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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Rules for Patent Maintenance Fees
OMB CONTROL NUMBER 0651-0016
May 2015
A.
JUSTIFICATION
1.
Necessity of Information Collection
Under 35 U.S.C. § 41 and 37 CFR 1.20(e)-(h) and 1.362-1.378, the United States
Patent and Trademark Office (USPTO) charges fees for maintaining in force all utility
patents based on applications filed on or after December 12, 1980. Payment of these
maintenance fees is due at 3-1/2, 7-1/2, and 11-1/2 years after the date the patent was
granted. If the USPTO does not receive payment of the appropriate maintenance fee
and any applicable surcharge within a grace period of six months following each of the
above due dates (at 4, 8, or 12 years after the date of grant), the patent will expire at
that time. After a patent expires, it is no longer enforceable. Maintenance fees are not
required for design or plant patents, or for reissue patents if the patent being reissued
did not require maintenance fees.
The USPTO must maintain accurate payment records in order to provide the public with
information as to which patents have expired and which patents remain in force. The
USPTO may adjust patent maintenance fees annually. Fee schedules are published in
the Federal Register, the Official Gazette of the United States Patent and Trademark
Office, and on the USPTO Web site.
Payments of maintenance fees that are submitted during the six-month grace period
before patent expiration must include the appropriate surcharge as indicated by 37 CFR
1.20(h). Submissions of maintenance fee payments and surcharges must include the
relevant patent number and the corresponding United States application number in
order to identify the correct patent and ensure proper crediting of the fee being paid.
If the USPTO refuses to accept and record a maintenance fee payment that was
submitted prior to the expiration of a patent, the patentee may petition the Director to
accept and record the maintenance fee under 37 CFR 1.377. This petition must be
accompanied by the fee indicated in 37 CFR 1.17(g), which may be refunded if it is
determined that the refusal to accept the maintenance fee was due to an error by the
USPTO.
If a patent has expired due to nonpayment of a maintenance fee, the patentee may
petition the Director to accept a delayed payment of the maintenance fee under 37 CFR
1.378. The Director may accept the payment of a maintenance fee after the expiration
of the patent if the petitioner shows to the satisfaction of the Director that the delay in
payment was unintentional. Petitions to accept unintentionally delayed payment must
also be accompanied by the required maintenance fee. If the Director accepts the
maintenance fee payment upon petition, then the patent is reinstated. If the USPTO
denies a petition to accept delayed payment of a maintenance fee in an expired patent,
the patentee may petition the Director to reconsider that decision under 37 CFR
1.378(d).
The rules of practice (37 CFR 1.33(d) and 1.363) permit applicants, patentees,
assignees, or their representatives of record to specify a “fee address” for
correspondence related to maintenance fees that is separate from the correspondence
address associated with a patent or application. A fee address must be an address that
is associated with a USPTO customer number. Customer numbers may be requested
by using the Request for Customer Number form (PTO/SB/125), which is covered under
OMB Control Number 0651-0035. Maintaining a correct and updated address is
necessary so that fee-related correspondence from the USPTO will be properly
received by the applicant, patentee, assignee, or authorized representative. If a
separate fee address is not specified for a patent or application, the USPTO will direct
fee-related correspondence to the correspondence address of record.
The USPTO offers forms to assist the public with providing information covered by this
collection, including the information necessary to submit a patent maintenance fee
payment (PTO/SB/45) and to designate or change a fee address (PTO/SB/47). The
USPTO offers a total of three different versions of the form for petitions to accept
unintentionally delayed payment of maintenance fee in an expired patent under 37 CFR
1.378(b). In addition to (i) the basic PDF that may be filled out electronically and then
printed and mailed (or submitted online) (Form PTO/SB/66), the USPTO offers (ii) an
enhanced PDF that is designed only to be submitted electronically through EFS-Web
(PTO/SB/66 - EFS-Web), and (iii) a Web-based ePetition, which the public can
complete on a computer using a Web browser and then click a submit button to send
the information to the USPTO over the Internet (ePetition). No forms are provided for
the petitions under 37 CFR 1.377 and 1.378(d).
Customers may submit maintenance fee payments and surcharges incurred during the
six-month grace period before patent expiration by using the Maintenance Fee
Transmittal Form (PTO/SB/45) or by paying online through the USPTO Web site.
However, to pay a maintenance fee after patent expiration, the maintenance fee
payment must be filed together with a petition to accept unintentionally delayed
payment. The USPTO accepts online maintenance fee payments by credit card, deposit
account, or electronic funds transfer (EFT). Otherwise, non-electronic payments may
be made by check, credit card, or deposit account.
