Patent and Trademark Financial Transactions

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO-2038 Credit Card Payment Form	Form	Modified	Available
Form PTO-2234 Deposit Account Closure Request Form	Form	Removed	Available
Form PTO-2232 Deposit Account Application Form	Form	Removed	Available
Financial Profiles	Form	Removed	Available
0651-0043 Supporting Statement January 2018.doc	Supporting Statement A	Uploaded 2018-01-30	Available
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf	Supplementary Document	Uploaded 2011-09-23	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4764	Credit Card Payment Form	Form	Modified
214068	Deposit Account Withdrawal Request		Removed
187210	Refund Request		Modified
187209	Financial Manager Payment Methods		Modified
187208	Deposit Account Closure Request Form	Form	Removed
187207	Deposit Account Replenishment, Withdrawal, or Closure		Modified
187206	Deposit Account Replenishment		Removed
187205	Deposit Account Application Form	Form	Removed
187204	Online Payments		Modified
181358	Financial Profiles	Form	Removed

ICR Details

OMB Control No: 0651-0043	ICR Reference No: 201801-0651-001
Status: Active	Previous ICR Reference No: 201409-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent and Trademark Financial Transactions
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: 03/12/2018
	Date Received in OIRA: 01/31/2018
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2021	36 Months From Approved	03/31/2018
Responses	4,885,505	0	2,590,950
Time Burden (Hours)	242,403	0	86,258
Cost Burden (Dollars)	111,420	0	129,937

---

Abstract: Under 35 U.S.C. § 41 and 15 U.S.C. § 1113, as implemented in 37 CFR 1.16-1.28, 2.6-2.7, and 2.206-2.209, the USPTO charges fees for processing and other services related to patents, trademarks, and information products. Customers may submit payments to the USPTO by several methods, including credit card, deposit account, electronic funds transfer (EFT), and paper check transactions. The public uses this collection to pay patent and trademark fees by credit card, establish and manage USPTO deposit accounts, request refunds, and set up user profiles. The USPTO uses this collection to process credit card payments, handle deposit account requests, issue refunds, and provide user accounts for EFT and other financial transactions.

---

Authorizing Statute(s): US Code: 15 USC 1113 Name of Law: null
   US Code: 35 USC 41 Name of Law: null
  

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 52889	11/15/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 4038	01/29/2018
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 5

table that charts list of burden

IC Title	Form No.	Form Name
Deposit Account Replenishment, Withdrawal, or Closure
Financial Manager Payment Methods
Refund Request
Credit Card Payment Form	PTO-2038	Credit Card Payment Form
Online Payments
Deposit Account Replenishment
Deposit Account Withdrawal Request
Financial Profiles	None	Financial Profile
Deposit Account Closure Request Form	PTO-2234	Deposit Account Closure Request Form
Deposit Account Application Form	PTO-2232	Deposit Account Application Form

---

ICR Summary of Burden

table that charts list 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	4,885,505	2,590,950	0	2,333,675	-39,120	0
Annual Time Burden (Hours)	242,403	86,258	0	156,887	-742	0
Annual Cost Burden (Dollars)	111,420	129,937	0	0	-18,517	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The online payment lines were modified and now include a broader range of options incorporated into a new financial management system.

---

Annual Cost to Federal Government: $1,667,311

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

---

Common Form ICR:  No

---

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: 01/31/2018

---