Response to Office Action and Voluntary Amendment Forms (formerly Electronic Response to Office Action and Preliminary Amendment Forms)

Forms and Documents

Document Name	Status
Form PTO-1957 Response to Office Action (TEAS) Form	Modified
Form PTO Form 1960 Request for Reconsideration After Final Office Action (TEAS) Form and Instruction	Modified
Form PTO Form 1966 Voluntary Amendment Not in Response to USPTO Office Action/Letter (TEAS) Form and Instruction	Modified
Form No form number Substitute Collective Trademark/Servicemark (TEAS Global) Form and Instruction	Unchanged
Form No form number Substitute Collective Membership Mark (TEAS Global) Form and Instruction	Unchanged
Form No form number Substitute Certification Mark (TEAS Global) Form and Instruction	Unchanged
Form No form number Substitute Trademark/Servicemark Application, Principal Register (TEAS Global) Form and Instruction	Unchanged
Form PTO-1822 Response to Suspension Inquiry or Letter of Suspension (TEAS) Form and Instruction	Modified
Form PTO-1771 Post Publication Amendment (TEAS) Form and Instruction	Modified
0651-0050 Supporting Statement July 2017 FINAL.docx Supporting Statement A	2017-07-27
USPTO Privacy Policy.pdf Supplementary Document	2017-07-27
USPTO Info Quality Guide.pdf Supplementary Document	2017-07-27
0651-0050 CWS October 2016 Final.docx Justification for No Material/Nonsubstantive Change	2016-10-19

IC Document Collections

IC ID	Document Title	Status
4777	Response to Office Action (TEAS) Form	Modified
197220	Petition to Amend Basis Post-Publication (Paper)	Modified
197219	Petition to Amend Basis Post-Publication (TEAS Global)	Modified
197218	Request for Reconsideration After Final Office Action (Paper)	Modified
197217	Request for Reconsideration After Final Office Action (TEAS) Form and Instruction	Modified
197215	Voluntary Amendment Not in Response to USPTO Office Action/Letter	Modified
197213	Voluntary Amendment Not in Response to USPTO Office Action/Letter (TEAS) Form and Instruction	Modified
197210	Substitute Collective Trademark/Servicemark(Paper)	Unchanged
197191	Substitute Collective Trademark/Servicemark (TEAS Global) Form and Instruction	Unchanged
197190	Substitute Collective Membership Mark (Paper)	Unchanged
197189	Substitute Collective Membership Mark (TEAS Global) Form and Instruction	Unchanged
197188	Substitute Certification Mark (Paper)	Unchanged
197187	Substitute Certification Mark (TEAS Global) Form and Instruction	Unchanged
197186	Substitute Trademark/Servicemark Application, Principal Register (Paper)	Modified
197185	Substitute Trademark/Servicemark Application, Principal Register (TEAS Global) Form and Instruction	Unchanged
197184	Response to Office Action (Paper)	Modified
182911	Response to Suspension Inquiry or Letter of Suspension (paper)	Modified
182910	Response to Suspension Inquiry or Letter of Suspension (TEAS) Form and Instruction	Modified
182908	Post Publication Amendment (paper)	Modified
182907	Post Publication Amendment (TEAS) Form and Instruction	Modified

ICR Details

OMB Control No: 0651-0050	ICR Reference No: 201707-0651-001
Status: Historical Active	Previous ICR Reference No: 201608-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Response to Office Action and Voluntary Amendment Forms (formerly Electronic Response to Office Action and Preliminary Amendment Forms)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/27/2017
	Date Received in OIRA: 07/28/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2020	36 Months From Approved	09/30/2017
Responses	472,313	0	271,783
Time Burden (Hours)	266,187	0	132,120
Cost Burden (Dollars)	113,058	0	334,681