Table 1 provides the statutes and regulations authorizing the USPTO to collect the
information discussed above:
2
Table 1: Information Requirements
IC
Number
1-2
3-5
6
7
8
2.
Requirement
Statute
Rule
Maintenance Fee Payment
35 U.S.C. § 41(b)
37 CFR 1.20(e)-(h), 1.362, and 1.366
35 U.S.C. § 41(c)
37 CFR 1.20(e)-(g), 1.362, 1.366,
1.378(a) and (b)
35 U.S.C. § 41(b)
37 CFR 1.377, 37 CFR 1.17(g)
35 U.S.C. § 41(c)
37 CFR 1.378(d)
35 U.S.C. § 41
37 CFR 1.33(d) and 1.363
Petition to Accept Unintentionally
Delayed Payment of Maintenance Fee in
an Expired Patent (37 CFR 1.378(b))
Petition to Review Refusal to Accept
Payment of Maintenance Fee Prior to
Expiration of Patent (37 CFR 1.377)
Petition for Reconsideration of Decision
on Petition Refusing to Accept Delayed
Payment of Maintenance Fee in an
Expired Patent (37 CFR 1.378(d))
“Fee Address” Indication
Needs and Uses
This information collection is necessary so that patent owners can maintain a utility
patent in force and to ensure that the USPTO can properly credit maintenance fee
payments. The USPTO offers forms to assist the public with providing the information
covered by this collection, including maintenance fee payments, petitions to accept
delayed maintenance fee payments, and fee address changes.
The public uses the Maintenance Fee Transmittal Form (PTO/SB/45) to determine and
pay the correct amount due for a maintenance fee transaction. PTO/SB/45 may be
mailed or faxed to the USPTO, but PTO/SB/45 may not be submitted electronically via
EFS-Web. Customers may submit maintenance fees and six-month grace period
surcharges paid before patent expiration electronically over the Internet using the
USPTO’s Office of Finance Online Shopping Page (hereinafter, the “Electronic
Maintenance Fee Form”) provided through the USPTO Web site.
To pay a
maintenance fee after patent expiration, customers must submit the maintenance fee
payment together with a Petition to Accept Unintentionally Delayed Payment. A petition
to accept delayed payment of a maintenance fee under the unintentional standard may
be filed online.
This proposed collection of information results in information collected, maintained, and
used consistent with all applicable OMB and USPTO Information Quality Guidelines.
This includes the basic information quality standards established in the Paperwork
Reduction Act (44 U.S.C. Chapter 35) (PRA), in OMB Circular A-130, and in the OMB
information quality guidelines. (See Ref. A, the USPTO Information Quality Guidelines.)
Table 2 outlines how this collection of information is used by the public and the USPTO:
3
Table 2: Needs and Uses
IC
Number
1
Form and Function
Form #
Needs and Uses
Maintenance Fee
Transmittal Form
PTO/SB/45
2
Electronic Maintenance
Fee Form
No Form Associated
3
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b))
PTO/SB/66
4
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b)) – EFSWeb
PTO/SB/66
5
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b)) –
ePetition
PTO/SB/66
4
Used by the public to pay the maintenance fee and
the surcharge in order to keep one or more patents
in force.
Used by the USPTO to record the payment of the
maintenance fees in order to keep the patent(s) in
force.
Used by the USPTO to determine whether a
maintenance fee has been paid in response to an
inquiry from the public.
Used by the public to pay the maintenance fee and
the surcharge online in order to keep one or more
patents in force.
Used by the USPTO to record the payment of the
maintenance fees in order to keep the patent(s) in
force.
Used by the USPTO to determine whether a
maintenance fee has been paid in response to an
inquiry from the public.
Used by the petitioner to request that the patent be
reinstated and to show that the delay in timely
payment of the maintenance fee was unintentional.
Used by the petitioner to verify all of the identifying
information, such as the patent number, patent date,
application number, and filing date.
Used by the USPTO to determine whether the
required elements for the petition have been
submitted.
Used by the USPTO to consider reinstatement of a
patent that has expired due to unintentionally
delayed payment of a maintenance fee.
Used by the petitioner to request that the patent be
reinstated and to show that the delay in timely
payment of the maintenance fee was unintentional.
Used by the petitioner to verify all of the identifying
information, such as the patent number, patent date,
application number, and filing date.
Used by the USPTO to determine whether the
required elements for the petition have been
submitted.
