Rules for Patent Maintenance Fees

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/AIA/47 "Fee Address" Indication Form	Form	Unchanged	Available
Form PTO/SB/47 Fee Address Indication Form	Form and Instruction	Unchanged	Available
Form PTO/SB/47 Fee Address Indication Form (Individuals or Households)	Form and Instruction	Unchanged	Repair queued
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web	Form	Modified	Available
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Individuals and Households)	Form	Modified	Repair queued
Form PTO/AIA/47 "Fee Address" Indication Form	Form	Unchanged	Available
Form PTO/SB/47 Fee Address Indication Form	Form and Instruction	Unchanged	Available
Form PTO/SB/47 Fee Address Indication Form (Private Sector)	Form and Instruction	Unchanged	Repair queued
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web	Form	Modified	Available
Form PTO/SB/66 Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Private Sector)	Form	Modified	Repair queued
Unleashing American Innovators Act of 2022.pdf	Supplementary Document	Uploaded 2023-03-24	Available
Unleashing American Innovators Act of 2022.pdf	Supplementary Document	Uploaded 2023-03-24	Repair queued
Reducing Patent Fees Rule.pdf	Supplementary Document	Uploaded 2023-03-24	Available
Reducing Patent Fees Rule.pdf	Supplementary Document	Uploaded 2023-03-24	Available
0651-0016 2023 Patent Fee CWS 2023.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2023-03-24	Available
0651-0016 2023 Patent Fee CWS 2023.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2023-03-24	Repair queued
0651-0016 Supporting Statement 2021.docx	Supporting Statement A	Uploaded 2021-09-22	Available
0651-0016 Supporting Statement 2021.docx	Supporting Statement A	Uploaded 2021-09-22	Repair queued
Leahy Smith America Invents Act-pub-l112-29.pdf	Supplementary Document	Uploaded 2021-09-14	Available
Leahy Smith America Invents Act-pub-l112-29.pdf	Supplementary Document	Uploaded 2021-09-14	Repair queued
Information Quality Guidelines _ USPTO.html	Supplementary Document	Uploaded 2021-09-14	Available
Information Quality Guidelines _ USPTO.html	Supplementary Document	Uploaded 2021-09-14	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
248269	Fee Address Indication Form (Individuals or Households)	Form	Unchanged	"Fee Address" Indication Form
248269	Fee Address Indication Form (Individuals or Households)	Form and Instruction	Unchanged	Fee Address Indication Form
248269	Fee Address Indication Form (Individuals or Households)	Form and Instruction	Unchanged
248268	Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(d)) (Individuals or Households)		Unchanged
248267	Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377) (Individuals or Households)		Unchanged
248265	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Individuals and Households)	Form	Modified	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web
248265	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Individuals and Households)	Form	Modified
187818	Fee Address Indication Form (Private Sector)	Form	Unchanged	"Fee Address" Indication Form
187818	Fee Address Indication Form (Private Sector)	Form and Instruction	Unchanged	Fee Address Indication Form
187818	Fee Address Indication Form (Private Sector)	Form and Instruction	Unchanged
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)) (Private Sector)		Unchanged
187816	Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377) (Private Sector)		Unchanged
187815	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Private Sector)	Form	Modified	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web
187815	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Private Sector)	Form	Modified

ICR Details

OMB Control No: 0651-0016	ICR Reference No: 202303-0651-017
Status: Historical Active	Previous ICR Reference No: 202107-0651-001
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: 03/27/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/24/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2024	11/30/2024	11/30/2024
Responses	44,542	0	44,542
Time Burden (Hours)	6,864	0	6,864
Cost Burden (Dollars)	2,752,064	0	3,098,564

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Abstract: Under 35 U.S.C. § 41 and 37 CFR 1.20(e)-(h), 1.362, 1.366, 1.377, and 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 6 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.

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Authorizing Statute(s): PL: Pub.L. 112 - 29 8 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 22936	04/30/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 52446	09/21/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 8

table that charts list of burden

IC Title	Form No.	Form Name
Fee Address Indication Form (Individuals or Households)	PTO/AIA/47, PTO/SB/47	Fee Address Indication Form ,   "Fee Address" Indication Form
Fee Address Indication Form (Private Sector)	PTO/AIA/47, PTO/SB/47	Fee Address Indication Form ,   "Fee Address" Indication 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)) (Individuals or Households)
Petition for Reconsideration of Decision on Petition Refusing to Accept Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(d)) (Private Sector)
Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(b)) (Individuals and Households)	PTO/SB/66	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(b)) (Private Sector)	PTO/SB/66	Petition to Accept Unintentionally Delayed Payment of Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) EFS-Web
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377) (Private Sector)
Petition to Review Refusal to Accept Payment of Maintenance Fee Prior to Expiration of Patent (37 CFR 1.377) (Individuals or Households)

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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	44,542	44,542	0	0	0	0
Annual Time Burden (Hours)	6,864	6,864	0	0	0	0
Annual Cost Burden (Dollars)	2,752,064	3,098,564	-346,500	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:

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Annual Cost to Federal Government: $142,444

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: 03/24/2023

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