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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Patent Processing (Updating)
OMB CONTROL NUMBER 0651-0031
(July 22, 2013)
A.
JUSTIFICATION
1.
Necessity of Information Collection
The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. §
131 to examine an application for patent and, when appropriate, issue a patent. Also,
the USPTO is required to publish patent applications, with certain exceptions, promptly
after the expiration of a period of eighteen months from the earliest filing date for which
a benefit is sought under Title 35, United States Code (“eighteen-month publication”).
Certain situations may arise which require that additional information be supplied in
order for the USPTO to further process the patent or application. The USPTO
administers the statutes through various sections of the rules of practice in 37 CFR Part
1.
The information in this collection can be used by the USPTO to continue the processing
of the patent or application to ensure that applicants are complying with the patent
regulations and to aid in the prosecution of the application.
Table 1 provides the specific statutes and rules requiring the USPTO to collect the
information discussed above:
Table 1: Information Requirements for Patent Processing (Updating)
Requirement
Statute
Rule
1
Information disclosure statements and eIDS
35 U.S.C. § 2(b)(2)
37 CFR 1.56, 1.97 and 1.98
2
Transmittal form
35 U.S.C. § 2(b)(2)
37 CFR 1.4, 1.5, 1.48, 1.111, 1.116, 1.121,
1.125, 1.133 and 1.291
3
Petitions for extension of time under 37 CFR
1.136(a)
35
U.S.C.
§
2(b)(2),
41(a)(8), 131 and 132
37 CFR 1.136
4
Express abandonment under 37 CFR 1.138
35 U.S.C. § 2(b)(2), 131
and 132
37 CFR 1.138
5
Disclaimers
35 U.S.C. § 253
37 CFR 1.321
6
Request for expedited examination of a
design application
35 U.S.C. § 2(b)(2)
37 CFR 1.155
7
Notice of appeal
35 U.S.C. § 134
37 CFR 1.191
8
Petitions to revive unavoidably or
unintentionally abandoned applications
35 U.S.C. §§ 41(a)(7), 111,
133, 151 and 371(d)
37 CFR 1.137
Requirement
Statute
Rule
9
Petition for revival of an application for
patent abandoned for failure to notify the
office of a foreign or international filing
35 U.S.C. § 2(b)(2)
37 CFR 1.137 and 1.213
10
Requests to access, inspect and copy
35 U.S.C. § 122
37 CFR 1.14
11
Deposit account order form
35 U.S.C. § 2(b)(2)
37 CFR 1.25
12
Certificates of mailing/transmission
35 U.S.C. §§ 2(b)(2) and
21(a)
37 CFR 1.8
13
Statement under 37 CFR 3.73(b)
35 U.S.C. § 2(b)(2)
37 CFR 3.73(b)
14
Non-publication request
35 U.S.C. § 122(b)(2)(B)(i)
37 CFR 1.213(a)
15
Rescission of previous non-publication
request (35 U.S.C. § 122(b)(2)(B)(ii) and, if
applicable, notice of foreign filing (35 U.S.C.
§ 122(b)(2)(B)(iii)
35
U.S.C.
122(b)(2)(B)(ii)
122(b)(2)(B)(iii)
37 CFR 1.213(b)
16
Electronic filing system (EFS) copy of
application for publication
35 U.S.C. §§ 122(b) and
122(b)(2)(B)(v)
37 CFR 1.215, 1.217, 1.219 and 1.221
17
Copy of file content showing redactions
35 U.S.C. § 122(b)
37 CFR 1.217(d)
18
Copy of the Applicant or Patentee’s Record
of the Application (including copies of the
correspondence, list of the correspondence,
and statements verifying whether the record
is complete or not)
35 U.S.C. § 2(b)(2)
37 CFR 1.251
19
Request for continued examination (RCE)
transmittal
35 U.S.C. § 132(b)
37 CFR 1.114
20
Request for oral hearing before the Patent
Trial and Appeal Board
35 U.S.C. § 134
37 CFR 1.194(b)
21
Request for suspension of action or deferral
of examination under 37 CFR 1.103(b) or (d)
35 U.S.C. §§ 2(b)(2) and
131
37 CFR 1.103(b) or (d)
22
Request for voluntary publication or
republication (includes publication fee for
republication)
35 U.S.C. § 2(b)(2)
37 CFR 1.221
23
Applicant initiated interview request form
35 U.S.C. § 2(b)(2)
37 CFR 1.133
24
Processing fee under 37 CFR 1.17(i)
transmittal
35 U.S.C. § 2(b)(2)
37 CFR 1.17(i)
25
Request to retrieve electronic priority
application(s) under 37 CFR 1.55(d)
35 U.S.C. § 2(b)(2)
37 CFR 1.55(d)
26
Authorization for permit access to application
by participating offices under 37 CFR 1.14(h)
35 U.S.C. § 2(b)(2)
37 CFR 1.14(h)
27
Petition for express abandonment to obtain a
refund
35 U.S.C. § 4(d)(1)(D)
37 CFR 1.138(d)
28
Pre-appeal brief request for review
35 U.S.C. §§ 2(b)(2) and
134
37 CFR 41.32
29
Request for corrected filing receipt
35 U.S.C. § 2(b)(2)
37 CFR 1.54, 1.76(a), 1.48(a) and (c)
30
Request for first-action interview (pilot
program)
35 U.S.C. § 2(b)(2)
37 CFR 1.133
2
§§
and
Requirement
Statute
Rule
31
Petition to make special based on age for
advancement of examination under 37 CFR
1.102(c)(1)
35 U.S.C. § 2(b)
37 CFR 1.105(c)(1)
32
Filing a submission after final rejection (see
37 CFR 1.129(a))
35 U.S.C. §§ 2(b)(2), 102,
103, and 132
37 CFR 1.129
2.
Needs and Uses
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.
Table 2 outlines how the information for Patent Processing (Updating) is used by the
public and by the USPTO:
Table 2: Needs and Uses of Information Collected for Patent Processing (Updating)
1
2
Form and Function
Form #
Information Disclosure Statements and
eIDS
PTO/SB/08a/
08b and EFSWeb
PTO/SB/21
Transmittal Form
Needs and Uses
3
Petition for Extension of Time under
37 CFR 1.136(a)
PTO/SB/22,
PTO/AIA/22
4
Express Abandonment
PTO/SB/24,
PTO/AIA/24
3
Used by the applicant to meet the applicant’s duty of
disclosure under 37 CFR 1.56.
Used by the USPTO when printing the patent
document.
Used by the applicant to indicate what type of
correspondence is being submitted.
Used by the USPTO to determine the specific
contents of the communication.
Used by the USPTO to facilitate the routing of papers
to the most appropriate USPTO locations.
Used by the applicant to request an extension of time.
Used by the USPTO to determine whether the reason
for requesting an extension is sufficient for granting it.
Used by the USPTO to decide the correct fee, based
upon the number of months of extension requested,
and whether or not the applicant is entitled to small
entity status.
Used by the applicant to expressly abandon an
application.
Used by the USPTO to determine whether the
application is expressly abandoned.
Used by the USPTO to determine whether an
application has been expressly abandoned in favor of
a continuation or divisional application.
Form and Function
5
Disclaimers
Form #
Needs and Uses
PTO/SB/25/26/
43/63
6
Request for Expedited Examination of a
Design Application
PTO/SB/27
7
Notice of Appeal
8
Petitions to Revive Unintentionally or
Unavoidably Abandoned Applications
10
Used by the applicant to file a Notice of Appeal.
Used by the USPTO to ensure that applicants comply
with regulations when filing a Notice of Appeal.
