Rules for Patent Maintenance Fees

Forms and Documents

Document Name	Status
Form PTO/SB/45 Maintenance Fee Transmittal Transactions Form	Unchanged
Form PTO/SB/47 Fee Address Indication Form Form and Instruction	Modified
Form PTO/SB/66e Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (ePetition)) Form	Unchanged
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) Form	Unchanged
0651-0016 Nov 2018 CWS.docx Justification for No Material/Nonsubstantive Change	2018-10-30
0016 Supporting Statement July 2018 Final.docx Supporting Statement A	2018-07-26
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf Supplementary Document	2013-09-20

IC Document Collections

IC ID	Document Title	Status
4678	Maintenance Fee Transmittal Transactions Form	Unchanged
187818	Fee Address Indication Form Form and Instruction	Modified
187817	Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(d))	Unchanged
187816	Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377)	Unchanged
187815	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (ePetition)) Form	Unchanged
187814	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) Form	Unchanged
187812	Electronic Maintenance Fee Transactions Other-Sample web form	Unchanged

ICR Details

OMB Control No: 0651-0016	ICR Reference No: 201810-0651-003
Status: Historical Active	Previous ICR Reference No: 201807-0651-005
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Rules for Patent Maintenance Fees
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/08/2018
	Date Received in OIRA: 11/05/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2021	09/30/2021	09/30/2021
Responses	533,910	0	533,910
Time Burden (Hours)	13,879	0	13,879
Cost Burden (Dollars)	1,209,457,960	0	1,209,457,960

---

Abstract: The United States Patent and Trademark Office (USPTO) is submitting this request to update the information collection 0651-0016 Rules for Patent Maintenance Fees. The USPTO is proposing to remove a form associated with an existing information requirement that is currently approved: Petition to Accept Unavoidably Delayed Payment of Maintenance Fee in an Expired Patent (1.378(b)). Under 35 U.S.C. § 41 and 37 CFR 1.20(e)-(i) and 1.362-1.378, the 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 intervals, the patent will expire and no longer be enforceable. The public uses this collection to submit patent maintenance fee payments, to file petitions regarding delayed or refused payments, and to designate an address to be used for fee-related correspondence.

---

Authorizing Statute(s): 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:
	83 FR 23430	05/21/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 35240	07/25/2018
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 7

IC Title	Form No.	Form Name
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (ePetition))	PTO/SB/66e, ePetition	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web ,   Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c))
Maintenance Fee Transmittal Transactions	PTO/SB/45	Maintenance Fee Transmittal Form
Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(d))
Electronic Maintenance Fee Transactions
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(c))
Fee Address Indication Form	PTO/AIA/47, PTO/SB/47	Fee Address Indication Form ,   Fee Address Indication Form
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377)

---

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	533,910	533,910	0	0	0	0
Annual Time Burden (Hours)	13,879	13,879	0	0	0	0
Annual Cost Burden (Dollars)	1,209,457,960	1,209,457,960	0	0	0	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:

---

Annual Cost to Federal Government: $260,051

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: 11/05/2018

---