Used by the USPTO to consider reinstatement of a
patent that has expired due to unintentionally
delayed payment of a maintenance fee.
Used by the petitioner to request that the patent be
reinstated and to show that the delay in timely
payment of the maintenance fee was unintentional.
Used by the petitioner to verify all of the identifying
information, such as the patent number, patent date,
application number, and filing date.
Used by the USPTO to determine whether the
required elements for the petition have been
submitted.
Used by the USPTO to consider reinstatement of a
patent that has expired due to unintentionally
delayed payment of a maintenance fee.
IC
Number
6
Form and Function
Form #
Needs and Uses
Petition to Review Refusal
to Accept Payment of
Maintenance Fee Prior to
Expiration of Patent (37
CFR 1.377)
No Form Associated
7
8
Petition for
Reconsideration of
Decision on Petition
Refusing to Accept
Delayed Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(d))
No Form Associated
“Fee Address” Indication
Form
PTO/SB/47
3.
Used by the petitioner to request that the Director
accept and record a maintenance fee that was filed
prior to the expiration of the patent but was refused
by the USPTO and to request a refund of the petition
fee if the refusal was due to an error by the USPTO.
Used by the USPTO to consider a request to review
a decision refusing to accept and record payment of
a maintenance fee prior to the expiration of the
patent and to refund the petition fee if the refusal is
determined to be an error by the USPTO.
Used by the petitioner to request that the Director
reconsider a decision to refuse a petition to accept
and record an unintentionally delayed maintenance
fee payment after expiration of the patent so that the
expired patent can be reinstated.
Used by the USPTO to consider a request to review
a decision refusing to accept and record an
unintentionally delayed payment of a maintenance
fee after patent expiration.
Used by the applicant, patentee, assignee, or
representative to establish an address other than the
correspondence address as the maintenance fee
address for a list of applications or patents.
Used by the USPTO to ensure that fee-related
correspondence for a patent or allowed application is
sent to the correct address.
Use of Information Technology
Maintenance fee payments and surcharges for payments made during the six-month
grace period before patent expiration may be submitted using the Electronic
Maintenance Fee Form available online through the USPTO’s Office of Finance Online
Shopping Page. The online payment system uses Secure Sockets Layer (SSL)
technology in order to encrypt the payment data and transmit it securely over the
Internet. The customer may choose to view a confirmation screen after the transaction
is completed, which the customer may then print out as evidence of timely payment. In
order to provide the public with accurate information as to which patents have expired,
the USPTO maintains payment records in an electronic database. Customers may also
use a voice response system to monitor the status of their maintenance fees.
Online payment of maintenance fees benefits the customer by eliminating potential
mailing delays and offering fast and reliable payment confirmation. The USPTO
accepts electronic payments by credit card, electronic funds transfer (EFT), or USPTO
deposit account. Non-electronic payments may be made by check, credit card, or
USPTO deposit account. The USPTO believes that the use of the electronic payment
option for maintenance fee transactions will continue to increase as the public becomes
more comfortable with making payments online.
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
5
mailing or submitted online. Other than PTO/SB/45, the forms and petitions in this
collection may be submitted to the USPTO online through EFS-Web, 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. Typically, the customer will prepare the forms or documents as
standard PDF files and then upload them to the USPTO servers using the secure EFSWeb interface. The USPTO has also developed specific EFS-Web versions of some
forms, such as PTO/SB/66, that allow for more efficient processing of submissions.
EFS-Web offers many potential benefits to filers, including form validation to ensure that
all required information has been included, immediate notification that a submission has
been received, automated processing of requests, and avoidance of postage or other
paper delivery costs. In addition, the USPTO has developed a Web-based interface to
accept an ePetition version of Petitions to Accept Unintentionally Delayed Payment of
Maintenance Fee in an Expired Patent (37 CFR 1.378(b)). The public can complete the
ePetition on a computer using a Web browser and then click a submit button to send the
information to the USPTO over the Internet. ePetitions are convenient for customers
while allowing the USPTO to process the petition automatically and send a response
back to the customer immediately.
4.
Efforts to Identify Duplication
The information collected is required to process and record patent maintenance fee
payments and surcharges, to consider petitions related to maintenance fee payments,
and to establish a separate address for fee-related correspondence. This information is
not collected elsewhere and does not result in a duplication of effort. For maintenance
fee transactions, the USPTO requires the customer to supply both the patent number
and the corresponding application number in order to ensure the patent is accurately
identified.
5.