PTO/SB/61/64
Used by the applicant to request that applications that
were unintentionally or unavoidably abandoned be
revived.
Used by the USPTO to ensure that applicants have
included all the proper documentation and fees
necessary to revive an unintentionally or unavoidably
abandoned application.
Petition for Revival of an Application for
Patent Abandoned for Failure to Notify
the Office of a Foreign or International
Filing
PTO/SB/64a
Requests to Access, Inspect and Copy
PTO/SB/67/68
11
Deposit Account Order Form
PTO/SB/91
12
Certificate of Mailing/Transmission
PTO/SB/92/97
13
Statement under 37 CFR 3.73(b)
Used by the applicant to request expedited
examination of a design application.
Used by the USPTO to ensure that all of the required
information to expedite examination is provided and to
process the request.
PTO/SB/31,
PTO/AIA/31
9
Used by the applicant or assignee to disclaim the
entire term or part of a term of a patent or a patent to
be granted.
Used by the USPTO to determine whether all owners
have provided the required terminal disclaimer and to
determine the length of the patent term to which the
patentee is entitled.
Used by the Certificate of Corrections branch of the
USPTO for determining whether regulatory
compliance has been met, for recording the
disclaimer, and for providing the disclaimer data for
printing.
PTO/SB/96,
PTO/AIA/96
4
Used by the applicant to revive an application for
patent abandoned for failure to timely notify the office
of a foreign or international filing.
Used by the USPTO to revive an application for
patent abandoned for failure to timely notify the office
of a foreign or international filing.
Used by the public to request permission to inspect
and/or make copies in accordance with regulations.
Ensures that applications are maintained in
confidence in accordance with regulations.
Used by the USPTO to determine that the persons
requesting permission to inspect and/or make copies
are authorized to do so.
Used by the USPTO to verify that the application
requested is abandoned and that it has been referred
to in the referenced U.S. patent.
Used by the public to order goods or services using
an established deposit account.
Used by the USPTO to process orders for articles or
services, and to identify the deposit account to which
an order should be charged.
Used by the applicant as evidence of the date for
replies to actions by the USPTO.
Used by the USPTO to determine the timeliness of
replies by an applicant to actions by the USPTO.
Used by the applicant to show that this person has
their authority to take actions on their behalf.
Used by the USPTO to determine that the person
signing has authority to take action on behalf of an
assignee.
Form and Function
14
Non-publication Request
Form #
Needs and Uses
PTO/SB/35
15
Notice of rescission of previous Nonpublication request (35 U.S.C. §
122(b)(2)(B)(ii)) and, if applicable,
notice of foreign filing (35 U.S.C. §
122(b)(2)(B)(iii))
PTO/SB/36
16
Electronic Filing System (EFS) copy of
application for publication
No Form
Copy of file content showing redactions
No Form
17
18
19
Copy of applicant or patentee’s record
of the application (including copies of
the correspondence, and statements
verifying whether the record is complete
or not)
Notice under 37 CFR 1.251 –
Pending application
Notice under 37 CFR 1.251 –
Abandoned application
Notice under 37 CFR 1.251 –
Patent
PTO-2053-A/B
Request for continued examination
transmittal (RCE)
EFS-Web and
PTO/SB/30
PTO-2054-A/B
PTO-2055-A/B
20
Request for oral hearing before the
Patent Trial and Appeal Board
PTO/SB/32,
PTO/AIA/32
21
Request for suspension of action or
deferral of examination under 37 CFR
1.103(b) or (d)
PTO/SB/37
5
Used by the applicant to request that the USPTO not
publish the application under 37 U.S.C. § 122(b).
Used by the USPTO to determine whether the
application should be published under 37 U.S.C. §
122(b).
Used by the applicant to rescind a previously filed
request that the USPTO not publish the application
under 35 U.S.C. § 122(b)(2)(B)(ii).
Used by the applicant to provide notice of a foreign or
international filing required by 35 U.S.C. §
122(b)(2)(B)(iii).
Used by the USPTO to determine that the application
is subject to eighteen-month publication.
Used by the applicant to obtain publication of a
version of the application different from the application
as initially submitted to the USPTO.
Used by the applicant to request publication of an
application earlier than as provided for by eighteenmonth publication or of an application that is not
subject to eighteen-month publication.
Used by the USPTO to create a publication document
as part of the USPTO’s publication of the application.
Used by the applicant to show redactions to USPTO
actions/notices and the applicant’s replies.
Used by the USPTO to confirm what redactions are
made to the copy of application file content that is
provided to the public.
Used by the applicant to assist the USPTO in
reconstructing a current copy of a missing patent or
application file.
Used by the USPTO to notify the applicant that the
application or patent file is unlocatable and to request
a copy of the applicant’s or patentee’s record of the
application or patent file (including copies of the
correspondence, list of the correspondence, and
statements verifying whether the record is complete
or not) in order to reconstruct the file of an
unlocatable application or patent.
Used by the applicant to request continued
examination of a previously submitted application.
Used by the USPTO to process and initiate continued
examination of a previously submitted application.
Used by the applicant to file a written request in a
separate paper for an oral hearing before the Board.
Used by the USPTO to process and consider the
request for an oral appeal hearing.
Used by the applicant to request deferred
examination of a patent application for up to three
years from the earliest filing date for which a benefit is
claimed.
Used by the USPTO to process and consider this
request for deferral of examination.
Form and Function
22
Request for voluntary publication or
republication (includes publication fee
for republication)
Form #
Needs and Uses
EFS-Web
23
Applicant initiated interview request
form
PTOL/413A
24
Processing fee under 37 CFR 1.17(i)
transmittal
PTO/SB/17i
25
Request to retrieve electronic priority
application(s) under 37 CFR 1.55(d)
PTO/SB/38
26
Authorization for permit access to
application by participating offices
under 37 CFR 1.14(h)
PTO/SB/39
27
Petition for express abandonment to
obtain a refund
PTO/SB/24B,
PTO/AIA/24B
28
Pre-appeal brief request for review
PTO/SB/33,
PTO/AIA/33
29
Request for corrected filing receipt
No Form
6
Voluntary Publication: Used by the applicant to
request publication of an application filed prior to
November 29, 2000.
Republication: Used by the applicant to correct prior
application publications containing material errors
caused by the USPTO or to correct other data, such
as claims that previously published as part of an
application publication.
Used by the USPTO to publish an application filed
prior to November 29, 2000, or to correct prior
application publication errors.
Used by the applicant to request an interview.
Used by the applicant to assist in the preparation of a
written record of the interview.
Used by the USPTO to allow the examiner to prepare
in advance for an applicant initiated interview.
Used by the USPTO to allow the examiner to focus on
the issue to be discussed in the applicant initiated
interview.
Used by the USPTO to identify whether agreement
has been reached.
Used by the applicant to identify the proper fee and
thus reduce the potential for any additional work due
to mistakes in payment.
Used by the USPTO to process the appropriate fees.
Used by the applicant to request that the USPTO
retrieve priority documents from the other participating
intellectual property offices.
Used by the USPTO to retrieve priority documents
from the other participating intellectual property
offices.
Used by the applicant to authorize the USPTO to
release confidential documents to other participating
intellectual property offices that are important to the
prosecution of the patent application.
Used by the USPTO to properly release confidential
documents to other participating intellectual offices
that are important to the prosecution of the patent
application.
Used by the applicant to expressly abandon the
application for a refund of the search fee if recognized
by an appropriate USPTO official prior to examination
of the application.
Used by the USPTO to expressly abandon the
application and to refund the search fee to the
applicant if recognized by an appropriate USPTO
official prior to examination of the application.
Used by the applicant to request that a panel of
examiners formally review the basis of the rejections
in their application prior to filing an appeal brief.
