SUPPORTING STATEMENT
United States Patent and Trademark Office
Trademark Submissions Regarding Correspondence and Regarding Attorney Representation
OMB CONTROL NUMBER 0651-0056
2024
A. JUSTIFICATION
Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.
The United States Patent and Trademark Office (USPTO) administers the Trademark Act (Act), 15 U.S.C. § 1051 et seq., which provides for the Federal registration of trademarks, service marks, collective trademarks and service marks, collective membership marks, and certification marks.1 Individuals and businesses that use, or intend to use, such marks in commerce may file an application to register their marks with the USPTO.
Such individuals and businesses may also submit various communications to the USPTO regarding their pending applications or registered trademarks, including providing additional information needed to process a pending application, filing amendments to the applications, or filing the papers necessary to keep a trademark in force. In the majority of circumstances, individuals and businesses retain attorneys to handle these matters and to submit communications to the USPTO regarding the various activities related to the appointment and retention of attorneys and domestic representatives.
The rules implementing the Act are set forth in 37 CFR part 2. Rules regarding representation of others before the USPTO are also set forth in 37 CFR part 11. In addition to governing the registration of trademarks, the Act and rules also govern the appointments and revocations of attorneys and domestic representatives. The trademark rules provide the specifics for filing requests for permission to withdraw as the attorney of record.
The information in this collection can be collected in two different ways: through one of two dedicated Trademark Electronic Application System (TEAS) forms (PTO-2300 and PTO-2201) or through a permitted paper submission. There are no official paper forms for these items. When permitted, individuals and businesses can submit their own paper forms, following the USPTO’s rules and guidelines to ensure that all of the necessary information is provided.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the information discussed above:
Table 1: Information Requirements
Item No.
|
Requirement |
Statute |
Regulation |
1 |
Revocation, Appointment, and/or Change of Address of Attorney/Domestic Representative
|
15 U.S.C. §§ 1051(e), 1058(f), 1123, and 1141h(d) |
37 CFR Part 2, 2.17- 2.19, 2.23, 2.24, and 2.193 |
2 |
Request for Withdrawal as Attorney of Record/Update of USPTO's Database After Power of Attorney Ends
|
15 U.S.C. § 1123 |
37 CFR Part 2, 2.19; 37 CFR Part 11, 11.116 |
3 |
Replacement of Attorney of Record with Another Already Appointed Attorney
|
15 U.S.C. § 1123 |
37 CFR Part 2, 2.17 |
4 |
Request to Withdraw as Domestic Representative
|
15 U.S.C. §§ 1051(e), 1058(f), 1123, and 1141h(d) |
37 CFR Part 2, 2.17 and 2.24 |
Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.
The USPTO uses the information described in this information collection in various actions concerning the appointment and retention of attorneys and domestic representatives. The information in this collection is a matter of public record and is utilized by the public for a variety of private business purposes related to establishing and enforcing trademark rights. The information is accessible online, through the USPTO website, as well as through various USPTO facilities. Additionally, the USPTO provides the information to other entities, including Patent and Trademark Resource Centers (PTRCs). The PTRCs maintain the information for use by the public. For more specific needs and uses of the collected information, see Table 2.
The information in this collection can be submitted electronically through TEAS or Trademark Center.
The information collected, maintained, and used in this information collection is based on OMB and USPTO guidelines. This includes the basic information quality standards established in the Paperwork Reduction Act (44 U.S.C. Chapter 35), in OMB Circular A-130, and in the USPTO information quality guidelines.
Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses
Item No. |
Form/ Function |
Form No. |
Needs and Uses |
1 |
Revocation, Appointment, and/or Change of Address of Attorney/Domestic Representative
|
PTO-2300 |
|
2 |
Request for Withdrawal as Attorney of Record/Update of USPTO's Database After Power of Attorney Ends
|
PTO-2201 |
|
3 |
Replacement of Attorney of Record with Another Already Appointed Attorney
|
PTO-2300
|
|
4 |
Request to Withdraw as Domestic Representative
|
PTO-2300 |
|
Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.
The USPTO offers the public a variety of information technology (IT) systems useful both for making submissions to the USPTO and for tracking the status of these submissions. This information collection involves three IT systems that are publicly accessible through the USPTO website: Trademark Electronic Application System (TEAS), Trademark Center, and Trademark Status and Document Retrieval (TSDR).
The USPTO provides online electronic forms through TEAS and Trademark Center, which are accessible on the USPTO website. Electronic forms can only be submitted via TEAS or Trademark Center; filers may not e-mail their own forms to the USPTO. Once completed, the forms are transmitted to the USPTO. The forms include “help” instructions and “form wizards” that tailor the forms to the particular characteristics of the application(s) or registration(s) in question.
In addition to providing a system for electronic transmission of trademark submissions, the USPTO also provides the public with online access to various trademark records.
The USPTO maintains TSDR, an online image database that displays each document that makes up the “electronic file wrapper” of a trademark application or registration and provides users with information regarding the status and prosecution history of trademark applications and registrations. The TSDR system is updated daily.
Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.