Minimizing the Burden to Small Entities
The information in this collection is necessary in order to complete a maintenance fee
transaction, to consider an appropriate petition, or to process a fee address request.
The information required by petitions to accept delayed payments, such as the showing
or statement that the delayed payment was unintentional, provides the USPTO with
documented evidence regarding the reason for the delay in payment of the required
maintenance fees so that the Director may consider the request to reinstate the patent.
The same information is required from every customer and is not available from any
other source.
6.
Consequences of Less Frequent Collection
This information is collected only when the public submits a payment, petition, or other
request related to patent maintenance fees. If this information were not collected, the
USPTO would not be able to: (1) identify the patent for which a maintenance fee is
6
being paid and properly record the payment; (2) determine whether a patentee is
entitled to reinstatement of a patent after a delayed payment; (3) determine whether a
maintenance fee payment that was refused should have been accepted; or (4) send
fee-related correspondence to the proper address. This information could not be
collected less frequently.
7.
Special Circumstances in the Conduct of Information Collection
There are no special circumstances associated with this collection of information.
8.
Consultations Outside the Agency
The 60-Day Notice was published in the Federal Register on March 2, 2015 (80 Fed.
Reg. 11178). The comment period ended on May 1, 2015. No public comments were
received.
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 and during the renewal of an information collection.
No views have been expressed impacting the present renewal.
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). Upon publication of an application or issuance of a
patent, the entire patent application file is made available to the public, subject to
provisions for providing only a redacted copy of the file contents. The prosecution
history contained in the application file is critical for determining the scope of the
property right conferred by a patent grant.
In order to protect the confidentiality of credit card account information when making fee
payments, customers should submit credit card payments on a separate credit card
payment form provided by the USPTO for this purpose, which is covered under OMB
Control Number 0651-0043. The USPTO will not include the credit card information
submitted using the provided credit card payment forms among the patent records open
to public inspection. If a customer supplies credit card information on a form or
document (e.g., in correspondence related to a patent) other than a credit card payment
form provided by the USPTO, the USPTO will not be liable if the credit card information
becomes public knowledge.
7
11.
Justification of Sensitive Questions
None of the required information in this collection is considered to be sensitive.
12.
Estimate of Hour and Cost Burden to Respondents
Table 3 calculates the burden hours and costs of this information collection to the
public, based on the following factors:
Respondent Calculation Factors
The USPTO estimates that it will receive approximately 525,309 total responses
per year for this collection, with approximately 25% of these responses submitted
by small entities.
The USPTO estimates that approximately 97% of the total annual responses for
this collection will be submitted electronically.
Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 20 seconds
(0.006 hours) to 8 hours to submit the information in this collection, including the
time to gather the necessary information, prepare the appropriate form or
petition, and submit the completed request to the USPTO.
Cost Burden Calculation Factors
The USPTO uses a professional rate of $389 per hour for respondent cost
burden calculations
The USPTO uses a paraprofessional rate of $125 per hour for respondent cost
burden calculations, which is the average rate.
The USPTO expects that the petitions included in this collection will be prepared
by attorneys and that the other items in this collection will be prepared by
paraprofessionals.
Table 3: Burden Hours/Burden Costs to Respondents
IC
Number
1
2
Item/Form Number
Maintenance Fee
Transmittal
Transactions
(PTO/SB/45)
Electronic Maintenance
Fee Transactions
Estimated
Time for
Response
(min)
(a)
Estimated
Annual
Responses
Burden
(hrs/yr)
Rate
($/hr)
Total Cost
($/yr)
(b)
(a) x (b) / 60 = (c)
(d)
(c) x (d) = (e)
5
37,434
3,119.5
$125.00
$389,937.50
0.333
375,555
2,086.42
$125.00
$260,802.08
8
IC
Number
Item/Form Number
Petition to Accept
Unintentionally Delayed
Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(b)) (PTO/SB/66)
Petition to Accept
Unintentionally Delayed
Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(b)) (PTO/SB/66)
– EFS-Web
Petition to Accept
Unintentionally Delayed
Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(b)) (PTO/SB/66)
– ePetition
Petition to Review
Refusal to Accept
Payment of
Maintenance Fee Prior
to Expiration of Patent
(37 CFR 1.377)
Petition for
Reconsideration of
Decision on Petition
Refusing to Accept
Delayed Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(d))
“Fee Address”
Indication Form
(PTO/SB/47)
3
4
5
6
7
8
Totals
13.