Used by the USPTO to determine whether an appeal
should be maintained.
Used by the applicant to request a corrected filing
receipt.
Used by the USPTO to correct errors in application
data.
Form and Function
30
Request for first-action interview
(pilot program)
Form #
Needs and Uses
PTOL-413C
EFS-Web only
31
Petition to make special based on age
for advancement of examination under
37 CFR 1.102(c)(1)
PTO/SB/130
EFS-Web only
32
Filing a submission after final rejection
(see 37 CFR 1.129(a))
No Form
3.
Used by the applicant to request a first-action
interview prior to the first Office action on the merits to
advance prosecution of the application.
Used by the USPTO to grant advancement of
examination for the first Office action on the merits.
Used by the applicant to petition that an application
be made special for advancement of examination by
showing that the applicant is 65 years of age, or
more.
Used by the USPTO to assist in the expeditious
processing of the petition to make special based on
age.
Used by the applicant to have a first or second
submission entered and considered on the merits
after final rejection under the circumstances identified
in 37 CFR 1.129.
Used by the USPTO to determine whether to maintain
a rejection or objection of a claim of an application.
Use of Information Technology
The forms associated with this collection may be downloaded from the USPTO Web site
in Portable Document Format (PDF), filled out electronically, and then either printed for
mailing or submitted to the USPTO online through EFS-Web. The “EFS-Web only”
items in this collection may be submitted to the USPTO online through EFS-Web.
EFS-Web is the USPTO’s web-based patent application and document submission
system that allows customers to file patent applications and associated documents
electronically through their standard web browser without downloading special software,
changing their document preparation tools, or altering their workflow processes.
Typically, the customer will prepare the forms or documents as standard PDF files and
then upload them to the USPTO servers using the secure EFS-Web interface. EFSWeb 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 or other paper delivery costs.
To protect the confidentiality, authenticity, and integrity of electronic submissions, the
USPTO employs Public Key Infrastructure (PKI) technology for secure electronic
communications with its customers. All electronic submissions are automatically
encrypted prior to transmission to ensure confidentiality of the submission contents.
After the electronic package has been received by the USPTO, the EFS server uses
digital signature technology to verify that the package contents have not been altered
and generates an electronic acknowledgment receipt that is immediately returned to the
customer.
Customers must have a Customer Number that is associated with the correspondence
address for a patent application in order to access private information about the
application using the Patent Application Information Retrieval (PAIR) system, which is
available through the USPTO Web site. PAIR allows authorized individuals secure and
7
immediate online access to up-to-date patent application status and history information,
but only for patent applications that are linked to a Customer Number. PAIR also offers
public access to non-private information about issued patents and published
applications.
4.
Efforts to Identify Duplication
This information is collected during the pendency of a patent application. It does not
duplicate information or collection of data found elsewhere.
5.
Minimizing the Burden to Small Entities
No significant impact is placed on small entities. Small entities simply need to identify
themselves as such to obtain the benefits of small entity status.
Pursuant to 35 U.S.C. § 41(h)(1), the USPTO provides a fifty percent (50%) reduction in
the fees charged under 35 U.S.C. § 41(a) and (b) for small entities. The USPTO’s
regulations concerning the payment of reduced patent fees by small entities are at
37 CFR 1.27 and 1.28, and reduced patent fees for small entity applicants are shown in
37 CFR 1.16, 1.17, 1.18 and 1.20.
6.
Consequences of Less Frequent Collection
This information is collected only as required to process a patent application or
enforceable patent, and is not collected elsewhere. Therefore, this collection of
information could not be conducted less frequently. If the information were not
collected, the USPTO would not be able to comply with the patent statute 35 U.S.C. §
131.
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 March 22, 2012 (77 Fed.
Reg. 16813). The public comment period ended on May 21, 2012. Seven public
comments were received.
Several comments suggested generally that the USPTO’s time calculations under
estimated the actual amount of time needed by respondents for completion. The
USPTO regularly reviews its time burden estimates, using available historical data,
Agency expertise, and stakeholder feedback. Moreover, these comments did not
provide a basis for or propose any other alternative time estimate burden.
8
Other comments suggested that certain time estimates did not include consideration of
other factors beyond the time needed to complete certain responses. These comments
cited factors such as time needed to evaluate options, consulting clients, or making
other informed decisions. Although the USPTO appreciates that respondents utilize
time and effort for many matters related to and during the course of the patent
examination process, these estimates necessarily focus on the estimated time to
complete the specific information collection responses.
Several of the comments were directed to specific regulatory requirements. It was
suggested that the underlying regulations themselves should be revised and that doing
so could reduce unnecessary additional paperwork burdens. An additional comment
suggested that the USPTO make other changes, such as to employ compensation
practices and to edit the Manual of Patent Examining Procedure, as ways of reducing
respondent burdens.
Although these go beyond the scope of the instant ICR
clearance, the USPTO appreciates these comments and will review those identified
requirements to determine whether separate revisions are appropriate.
Finally, two commenters claimed that the 60-day notice did not comply with the
Information Quality Act and implied that the estimates required correction. These
comments, however, did not provide any alternative basis or a proposed corrected time
estimate. As indicated above, the USPTO respondent time burdens are estimates. The
total estimated burdens are comprised of the expected number of filings and responses
with the expected time needed to complete such responses. It is USPTO’s experience
with these or similar responses and the Agency’s expertise in estimating the actual time
to complete the applicable response that informs these total estimates. Accordingly,
and based on the comments received, the USPTO is not correcting provided estimates.
The USPTO has, however, provided as an attachment to this supporting statement
background information on quantities of filings that were used to prepare response
estimates for this collection.
In addition, 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. Views expressed by these groups are 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
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. For secure electronic access to PAIR, the USPTO employs digital
9
certificates and PKI technology to permit only authorized individuals to access private
patent application information and to maintain the confidentiality and integrity of the
information as it is transmitted over the Internet. 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 reexamination proceeding 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 anticipated 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 3,817,580 responses per year
for this collection, with approximately 26% of these responses submitted by small
entities.
These estimates are based on the Agency’s long-standing institutional knowledge of and
experience with the type of information collected by these items.
Burden Hour Calculation Factors
The USPTO estimates that it will take the public an average of 1 minute, 48 seconds
(0.03 hours) to 8 hours to complete either the paper or the electronic versions of
information described in this submission, depending on the nature of the information.
This includes time to gather the necessary information, create the documents, and
submit to the USPTO.
These estimates are based on the Agency’s long-standing institutional knowledge of and
experience with the type of information collected and the length of time necessary to
complete responses containing similar or like information.
Cost Burden Calculation Factors
The USPTO expects that patent attorneys and paraprofessionals will complete and
submit this information.
The USPTO uses a professional rate of $371 per hour for the attorney respondent cost
burden calculations, which is the mean rate for attorneys in private firms as shown in the
2011 Report of the Economic Survey published by the Committee on Economics of
Legal Practice of the American Intellectual Property Law Association (AIPLA).
Based on the Agency’s long-standing institutional knowledge of and experience with the
type of information collected, the Agency estimates $371 is an accurate estimate of the
cost per hour to collect this information.
10
The USPTO uses a paraprofessional rate of $122 per hour for respondent cost burden
calculations, which is the mean billing rate for paraprofessionals as shown in the 2010
National Utilization and Compensation Survey Report published by the National
Association of Legal Assistants (NALA) in October 2010.
