Fee Deficiency Submissions

Forms and Documents

Document Name	Status
Form USPTO/SB/460 Submissions Under 37 CFR 1.29(k) (Individuals or Households) Form	New
Form USPTO/SB/460 Submissions Under 37 CFR 1.29(k) (Private Sector) Form	Modified
0651-0070 Supporting Statement 2021.docx Supporting Statement A	2021-11-23
Leahy-Smith America Invents Act.pdf Supplementary Document	2021-11-08
USPTO Information Quality Guidelines.pdf Supplementary Document	2021-11-08

IC Document Collections

IC ID	Document Title	Status
250239	Submissions Under 37 CFR 1.29(k) (Individuals or Households) Form	New
250238	Submissions Under 37 CFR 1.28(c) (Individuals or Households)	New
202494	Submissions Under 37 CFR 1.29(k) (Private Sector) Form	Modified
202493	Submissions Under 37 CFR 1.28(c) (Private Sector)	Modified

ICR Details

OMB Control No: 0651-0070	ICR Reference No: 202108-0651-003
Status: Received in OIRA	Previous ICR Reference No: 201809-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Fee Deficiency Submissions
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/23/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2021
Responses	3,002	2,500
Time Burden (Hours)	6,004	5,000
Cost Burden (Dollars)	248	335

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Abstract: Under section 10(b) of the Leahy-Smith America Invents Act (“Act”) (See Pub. L. 112-29, 125 Stat. 283 (2011)), eligible small entities shall receive a 50 percent fee reduction from the undiscounted fees for filing, searching, examining, issuing, appealing, and maintaining patent applications and patents. The Act further provides that micro entities shall receive a 75 percent fee reduction from the undiscounted fees for filing, searching, examining, issuing, appealing, and maintaining patent applications and patents. This information collection covers the submissions made by patent applicants and patentees to excuse small and micro entity fee payment errors, in accordance with the procedures set forth in 37 CFR 1.28(c) and 1.29(k). Specifically, 37 CFR 1.28(c) provides a procedure by which patent applicants and patentees may be excused for erroneous payments of fees in the small entity amount. 37 CFR 1.29(k) provides a procedure by which patent applicants and patentees may be excused for erroneous payments of fees in the micro entity amount.

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Authorizing Statute(s): PL: Pub.L. 112 - 29 125 Name of Law: Leahy Smith America Invents 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:
	86 FR 47478	08/25/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 66537	11/23/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Submissions Under 37 CFR 1.28(c) (Individuals or Households)
Submissions Under 37 CFR 1.28(c) (Private Sector)
Submissions Under 37 CFR 1.29(k) (Individuals or Households)	USPTO/SB/460	NOTIFICATION OF LOSS OF MICRO ENTITY STATUS
Submissions Under 37 CFR 1.29(k) (Private Sector)	USPTO/SB/460	NOTIFICATION OF LOSS OF MICRO ENTITY STATUS

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ICR Summary of Burden

	Total Request	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	3,002	2,500	0	0	502	0
Annual Time Burden (Hours)	6,004	5,000	0	0	1,004	0
Annual Cost Burden (Dollars)	248	335	0	0	-87	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: Change in Responses and Hourly Burden due to Adjustment in Agency Estimate The total number of responses has increased by 502 due to estimated fluctuations in the number of responses/submissions in this information collection. This increase in the number of responses results in an increase of 1,004 hours in the annual time burden estimates. Change in Annual (Non-hour) Costs due to Adjustment in Agency Estimate For this renewal, the USPTO estimates that the total annual (non-hour) costs will decrease by $87 from the previous approval. This decrease is due to estimated fluctuations in submissions and a decrease in the number of respondents submitting their information by mail.

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Annual Cost to Federal Government: $22,996

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? No

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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: 11/23/2021

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