Estimated
Time for
Response
(min)
(a)
Estimated
Annual
Responses
Burden
(hrs/yr)
Rate
($/hr)
Total Cost
($/yr)
(b)
(a) x (b) / 60 = (c)
(d)
(c) x (d) = (e)
60
1,000
1,000
$389.00
$389,000.00
60
500
500
$389.00
$194,500.00
60
1,000
1,000
$389.00
$389,000.00
240
20
80
$389.00
$31,120.00
480
150
1,200
$389.00
$466,800.00
5
109,650
9,137.5
$125.00
$1,142,187.50
------------
525,309
18,123.42
------------
$3,263,347.08
Total Annual (Non-hour) Cost Burden
The total (non-hour) respondent cost burden for this collection is estimated to be
$3,263,347.08 per year. There are no capital start-up costs, maintenance fees, or
processing fees associated with this information collection. However, this collection
does have an annual (non-hour) cost burden in the form of postage costs applicable to
paper submissions.
Postage
The public may submit the forms and petitions in this collection to the USPTO by mail
through the United States Postal Service. If the submission is sent by first-class mail,
the public may also include a signed certification of the date of mailing in order to
9
receive credit for timely filing. The non-electronic items in this collection have
associated first-class postage costs of $3,801.42 per year:
Table 4: Postage Costs
IC
Number
Item
Petition to Accept Unintentionally Delayed
Payment of Maintenance Fee in an Expired
Patent (37 CFR 1.378(b))
Petition to Review Refusal to Accept Payment
of Maintenance Fee Prior to Expiration of
Patent (37 CFR 1.377)
Petition for Reconsideration of Decision on
Petition Refusing to Accept Delayed Payment
of Maintenance Fee in an Expired Patent (37
CFR 1.378(d))
3
6
7
8
14.
Estimated
Annual
Responses
(a)
Postage Cost
Total Non-hour
Cost Burden
(b)
(a) x (b) = (c)
70
$0.49
$34.30
1
$0.49
$0.49
11
$0.49
$5.39
“Fee Address” Indication Form
7,676
$0.49
$3,761.24
Totals
7,758
......
$3,801.42
Annual Cost to the Federal Government
The USPTO estimates that it takes a GS-7, step 1 employee approximately 5 minutes
(0.08 hours) on average to process a Maintenance Fee Transmittal or Fee Address
Indication Form and approximately 30 minutes (0.5 hours) on average to process the
petitions included in this collection. The USPTO estimates that the cost of a GS-7, step
1 employee is $26.82 per hour (GS hourly rate of $20.63 with 30% ($6.19) added for
benefits and overhead).
When a customer makes a submission online using the Electronic Maintenance Fee
Form or the EFS-Web or ePetition versions of Form PTO/SB/66, the transaction is
processed and recorded automatically with no staff time required.
Table 5 calculates the burden hours and costs to the Federal Government for
processing this information collection:
Table 5: Burden Hours/Burden Costs to the Federal Government
IC
Number
1
2
Item/Form Number
Maintenance Fee
Transmittal Transactions
(PTO/SB/45)
Electronic Maintenance
Fee Transactions
Estimated
Time for
Response
(min)
(a)
Estimated
Annual
Responses
Burden
(hrs/yr)
Rate
($/hr)
Total Cost
($/yr)
(b)
(a) x (b) / 60 = (c)
(d)
(c) x (d) = (e)
5
37,434
3,119.5
$26.82
$83,678.40
0
375,555
0
N/A
$0.00
10
IC
Number
3
4
5
6
7
8
Item/Form Number
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b))
(PTO/SB/66)
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b))
(PTO/SB/66) – EFS-Web
Petition to Accept
Unintentionally Delayed
Payment of Maintenance
Fee in an Expired Patent
(37 CFR 1.378(b))
(PTO/SB/66) – ePetition
Petition to Review Refusal
to Accept Payment of
Maintenance Fee Prior to
Expiration of Patent (37
CFR 1.377)
Petition for
Reconsideration of
Decision on Petition
Refusing to Accept
Delayed Payment of
Maintenance Fee in an
Expired Patent (37 CFR
1.378(d))
“Fee Address” Indication
Form (PTO/SB/47)
Totals
15.