Table 3: Burden Hour/Burden Cost to Respondents for Patent Processing (Updating)
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
1
EFS-Web IDS (Information Disclosure
Statements) that do not require the fee set
forth in 37 CFR 1.17(p)
2.00
495,933
991,866
$371.00
$367,982,286.00
1
Information Disclosure Statements that do
not require the fee set forth in 37 CFR
1.17(p)
2.00
37,328
74,656
$371.00
$27,697,376.00
1
EFS-Web IDS (Information Disclosure
Statements) that require the fee set forth in
37 CFR 1.17(p)
2.00
108,567
217,134
$371.00
$80,556,714.00
1
Information Disclosure Statements that
require the fee set forth in 37 CFR 1.17(p)
2.00
8,172
16,344
$371.00
$6,063,624.00
2
Electronic Transmittal Form
2.00
1,023,000
2,046,000
$122.00
$249,612,000.00
2
Transmittal Form
2.00
77,000
154,000
$122.00
$18,788,000.00
3
Electronic Petition for Extension of Time
under 37 CFR 1.136(a)
0.10
311,208
31,121
$122.00
$3,796,762.00
3
Petition for Extension of Time under 37 CFR
1.136(a)
0.10
23,424
2,342
$122.00
$285,724.00
4
Electronic Express Abandonment under 37
CFR 1.138
0.20
6,500
1,300
$122.00
$158,600.00
4
Express Abandonment under 37 CFR 1.138
0.20
500
100
$122.00
$12,200.00
5
Electronic Disclaimers
0.20
70,190
14,038
$371.00
$5,208,098.00
5
Disclaimers
0.20
5,283
1,057
$371.00
$392,147.00
6
Electronic Request for Expedited
Examination of a Design Application
0.10
207
21
$371.00
$7,791.00
6
Request for Expedited Examination of a
Design Application
0.10
16
2
$371.00
$742.00
7
Electronic Notice of Appeal
0.20
37,414
7,483
$371.00
$2,776,193.00
7
Notice of Appeal
0.20
2,816
563
$371.00
$208,873.00
8
Electronic Petition for Revival of an
Application for Patent Abandoned
Unavoidably
8.00
307
2,456
$371.00
$911,176.00
8
Petition for Revival of an Application for
Patent Abandoned Unavoidably
8.00
23
184
$371.00
$68,264.00
8
Electronic Petition for Revival of an
Application for Patent Abandoned
Unintentionally
1.00
8,192
8,192
$371.00
$3,039,232.00
11
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
8
Petition for Revival of an Application for
Patent Abandoned Unintentionally
1.00
617
617
$371.00
$228,907.00
9
Electronic Petition for Revival of an
Application for Patent Abandoned for Failure
to Notify the Office of a Foreign or
International Filing
1.00
230
230
$371.00
$85,330.00
9
Petition for Revival of an Application for
Patent Abandoned for Failure to Notify the
Office of a Foreign or International Filing
1.00
20
20
$371.00
$7,420.00
10
Electronic Requests to Access, Inspect and
Copy
0.20
121,000
24,200
$122.00
$2,952,400.00
10
Requests to Access, Inspect and Copy
0.20
9,000
1,800
$122.00
$219,600.00
11
Electronic Deposit Account Order Form
0.20
90
18
$122.00
$2,196.00
11
Deposit Account Order Form
0.20
10
2
$122.00
$244.00
12
Electronic Certificates of Mailing,
Transmission
0.03
930,000
27,900
$122.00
$3,403,800.00
12
Certificates of Mailing, Transmission
0.03
70,000
2,100
$122.00
$256,200.00
13
Electronic Statement Under 37 CFR 3.73(b)
0.20
140,000
28,000
$371.00
$10,388,000.00
13
Statement Under 37 CFR 3.73(b)
0.20
10,000
2,000
$371.00
$742,000.00
14
Electronic Non-publication Request
0.10
21,500
2,150
$371.00
$797,650.00
14
Non-publication Request
0.10
1,500
150
$371.00
$55,650.00
15
Electronic Rescission of Previous Nonpublication Request (35 U.S.C. §
122(b)(2)(B)(ii) and, if applicable, Notice of
Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii)
0.10
1,000
100
$371.00
$37,100.00
15
Rescission of Previous Non-publication
Request (35 U.S.C. § 122(b)(2)(B)(ii) and, if
applicable, Notice of Foreign Filing (35
U.S.C. § 122(b)(2)(B)(iii)
0.10
100
10
$371.00
$3,710.00
16
Electronic Filing System (EFS) Copy of
Application for Publication
2.50
1
3
$122.00
$366.00
17
Copy of File Content Showing Redactions
4.00
1
4
$371.00
$1,484.00
18
Copy of the Applicant or Patentee’s Record
of the Application (including copies of the
correspondence, list of the correspondence,
and statements verifying whether the record
is complete or not)
2.00
20
40
$122.00
$4,880.00
19
EFS-Web Request for Continued
Examination (RCE) Transmittal
0.20
146,163
29,233
$371.00
$10,845,443.00
19
Request for Continued Examination (RCE)
Transmittal
0.20
11,001
2,200
$371.00
$816,200.00
20
Electronic Request for Oral Hearing Before
the Patent Trial and Appeal Board
0.20
1,415
283
$371.00
$104,993.00
12
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
20
Request for Oral Hearing Before the Patent
Trial and Appeal Board
0.20
106
21
$371.00
$7,791.00
21
Electronic Request for Suspension of Action
or Deferral of Examination Under 37 CFR
1.103(b), (c), or (d)
0.20
560
112
$371.00
$41,552.00
21
Request for Suspension of Action or Deferral
of Examination Under 37 CFR 1.103(b), (c),
or (d)
0.20
40
8
$371.00
$2,968.00
22
EFS-Web Request for Voluntary Publication
or Republication (includes publication fee for
republication)
0.20
775
155
$122.00
$18,910.00
22
Request for Voluntary Publication or
Republication (includes publication fee for
republication)
0.20
58
12
$122.00
$1,464.00
23
Electronic Applicant Initiated Interview
Request Form
0.40
1,900
760
$371.00
$281,960.00
23
Applicant Initiated Interview Request Form
0.40
100
40
$371.00
$14,840.00
24
Electronic Processing Fee Under 37 CFR
1.17(i) Transmittal
0.08
3,300
264
$371.00
$97,944.00
24
Processing Fee Under 37 CFR 1.17(i)
Transmittal
0.08
200
16
$371.00
$5,936.00
25
Electronic Request to Retrieve Electronic
Priority Application (s) Under 37 CFR 1.55(d)
0.13
60,000
7,800
$371.00
$2,893,800.00
25
Request to Retrieve Electronic Priority
Application (s) Under 37 CFR 1.55(d)
0.13
5,000
650
$371.00
$241,150.00
26
Electronic Authorization to Permit Access to
Application by Participating Offices Under 37
CFR 1.14(h)
0.10
19,000
1,900
$371.00
$704,900.00
26
Authorization to Permit Access to Application
by Participating Offices Under 37 CFR
1.14(h)
0.10
1,000
100
$371.00
$37,100.00
27
Electronic Petition for Express Abandonment
to Obtain a Refund
0.20
2,000
400
$371.00
$148,400.00
27
Petition for Express Abandonment to Obtain
a Refund
0.20
100
20
$371.00
$7,420.00
28
Electronic Pre-Appeal Brief Request for
Review
5.00
14,700
73,500
$371.00
$27,268,500.00
28
Pre-Appeal Brief Request for Review
5.00
1,100
5,500
$371.00
$2,040,500.00
29
EFS-Web Request for Corrected Filing
Receipt
0.08
22,000
1,760
$122.00
$214,720.00
29
Request for Corrected Filing Receipt
0.08
2,000
160
$122.00
$19,520.00
30
Request for First Action Interview (Pilot
Program) (Electronic only)
2.50
1,500
3,750
$371.00
$1,391,250.00
13
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
31
Petition to Make Special Based on Age for
Advancement of Examination under 37 CFR
1.102(c)(1) (EFS-Web only)
2.00
2,300
4,600
$371.00
$1,706,600.00
32
Electronic Filing a submission after final
rejection (see 37 CFR 1.129(a))
8.00
86
688
$371.00
$255,248.00
32
Filing a submission after final rejection (see
37 CFR 1.129(a))
8.00
7
56
$371.00
$20,776.00
- - - -
3,817,580
3,792,191
Total
13.
