Trademark/Service
Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application
Filing Fees for TEAS Plus Application for Registration of
Trademark/Service Mark under § 44
Total Filing Fees

2,772

$375.00

$1,039,500.00

103,470

$325.00

$33,627,750.00

61,697

$275.00

$16,966,675.00

296

$375.00

$111,000.00

11,050

$325.00

$3,591,250.00

6,589

$275.00

$1,811,975.00

-------------------

Processing Fees for TEAS Plus Use-Based Applications That Do Not
Meet TEAS Plus Requirements

- - - - -

$91,236,775.00

875

$50.00

$43,750.00

1,325

$50.00

$66,250.00

142

$50.00

$7,100.00

Total Processing Fees

-----------------

----------------

$117,100.00

Total Annual (Non-hour) Cost Burden

-----------------

----------------

$91,355,987.00

Processing Fees for TEAS Plus Intent-to-Use Applications That Do Not
Meet TEAS Plus Requirements
Processing Fees for TEAS Plus Applications for Registration of a
Trademark/Service Mark under § 44 That Do Not Meet TEAS Plus
Requirements

*NOTE: All filing fees are based on per class filing.



Annual Cost to the Federal Government – The USPTO now estimates that this
collection will have $635,620 in federal government processing costs, based on the
same GS rating, hourly rate, and estimated processing times used in the 2011
renewal. The complete calculations are outlined below:

4

Burden Hour/Burden Cost to the Federal Government
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.17

1,830

311

$33.31

$10,359.00

TEAS Use-Based Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

68,311

4,782

$33.31

$159,288.00

TEAS Plus Use-Based Trademark/Service Mark
Application

0.05

40,732

2,037

$33.31

$67,852.00

Intent to Use Trademark/Service Mark Application,
including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.17

2,772

471

$33.31

$15,689.00

TEAS Intent to Use Trademark/Service Mark
Application, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

103,470

7,243

$33.31

$241,264.00

TEAS Plus Intent to Use Trademark/Service Mark
Application

0.05

61,697

3,085

$33.31

$102,761.00

Application for Registration of Trademark/Service Mark
under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.17

296

50

$33.31

$1,666.00

TEAS Application for Registration of
Trademark/Service Mark under § 44, including:
- Trademark/Service Mark Application
- Collective Trademark/Service Mark Application
- Collective Membership Mark Application
- Certification Mark Application

0.07

11,050

774

$33.31

$25,782.00

TEAS Plus Application for Registration of
Trademark/Service Mark under § 44

0.05

6,589

329

$33.31

$10,959.00

296,747

19,082

- - - - -

$635,620.00

Total

- - - - -

Changes in Burden
Revising the response estimates in the 2011 renewal to reflect estimates of the total
number of applications filed instead of estimates of the total number of classes filed will
result in the following burden changes for this information collection:

5

Burden Type

Currently Approved

Proposed Change

New Estimates

Responses

380,289

(83,542)

296,747

Hours

132,106

(29,022)

103,084

$2,703

(591)

$2,112

$117,638,875

($26,402,100)

$91,236,775

$150,000

($32,900)

$117,100

$117,791,578

($26,435,591)

$91,355,987.00

Postage
Filing Fees
Processing Fees
Annual (non-hour) Costs

The USPTO estimates that revising the renewal estimates to reflect the projected total
number of applications filed instead of the projected total number of classes filed will
reduce the original response estimates by 83,542 responses. This reduction in turn will
also reduce the burden hour and annual (non-hour) cost estimates originally reported
for the renewal. Therefore, this collection takes a net burden reduction of 83,542
responses, 29,022 burden hours, and $26,435,591 in annual (non-hour) costs as
an administrative adjustment.
Therefore, this collection would have the following revised total burden:




296,747 responses
103,084 burden hours
$91,355,987 in annual (non-hour) costs

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