Estimated
Time for
Response
(min)
(a)
Estimated
Annual
Responses
Burden
(hrs/yr)
Rate
($/hr)
Total Cost
($/yr)
(b)
(a) x (b) / 60 = (c)
(d)
(c) x (d) = (e)
30
1,000
500
$26.82
$13,410.00
0
500
0
N/A
$0.00
0
1,000
0
N/A
$0.00
30
20
10
$26.82
$268.20
30
150
75
$26.82
$2,011.50
5
109,650
9,137.5
$26.82
$245,081.16
------------
525,309
12,843
------------
$344,449.26
Reason for Changes in Annual Burden
Changes in Respondent Cost Burden
The total respondent cost burden for this collection has decreased by $3,395,636.92
(from $6,658,984 to $3,263,347.08) from the previous renewal of this collection in
March 2012, due to:
Increase in estimated hourly rates. The 2012 renewal used estimated rates of
$340 per hour for attorneys and $122 per hour for paraprofessionals preparing
the information in this collection. For the current renewal, the USPTO is using
updated hourly rates of $389 for attorneys and $125 for paraprofessionals.
Decrease in burden hours (decrease of 25,481.58). The 2012 renewal
estimated that 43,605 hours would be spent annually by respondents completing
the forms in this collection. This renewal has revised that number to reflect that
11
approximately 18,123.42 hours will be spent completing the forms in this
collection, reflecting a decrease of 25,481.58.
Decrease in responses received (decrease of 47,852). The 2012 renewal
estimated that the combined responses received to all forms in this collection
would total 573,161 responses. For this renewal, the number of respondents has
been estimated at 525,309, for a decrease of 47,852 responses.
Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs will
decrease by $791,156,962.58 (from $791,160,764.00 to $3,801.42) from the March
2012 renewal due to program changes and administrative adjustments, as follows:
Statute Changes (decrease of $791,008,495):
Decrease of $791,008,495. In March 2012, this collection was approved with a total
of $791,008,495 in fees in the form of patent maintenance fees, surcharges, and
petition fees. In January 2013, a nonmaterial/nonsubstantive change request was
submitted and approved; that request moved those fees into Collection 0651-0072
(America Invents Act Section 10 Patent Fee Adjustments). In September 2013,
another change request was submitted and later approved for this collection that
removed all the associated fees from this collection. To comply with this change, the
current submission has removed all of those fees from the supporting statement and
related documents, leading to the decrease seen above.
Administrative Adjustments (decrease of $148,467.58):
Decrease of $148,467.58. This collection is currently approved with a total of
$152,269 in postage costs associated with submitting the forms and petitions in this
collection to the USPTO by mail. For this renewal, the USPTO estimates that the
total postage costs for mailed items will decrease to $3,801.42, primarily due to a
decrease in the number of items being submitted by mail that corresponds with an
increase in the number of items being submitted electronically. This decrease occurs
despite an increase in first-class postage rates from $0.45 to $0.49 since the
previous renewal in 2012.
Changes in Federal Cost Burden
The total federal cost burden for processing and handling the submissions in this
collection has decreased by $627,789.60 (from $1,003,806.00 to $376,016.40) from the
previous renewal of this collection in March 2012, due to:
Increase in federal wage rates. The 2012 renewal placed the cost of an hour of
a GS-7, step one, employee’s time at $26.29 (an hourly rate of $20.22 plus 30%
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[$6.07] added for benefits and overhead). The current renewal uses the 2015 GS
rates, which place a GS-7, step one, employee’s hourly rate at $26.82 (an hourly
rate of $20.63 plus 30% [$6.19] added for benefits and overhead).
Decrease in burden hours (decrease of 25,340). The 2012 renewal estimated
that 38,182 hours would be spent annually by federal government employees
processing the forms in this collection. This renewal has revised that number to
reflect that approximately 12,842 hours will be spent processing the forms in this
collection, reflecting a decrease of 25,340 hours.
16.
Project Schedule
The USPTO does not plan any special publication of patent numbers in which
maintenance fees have been paid. However, the patent numbers, serial numbers, and
issue dates of expired patents are published in the weekly Official Gazette of the United
States Patent and Trademark Office and annually in a consolidated listing. The weekly
Official Gazette also includes a listing of patent numbers, serial numbers, filing dates,
issue dates, and grant dates for patents that have been reinstated due to the
acceptance of a late maintenance fee. The Official Gazette is published in electronic
format on the USPTO Web site.
17.
Display of Expiration Date of OMB Approval
The forms in this information collection will display the OMB Control Number and the
expiration date of OMB approval.
18.
Exceptions to the Certificate Statement
This collection of information does not include any exceptions to the certificate
statement.
B.
COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection of information does not employ statistical methods.
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| File Type | application/pdf |
| Author | USPTO |
| File Modified | 2015-05-13 |
| File Created | 2015-05-13 |