- - - -
$835,942,624.00
Total Annual (Non-hour) Cost Burden
The total annual (non-hour) respondent cost burden for this collection is estimated to be
$370,573,375 per year, which includes $370,317,890 in filing fees and $255,485 in
postage costs.
This collection is currently approved with a total of $6,930 in recordkeeping costs
associated with printing and retaining a copy of the acknowledgment receipt. The
USPTO is removing these recordkeeping costs from this collection because keeping a
copy of the acknowledgment receipt is a suggestion and not a requirement.
Table 4: Filing Fees (Non-hour) Cost Burden for Patent Processing (Updating)
Item
Responses
(yr)
(a)
Filing Fee
($/hr)
(b)
Total Cost
($/hr)
(c)
(a) x (b)
1
Information Disclosure Statements (IDS) that
require the fee set forth in 37 CFR 1.17(p)
94,209
$180.00
$16,957,620.00
1
Information Disclosure Statements that require the
fee set forth in 37 CFR 1.17(p) (small entity)
22,530
$180.00
$4,055,400.00
2
Transmittal Forms
1,100,000
None
$0.00
3
One-month extension of time under 37 CFR
1.136(a)
120,749
$150.00
$18,112,350.00
3
One-Month extension of time under 37 CFR
1.136(a)
(small entity)
43,628
$75.00
$3,272,100.00
3
Two-month extension of time under 37 CFR 1.136(a)
49,886
$570.00
$28,435,020.00
3
Two-month extension of time under 37 CFR 1.136(a)
(small entity)
23,823
$285.00
$6,789,555.00
3
Three-month extension of time under 37 CFR
1.136(a)
48,302
$1,290.00
$62,309,580.00
3
Three-month extension of time under 37 CFR
1.136(a)
(small entity)
34,417
$645.00
$22,198,965.00
14
Item
Responses
(yr)
(a)
Filing Fee
($/hr)
(b)
Total Cost
($/hr)
(c)
(a) x (b)
3
Four-month extension of time under 37 CFR
1.136(a)
3,184
$2,010.00
$6,399,840.00
3
Four-month extension of time under 37 CFR
1.136(a)
(small entity)
2,697
$1,005.00
$2,710,485.00
3
Five-month extension of time under 37 CFR 1.136(a)
4,004
$2,730.00
$10,930,920.00
3
Five-month extension of time under 37 CFR 1.136(a)
(small entity)
3,942
$1,365.00
$5,380,830.00
4
Express Abandonment under 37 CFR 1.138
7,000
None
$0.00
5
Statutory Disclaimer
69,184
$160.00
$11,069,440.00
5
Statutory Disclaimer (small entity)
6,289
$80.00
$503,120.00
6
Request for Expedited Examination of a Design
Application
180
$900.00
$162,000.00
6
Request for Expedited Examination of a Design
Application (small entity)
43
$900.00
$38,700.00
7
Notice of Appeal
32,277
$630.00
$20,334,510.00
7
Notice of Appeal (small entity)
7,953
$315.00
$2,505,195.00
8
Petition to Revive Unavoidably Abandoned
Application
103
$630.00
$64,890.00
8
Petition to Revive Unavoidably Abandoned
Application
(small entity)
227
$315.00
$71,505.00
8
Petition to Revive Unintentionally Abandoned
Application
4,204
$1,890.00
$7,945,560.00
8
Petition to Revive Unintentionally Abandoned
Application
(small entity)
4,605
$945.00
$4,351,725.00
9
Petition for revival of an application for patent
abandoned for failure to notify the office of a foreign
or international filing
200
$1,860.00
$372,000.00
9
Petition for revival of an application for patent
abandoned for failure to notify the office of a foreign
or international filing
(small entity)
50
$930.00
$46,500.00
10
Requests to Access, Inspect and Copy
130,000
None
$0.00
11
Deposit Account Order Form
100
None
$0.00
12
Certificates of Mailing, Transmission
1,000,000
None
$0.00
13
Statement Under 37 CFR 3.73(b)
150,000
None
$0.00
14
Non-publication Request
23,000
None
$0.00
15
Item
15
Rescission of Previous Non-publication Request (35
U.S.C. § 122(b)(2)(B)(ii) and, if applicable, Notice of
Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii)
16
Responses
(yr)
(a)
Filing Fee
($/hr)
(b)
Total Cost
($/hr)
(c)
(a) x (b)
1,100
None
$0.00
EFS copy of application for publication
1
None
$0.00
17
Copy of File Content Showing Redactions
1
$130.00
$130.00
18
Copy of the applicant or patentee’s record of the
application (including copies of the correspondence,
list of the correspondence, and statements verifying
whether the record is complete or not)
20
None
$0.00
19
Request for Continued Examination (RCE)
Transmittal
128,089
$930.00
$119,122,770.00
19
Request for Continued Examination (RCE)
Transmittal (small entity)
29,075
$465.00
$13,519,875.00
20
Request for Oral Hearing Before the Patent Trial and
Appeal Board
1,214
$1,260.00
$1,529,640.00
20
Request for Oral Hearing Before the Patent Trial and
Appeal Board (small entity)
307
$630.00
$193,410.00
21
Processing fee for requests for suspension of action
or deferrals of examination under 37 CFR 1.103(b),
(c), or (d)
600
$130.00
$78,000.00
22
Request for Voluntary Publication or Republication
(includes publication fee for republication)
833
$430.00
$358,190.00
23
Applicant initiated interview request form
2,000
None
$0.00
24
Processing fee under 37 CFR 1.17(i) transmittal
3,311
$130.00
$430,430.00
25
Request to retrieve electronic priority application(s)
under 37 CFR 1.55(d)
65,000
None
$0.00
26
Authorization to permit access to application by
participating offices under 37 CFR 1.14(h)
20,000
None
$0.00
27
Petition for express abandonment to obtain a refund
2,100
None
$0.00
28
Electronic Pre-Appeal Brief Request for Review
11,700
None
$0.00
28
Electronic Pre-Appeal Brief Request for Review
(small entity)
3,000
None
$0.00
28
Pre-Appeal Brief Request for Review
900
None
$0.00
28
Pre-Appeal Brief Request for Review (small entity)
200
None
$0.00
29
EFS-Web Request for Corrected Filing Receipt
22,000
None
$0.00
29
Request for Corrected Filing Receipt
2,000
None
$0.00
30
Electronic Request for First Action Interview (Pilot
Program)
1,500
None
$0.00
31
Petition to Make Special Based on Age for
Advancement of Examination under 37 CFR
1.102(c)(1) (EFS-Web only)
2,300
None
$0.00
16
Item
Responses
(yr)
(a)
Filing Fee
($/hr)
(b)
Total Cost
($/hr)
(c)
(a) x (b)
32
Filing a submission after final rejection (see 37 CFR
1.129(a))
74
$810.00
$59,940.00
32
Filing a submission after final rejection (see 37 CFR
1.129(a)) (small entity)
19
$405.00
$7,695.00
Total
3,284,130
- - - -
$370,317,890.00
The public may submit the paper forms and petitions in this collection to the USPTO by
mail through the United States Postal Service. The public may also include a signed
certification of the date of mailing in order to receive credit for timely filing. Therefore,
the USPTO estimates that the average first-class postage for a standard 3 ounce
manila envelope is $1.30.