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Abstract: This collection of information is required by the Trademark Act, 15 U.S.C. 1051 et seq., which provides for the federal registration of trademarks, service marks, collective trademarks and service marks, collective membership marks, and certification marks. Individuals and businesses that use such marks, or intend to use such marks, in interstate commerce may file an application to register their marks with the United States Patent and Trademark Office (USPTO). In some cases, the USPTO issues Office Actions to applicants who have applied for a trademark application, requesting additional information that was not provided with the initial submission but is required before the issuance of a registration. Also, the USPTO may determine that a mark is not entitled to registration, pursuant to one or more provisions of the Trademark Act. In such cases, the USPTO will issue an Office Action advising the applicant of the refusal to register the mark. Applicants reply to these Office Actions by providing the required information and/or by putting forth legal arguments as to why the refusal of registration should be withdrawn. The USPTO administers the Trademark Act through Chapter 37 of the Code of Federal Regulations. These rules allow the USPTO to request and receive information required to process applications. These rules also allow applicants to submit certain amendments to their applications. Applicants may also supplement their applications and provide further information by filing a Voluntary Amendment Not in Response to USPTO Office Action/Letter, a Request for Reconsideration after Final Office Action, a Post-Publication Amendment, a Petition to Amend Basis Post-Publication, and a Suspension Inquiry or Letter of Suspension, or by submitting a Substitute Trademark/Servicemark, Substitute Certification Mark, or Substitute Collective Membership Mark application. Thus, this collection includes information that was not submitted with the initial application and is needed by the USPTO to review applications for trademark registration.

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Authorizing Statute(s): US Code: 15 USC 1061 and 1062 Name of Law: Trademark Act
   US Code: 15 USC 1056 Name of Law: Trademark Act
   US Code: 15 USC 1053 and 1054 Name of Law: Trademark Act
   US Code: 15 USC 1051 Name of Law: Trademark Act
   US Code: 15 USC 1091 Name of Law: Trademark Act
   US Code: 15 USC 1094 and 1095 Name of Law: Trademark Act
   US Code: 15 USC 1126 Name of Law: Trademark Act
   US Code: 15 USC 1141 Name of Law: Trademark Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 22519	05/16/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 34506	07/25/2017
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 20

IC Title	Form No.	Form Name
Post Publication Amendment (paper)
Petition to Amend Basis Post-Publication (Paper)
Voluntary Amendment Not in Response to USPTO Office Action/Letter (TEAS)	PTO Form 1966	Voluntary Amendment Not in Response to USPTO Office Action/Letter
Request for Reconsideration After Final Office Action (TEAS)	PTO Form 1960	Request for Reconsideration After Final Action
Response to Office Action (Paper)
Substitute Collective Membership Mark (Paper)
Substitute Collective Trademark/Servicemark(Paper)
Substitute Trademark/Servicemark Application, Principal Register (Paper)
Voluntary Amendment Not in Response to USPTO Office Action/Letter
Substitute Collective Membership Mark (TEAS Global)	No form number	Substitute collective membership mark
Request for Reconsideration After Final Office Action (Paper)
Substitute Collective Trademark/Servicemark (TEAS Global)	No form number	Substitute collective trademark/servicemark
Post Publication Amendment (TEAS)	PTO-1771	Post Publication Amendment
Response to Suspension Inquiry or Letter of Suspension (TEAS)	PTO-1822	Response to Suspension Inquiry or Letter of Suspension
Response to Office Action (TEAS)	PTO-1957	Response to Office Action
Response to Suspension Inquiry or Letter of Suspension (paper)
Substitute Trademark/Servicemark Application, Principal Register (TEAS Global)	No form number	Substitute trademark/servicemark application, Principal Register
Substitute Certification Mark (TEAS Global)	No form number	Substitute certification mark
Petition to Amend Basis Post-Publication (TEAS Global)
Substitute Certification Mark (Paper)

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ICR Summary of Burden

	Total Approved	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	472,313	271,783	0	0	200,530	0
Annual Time Burden (Hours)	266,187	132,120	0	0	134,067	0
Annual Cost Burden (Dollars)	113,058	334,681	0	0	-221,623	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The changes to estimates stem from fluctuations in the number of filings in certain categories. The overall number of respondents is expected to go up, however we also expect a reduction in the number of respondents filing items that require certain fees.

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Annual Cost to Federal Government: $3,396,389

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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: 07/28/2017

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