Table 5: Postage Costs (Non-hour) Cost Burden for Patent Processing (Updating)
Item
Responses
(a)
1
Information Disclosure Statements that do not require the fee
set forth in 37 CFR 1.17(p)
1
Information Disclosure Statements that require the fee set
forth in 37 CFR 1.17(p)
2
Postage
Cost
($)
(b)
Total (Non-hour)
Cost Burden
(c)
(a) x (b)
37,328
$1.30
$48,526.00
8,172
$1.30
$10,624.00
Transmittal Form
77,000
$1.30
$100,100.00
3
Petition for Extension of Time under 37 CFR 1.136(a)
23,424
$1.30
$30,451.00
4
Express Abandonment under 37 CFR 1.138
500
$1.30
$650.00
5
Disclaimers
5,283
$1.30
$6,868.00
6
Request for Expedited Examination of a Design Application
16
$1.30
$21.00
7
Notice of Appeal
2,816
$1.30
$3,661.00
8
Petition for Revival of an Application for Patent Abandoned
Unavoidably
23
$1.30
$30.00
8
Petition for Revival of an Application for Patent Abandoned
Unintentionally
617
$1.30
$802.00
9
Petition for Revival of an Application for Patent Abandoned
for Failure to Notify the Office of a Foreign or International
Filing
20
$1.30
$26.00
10
Requests to Access, Inspect and Copy
9,000
$1.30
$11,700.00
11
Deposit Account Order Form
10
$1.30
$13.00
13
Statement Under 37 CFR 3.73(b)
10,000
$1.30
$13,000.00
14
Non-publication Request
1,500
$1.30
$1,950.00
17
Item
Responses
(a)
15
Rescission of Previous Non-publication Request (35 U.S.C. §
122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35
U.S.C. § 122(b)(2)(B)(iii)
16
Postage
Cost
($)
(b)
Total (Non-hour)
Cost Burden
(c)
(a) x (b)
100
$1.30
$130.00
Electronic Filing System (EFS) Copy of Application for
Publication
0
$0.00
$0.00
17
Copy of File Content Showing Redactions
1
$1.30
$1.00
18
Copy of the Applicant or Patentee’s Record of the Application
(including copies of the correspondence, list of the
correspondence, and statements verifying whether the record
is complete or not)
20
$1.30
$26.00
19
Request for Continued Examination (REC) Transmittal
11,001
$1.30
$14,301.00
20
Request for Oral Hearing Before the Patent Trial and Appeal
Board
106
$1.30
$138.00
21
Request for Suspension of Action or Deferral of Examination
Under 37 CFR 1.103(b), (c), or (d)
40
$1.30
$52.00
22
Request for Voluntary Publication or Republication (includes
publication fee for republication)
43
$1.30
$56.00
23
Applicant Initiated Interview Request Form
100
$1.30
$130.00
24
Processing Fee Under 37 CFR 1.17(i) Transmittal
200
$1.30
$260.00
25
Request to Retrieve Electronic Priority Application (s) Under
37 CFR 1.55(d)
5,000
$1.30
$6,500.00
26
Authorization to Permit Access to Application by Participating
Offices Under 37 CFR 1.14(h)
1,000
$1.30
$1,300.00
27
Petition for Express Abandonment to Obtain a Refund
100
$1.30
$130.00
28
Pre-Appeal Brief Request for Review
1,100
$1.30
$1,430.00
29
Request for Corrected Filing Receipt
2,000
$1.30
$2,600.00
30
Request for First Action Interview (Pilot Program)
0
$0.00
$0.00
31
Petition to Make Special Based on Age for Advancement of
Examination under 37 CFR 1.102(c)(1) (EFS-Web only)
0
$0.00
$0.00
32
Filing a submission after final rejection (see 37 CFR 1.129(a))
7
$1.30
$9.00
Total
14.
196,527
- - - -
$255,485.00
Annual Cost to the Federal Government
The USPTO estimates that it takes a GS-7, step 1 employee between 1 minute 48
seconds (0.03 hours) and 4 hours to process the items in this collection. The USPTO
estimates that the cost of a GS-7, step 1 employee is currently $26.29 (GS hourly rate
of $20.22 with 30% ($6.07) added for benefits and overhead).
18
Table 6 calculates the processing hours and costs of this information collection to the
Federal Government:
Table 6: Burden Hour/Burden Cost to the Federal Government for Patent Processing (Updating)
Item
Hours
(a)
1
Information Disclosure Statements and eIDS
0.30
650,000
195,000
$26.29
$5,126,550.00
2
Transmittal Form
0.10
1,100,000
110,000
$26.29
$2,891,900.00
3
Petition for Extension of Time under 37 CFR
1.136(a)
0.10
334,632
33,463
$26.29
$879,742.00
4
Express Abandonment under 37 CFR 1.138
0.10
7,000
700
$26.29
$18,403.00
5
Disclaimers
0.20
75,473
15,095
$26.29
$396,848.00
6
Request for Expedited Examination of a
Design Application
0.10
223
22
$26.29
$578.00
7
Notice of Appeal
0.10
40,230
4,023
$26.29
$105,765.00
8
Petition for Revival of an Application for
Patent Abandoned Unavoidably or
Unintentionally
0.30
9,139
2,742
$26.29
$72,087.00
9
Petition for Revival of an Application for
Patent Abandoned for Failure to Notify the
Office of a Foreign or International Filing
0.30
250
75
$26.29
$1,972.00
10
Requests to Access, Inspect and Copy
0.10
130,000
13,000
$26.29
$341,770.00
11
Deposit Account Order Form
0.20
100
20
$26.29
$526.00
12
Certificates of Mailing/Transmission
0.10
1,000,000
100,000
$26.29
$2,629,000.00
13
Statement under 37 CFR 3.37(b)
0.10
150,000
15,000
$26.29
$394,350.00
14
Non-publication Request
0.50
23,000
11,500
$26.29
$302,335.00
15
Rescission of Previous Non-publication
Request (35 U.S.C. § 122(b)(2)(B)(ii)) and, if
applicable, Notice of Foreign Filing (35
U.S.C. § 122(b)(2)(B)(iii))
0.50
1,100
550
$26.29
$14,460.00
16
Electronic Filing System (EFS) Copy of
Application for Publication
0.25
1
1
$26.29
$26.00
17
Copy of File Content Showing Redactions
4.00
1
4
$26.29
$105.00
18
Copy of the Applicant or Patentee’s Record
of the Application (including copies of the
correspondence, list of the correspondence,
and statements verifying whether the record
is complete or not)
1.00
20
20
$26.29
$526.00
19
Request for Continued Examination (RCE)
Transmittal
0.60
157,164
94,298
$26.29
$2,479,094.00
20
Request for Oral Hearing Before the Patent
Trial and Appeal Board
0.10
1,521
152
$26.29
$3,996.00
19
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Item
Hours
(a)
21
Request for Suspension of Action or Deferral
of Examination under 37 CFR 1.103(b), (c)
or (d)
0.30
600
180
$26.29
$4,732.00
22
Request for Voluntary Publication or
Republication (includes publication fee for
republication)
0.03
612
18
$26.29
$473.00
23
Applicant Initiated Interview Request Form
0.10
2,000
200
$26.29
$5,258.00
24
Processing Fee under 37 CFR 1.17(i)
Transmittal
0.08
3,500
280
$26.29
$7,361.00
25
Request to Retrieve Electronic Priority
Application(s) under 37 CFR 1.55(d)
0.05
65,000
3,250
$26.29
$85,443.00
26
Authorization to Permit Access to Application
by Participating Offices under 37 CFR
1.14(h)
0.05
20,000
1,000
$26.29
$26,290.00
27
Petition for Express Abandonment to Obtain
a Refund
0.10
2,100
210
$26.29
$5,521.00
28
Pre-Appeal Brief Request for Review
0.10
15,800
1,580
$26.29
$41,538.00
29
Request for Corrected Filing Receipt
0.08
24,000
1,920
$26.29
$50,477.00
30
Request for First Action Interview (Pilot
Program)
0.30
1,500
450
$26.29
$11,831.00
31
Petition to Make Special Based on Age for
Advancement of Examination under 37 CFR
1.102(c)(1)
0.10
2,300
230
$26.29
$6,047.00
32
Filing a submission after final rejection
(see 37 CFR 1.129(a))
0.50
93
47
$26.29
$1,236.00
3,817,359
605,030
- - - -
$15,906,240.00
Total
15.
- - - - -
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Summary of Changes in Burden Since Previous Renewal
Summary of Changes Since the Previous Renewal
OMB previously approved the renewal of this information collection on July 1, 2009 with:
2,459,409 responses
2,893,322 burden hours
$147,592,807 in annual (non-hour) costs
$424,240,804 in respondent costs
The currently approved collection has been updated with four requests for
nonsubstantive change since the previous renewal. The currently approved collection
has an estimated:
2,444,305 responses
20
2,869,625 burden hours
$145,375,747 in annual (non-hour) costs per year
In the 60-Day Federal Register Notice published on March 22, 2012 (77 Fed. Reg.
16813), the USPTO estimated that this collection would have:
4,777,532 responses
11,972,777 burden hours
$357,380,557 in annual (non-hour) costs
$3,573,910,186 in respondent costs
This request for renewal adjusts the numbers published in the March 2012 Notice. The
USPTO now estimates this collection will have:
3,817,580 responses
3,792,191 burden hours
$370,573,375 in annual (non-hour) costs
$835,942,624 in respondent costs
This request includes eight areas of change, outlined as follows:
1) One item has been deleted from the inventory
2) Electronic equivalents for the majority of paper forms have been added
3) One item is being removed from this collection and is covered by a new
collection
4) Adding an item associated with a fee under RIN 0651-AC54
5) Fees are adjusted to reflect fee updates from CPI adjustments
6) Updates to Postage Fees
7) New Fee for the Request for Voluntary Publication or Republication (includes
publication fee for republication)
8) New estimated hourly rate for respondent
1 One item has been deleted from the inventory
One item is being deleted from the collection, Request for Processing of Replacement
Drawings in Any Patent Application Publication. The USPTO phased out these
requests over the last several years due to IT upgrades.
2 Electronic equivalents for the majority of paper forms have been added
Table 3 includes burden hour and cost to respondents to account for new electronic
forms and methods of collection in non-paper format.
3 One item is being removed from this collection and is covered by a new collection
The item Information Disclosure Citation in a Patent (PTO/SB/42) was moved out of this
collection into a separate new collection, 0651-0067 Post Patent Public Submissions,
21
when the USPTO published a notice of proposed rulemaking titled “Changes to
Implement Miscellaneous Post Patent Provisions of the Leahy-Smith America Invents
Act” (RIN 0651-AC66) in the Federal Register. The new collection was approved by
OMB in July of 2012.
4
Adding an item associated with a fee under RIN 0651-AC54
Another item, Filing a Submission After Final Rejection (see 37 CFR 1.129(a)) is being
added to this collection in connection with the Leahy-Smith America Invents Act (AIA)
Final Rule entitled “Setting and Adjusting Patent Fees”(RIN 0651-AC54).
5
Fees are adjusted to reflect fee updates from CPI adjustments
Fees for several items were adjusted to reflect the current Consumer Price Index (CPI)
increases in the fees. This adjustment results in an increase of $13,202,570 from the
filing fee costs reported in the 60-Day Federal Register Notice
6
Updated Postage Fees
Postage rates have increased and the agency has updated the cost burden to reflect
those increases. Applicants may mail requests for voluntary publication or republication
(includes publication fee for republication) to the USPTO in addition to electronically
submitting them to the agency. Postage costs for this item have now been added to this
collection. The estimated postage cost for mailing these submissions to the USPTO
increased from $1.28 to $1.30.
7
New Fee for the Request for Voluntary Publication or Republication (includes
publication fee for republication)
In the 2007 submission, the fee for this item was $130. Since this item also covers the
publication fee for republication, which carries a fee of $300, the USPTO has increased
the fee for this item to $430.
8
New Estimated Hourly rate for Respondents
The estimated respondent costs reported in the 60-Day Notice are also revised due to
a new estimated hourly rate. Since the publication of the 60-Day Notice, the USPTO
has decided to use the mean rate ($371) instead of the median rate ($340) to calculate
the attorney respondent costs. The USPTO estimates that the respondent costs will
decrease by $2,737,967,562 over those reported in the 60-Day Notice.
Change in Respondent Cost Burden
The total estimated respondent cost burden for this collection has increased from
$417,069,016 to $835,942,624. Estimated hourly rates in the 2009 renewal and
associated non-substantive changes were $304 for attorneys and $90 for
22
paraprofessionals, based on a median rate. The USPTO now estimates attorney
respondent costs using a mean rate of $371. Estimates for this renewal are updated to
reflect hourly rates of $371 for attorneys. The paraprofessional rate is estimated now at
$122. See Section 12 for additional information.
Changes in Response and Burden Hours
With this renewal, the number of responses increased by 1,373,275, from 2,444,305 to
3,817,580, and the burden hours increased by 922,566, from 2,869,625 to the present
3,792,191 per year. This increase is due to both program changes and administrative
adjustments, as follows:
Administrative adjustments:
The USPTO estimates that the number of Information Disclosure Statements
(IDSs) submitted per year will increase by 308,250 responses, from 341,750 to
650,000. Therefore, this submission takes a burden increase of 616,500
hours as an administrative adjustment.
The USPTO estimates that the number of Transmittal Forms submitted per year
will increase by 60,500 responses, from 1,039,500 to 1,100,000. Therefore, this
submission takes a burden increase of 121,000 hours as an administrative
adjustment.
The USPTO estimates that the number of Petitions for Extension of Time Under
37 CFR 1.136(a) submitted per year will increase by 145,632 responses, from
189,000 to 334,632. Therefore, this submission takes a burden increase of
14,563 hours as an administrative adjustment.
The USPTO estimates that the number of Petitions for Express Abandonment to
Avoid Publication Under 37 CFR 1.138 submitted per year will decrease by 6,825
responses, from 13,825 to 7,000. Therefore, this submission takes a burden
decrease of 1,365 hours as an administrative adjustment.
The USPTO estimates that the number of Disclaimers submitted per year will
increase by 60,473, from 15,000 to 75,473. Therefore, this submission takes
a burden increase of 12,095 hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Expedited Examination of
a Design Application submitted per year will increase by 93 responses, from 130
to 223. Therefore, this submission takes a burden increase of 10 hours as
an administrative adjustment.
The USPTO estimates that the number of Notices of Appeal submitted per year
will increase by 27,730 responses, from 16,500 to 40,230. Therefore, this
submission takes a burden increase of 4,746 hours as an administrative
adjustment.
23
The USPTO estimates that the number of Petitions for Revival of an Application
for Patent Abandoned Unavoidably submitted per year will decrease by 255
responses, from 585 to 330. Therefore, this submission takes a burden
decrease of 2,040 hours as an administrative adjustment.
The USPTO estimates that the number of Petitions for Revival of an Application
for Patent Abandoned Unintentionally submitted per year will increase by 1,859
responses, from 6,950 to 8,809. Therefore, this submission takes a burden
increase of 1,859 hours as an administrative adjustment.
The USPTO estimates that the number of Petitions for Revival of an Application
for Patent Abandoned for Failure to Notify the Office of a Foreign or International
Filing submitted per year will decrease by 2,150 responses, from 2,400 to 250.
Therefore, this submission takes a burden decrease of 2,150 hours as an
administrative adjustment.
The USPTO estimates that the number of Requests to Access, Copy and Inspect
submitted per year will increase by 111,350 responses, from 18,650 to 130,000.
Therefore, this submission takes a burden increase of 22,270 hours as an
administrative adjustment.
The USPTO estimates that the number of Deposit Account Order Forms
submitted per year will decrease by 1,060 responses, from 1,160 to 100.
Therefore, this submission takes a burden decrease of 212 hours as an
administrative adjustment.
The USPTO estimates that the number of Certificates of Mailing/Transmission
submitted per year will increase by 410,000 responses, from 590,000 to
1,000,000. Therefore, this submission takes a burden increase of 12,300
hours as an administrative adjustment.
The USPTO estimates that the number of Statements under 37 CFR 3.73(b)
submitted per year will increase by 130,550 responses, from 19,450 to 150,000.
Therefore, this submission takes a burden increase of 26,110 hours as an
administrative adjustment.
The USPTO estimates that the number of Non-Publication Requests submitted
per year will decrease by 8,500 responses, from 31,500 to 23,000. Therefore,
this submission takes a burden decrease of 850 hours as an administrative
adjustment.
The USPTO estimates that the number of Recissions of Previous Nonpublication Requests (35 U.S.C. § 122(b)(2)(B)(ii) and, if applivable, Notice of
Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii) submitted per year will increase by
24
575 responses, from 525 to 1,100. Therefore, this submission takes a burden
increase of 57 hours as an administrative adjustment.
The USPTO estimates that the number of Electronic Filing System (EFS) Copies
of Application for Publication submitted per year will decrease by 999 responses,
from 1,000 to 1. Therefore, this submission takes a burden decrease of
2,497 hours as an administrative adjustment.
The USPTO estimates that the number of Copies of File Content Showing
Redactions submitted per year will decrease by 11 responses, from 12 to 1.
Therefore, this submission takes a burden decrease of 44 hours as an
administrative adjustment.
The USPTO estimates that the number of Copies of Applicant or Patentee’s
Record of the Application submitted per year will decrease by 215 responses,
from 235 to 20. Therefore, this submission takes a burden decrease of 195
hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Continued Examination
(RCE) Transmittals submitted per year will increase by 101,164 responses, from
56,000 to 157,164. Therefore, this submission takes a burden increase of
20,233 hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Oral Hearing Before the
Patent Trial and Appeal Board submitted per year will increase by 771
responses, from 750 to 1,521. Therefore, this submission takes a burden
increase of 154 hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Suspension of Action or
Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) submitted per year
will increase by 547 responses, from 53 to 600. Therefore, this submission
takes a burden increase of 109 hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Voluntary Publication or
Republication (includes publication fee for republication) submitted per year will
decrease by 567 responses, from 1,400 to 833. Therefore, this submission
takes a burden decrease of 113 hours as an administrative adjustment.
The USPTO estimates that the number of Applicant Initiated Interview Request
Forms submitted per year will increase by 400 responses, from 1,600 to 2,000.
Therefore, this submission takes a burden increase of 160 hours as an
administrative adjustment.
The USPTO estimates that the number of Processing Fee Under 37 CFR 1.17(i)
requests submitted per year will increase by 3,000 responses, from 500 to 3,500.
25
Therefore, this submission takes a burden increase of 240 hours as an
administrative adjustment.
The USPTO estimates that the number of Requests to Retrieve Electronic
Priority Application(s) Under 37 CFR 1.55(d) submitted per year will increase by
28,200 responses, from 36,800 to 65,000. Therefore, this submission takes a
burden increase of 3,666 hours as an administrative adjustment.
The USPTO estimates that the number of Authorizations to Permit Access to
Application by Participating Offices Under 37 CFR 1.14(h) submitted per year will
decrease by 1,000 responses, from 21,000 to 20,000.
Therefore, this
submission takes a burden decrease of 100 hours as an administrative
adjustment.
The USPTO estimates that the number of Petitions for Express Abandonment
submitted per year will decrease by 900 responses, from 3,000 to 2,100.
Therefore, this submission takes a burden decrease of 180 hours as an
administrative adjustment.
The USPTO estimates that the number of Pre-Appeal Brief Requests for Review
submitted per year will increase by 12,600 responses, from 3,200 to 15,800.
Also, the time it takes to complete this requirement has increased from 30
minutes (0.50 hours) to 5 hours. Therefore, this submission takes a burden
increase of 77,400 hours as an administrative adjustment.
The USPTO estimates that the number of Requests for Corrected Filing Receipts
submitted per year will decrease by 3,050 responses, from 27,050 to 24,000.
Therefore, this submission takes a burden decrease of 244 hours as an
administrative adjustment.
The USPTO estimates that the number of Requests for First Action Interview
Forms submitted per year will increase by 500 responses, from 1,000 to 1,500.
Therefore, this submission takes a burden increase of 1,250 hours as an
administrative adjustment.
The USPTO estimates that the number of Petitions to Make Special Based on
Age for Advancement of Examination under 37 CFR 1.102(c)(1) submitted per
year will increase by 400 responses, from 1,900 to 2,300. Therefore, this
submission takes a burden increase of 800 hours as an administrative
adjustment.
Program changes:
The Information Disclosure Citation in a Patent has been moved out of this
collection into a separate new collection. Therefore, this submission takes a
burden decrease of 3,660 hours as a program change.
26
The Request for Processing of Replacement Drawings to Include the Drawings in
any Patent Application Publication is being deleted from this collection. The
USPTO phased out these requests over the last several years due to IT
upgrades. Therefore, this submission takes a burden decrease of 50 hours
as a program change.
A new requirement is being added into the collection entitled “Filing a Submission
After Final Rejection (See 37 CFR 1.129(a))” in connection with the Leahy-Smith
America Invents Act (AIA) Section 10 Patent Fee Adjustments Rule, RIN 06510054. The USPTO estimates that it will take 8 hours to complete this
requirement and that it will receive 93 responses per year. Therefore, this
submission takes a burden increase of 744 hours as a program change.
Administrative adjustments: increase of 925,532 burden hours
Program changes: decrease of 2,966 burden hours
Total net burden hour increase: 922,566 hours
Changes in Annual (non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will
increase by $225,197,628, from $145,375,747 currently on the OMB inventory to the
present $370,573,375 for the renewal. The increase in costs is due to adjustments in
responses and response times, the addition of new requirements into the collection, and
an adjustment for the current postage fees and filing fees. The USPTO has also
eliminated the recordkeeping costs. Therefore, the cost burden increase of
$204,050,340 due to administrative adjustments and $21,147,288 due to program
changes yield a total increase in annual (non-hour) cost burden of $225,197,628
for the collection.
16.
Project Schedule
There is no 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 of OMB approval.
18.
Exception to the Certificate Statement
This collection of information does not include any exceptions to the certificate
statement.
27
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection of information does not employ statistical methods.
28
| File Type | application/pdf |
| File Title | SF-12 SUPPORTING STATEMENT |
| Author | Galaxy Scientific Corporation |
| File Modified | 2013-07-22 |
| File Created | 2013-07-22 |