This information is collected only when appointments of attorneys/domestic representatives, revocations of attorneys/domestic representatives, requests for permission to withdraw as the attorney of record, replacements of attorney of record with another already appointed attorney, and requests to withdraw as a domestic representative are submitted to the USPTO. This information collection is unique to USPTO and does not solicit any data that is already available at the agency, nor does it create a duplication of effort.
If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
This collection of information does not impose a significant economic impact or put an unnecessary burden on small entities or small businesses. The same information is required of every applicant and is not available from any other source.
Describe the consequence to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.
This information collection could not be conducted less frequently, since the information is collected only when voluntarily submitted by the public. If the information were not collected, applicants and registrants could not appoint attorneys/domestic representatives to represent them at the USPTO or revoke those appointments. Likewise, attorneys and domestic representatives could not request permission to withdraw as the attorney of record or the domestic representative, nor could applicants and registrants request replacement of the attorney of record with another already appointed attorney. If this information was not collected, the USPTO could not comply with the requirements of the Act and rules of practice (15 U.S.C. § 1051 and 37 CFR parts 2 and 11).
Explain any special circumstances that would cause an information collection to be conducted in a manner:
· requiring respondents to report information to the agency more often than quarterly;
· requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;
· requiring respondents to submit more than an original and two copies of any document;
· requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;
· in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;
· requiring the use of a statistical data classification that has not been reviewed and approved by OMB; · that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or
· requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.
There are no special circumstances associated with this collection of information.
If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.
The 60-Day Notice was published in the Federal Register on April 17, 2024 (89 FR 27420). 2 The comment period ended on June 17, 2024. The USPTO received no public comments in response to the notice.
Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
This information collection does not involve a payment or gift to any respondent.
Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a system of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.
Trademark applications and registrations are open to public inspection. Confidentiality is not required in the processing of trademark applications.
This information collection may contain information subject to the Privacy Act. This information is collected on applications and registrations of trademarks, service marks, collective trademarks and service marks, collective membership marks, and certification marks. Individuals and businesses that use, or intend to use, such marks in commerce may file an application to register their marks with the USPTO.
Trademark application information collection activities are covered under the following SORN: COMMERCE/USPTO-26 Trademark Application and Registration Records; published February 18, 2020 (85 FRN 8847).3
This SORN identifies the categories of records in the system that include the name, citizenship, domicile, email address, postal address, and telephone number of the trademark applicant or registrant, and applicant’s or registrant’s legal or other authorized representative(s), an attorney’s law firm or company affiliation and professional licensing information, and other information pertaining to an applicant’s or registrant’s activities in connection with the applied-for or registered mark. Records in this system include trademark applications, applicant and registrant declarations, office actions, registration certificates, and correspondence generated in the course of the prosecution of a trademark application or maintenance of a trademark registration.
Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.
None of the required information in this collection is considered to be sensitive.
Provide estimates of the hour burden of the collection of information. The statement should:
Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.
If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.
Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under ‘Annual Cost to Federal Government’.
Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information.
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 486,000 respondents from the public sector will submit approximately 486,000 responses per year for this information collection, with approximately 99.99% of them being filed through TEAS or Trademark Center.
Burden Hour Calculation Factors
The USPTO estimates that it takes the public approximately between 15 minutes (0.25 hours) and 1 hour, depending on the complexity of the situation and item, to gather the necessary information, prepare the appropriate document(s), and submit the information to the USPTO. Using these burden factors, USPTO estimates that the total respondent hourly burden for this information collection is 156,650 hours per year.
Cost Burden Calculation Factors
The USPTO uses a professional rate of $447 per hour for respondent cost burden calculations, which is the median rate for intellectual property attorneys in private firms as shown in the 2023 Report of the Economic Survey published by the American Intellectual Property Law Association (AIPLA).
Using these hourly rates, the USPTO estimates that the total respondent cost burden for this information collection is $70,022,550 per year.
Table 3: Total Burden Hours and Hourly Costs to Private Sector Respondents
Item No. |
Item |
Estimated Annual Respondents
(a) |
Responses per Respondent
(b) |
Estimated Annual Responses
(a) x (b) = (c) |
Estimated Time For Response (hours)
(d) |
Estimated Burden (hour/year)
(c) x (d) = (e) |
Rate4 ($/hour)
(f) |
Estimated Annual Respondent Cost Burden
(e) x (f) = (g) |
1 |
Revocation, Appointment, and/or Change of Address of Attorney/Domestic Representative
PTO-2300 |
430,000 |
1 |
430,000 |
0.33 (20 minutes) |
141,900 |
$447 |
$63,429,300 |
2
|
Request for Withdrawal as Attorney of Record/Update of USPTO’s Database After Power of Attorney Ends
PTO-2201 |
45,000 |
1 |
45,000 |
0.25 (15 minutes) |
11,250 |
$447 |
$5,028,750 |
3
|
Replacement of Attorney of Record with Another Already-Appointed Attorney
PTO-2300 |
1,000 |
1 |
1,000 |
1 |
1,000 |
$447 |
$447,000 |
4
|
Request to Withdraw as Domestic Representative
PTO-2300 |
10,000 |
1 |
10,000 |
0.25 (15 minutes) |
2,500 |
$47 |
$1,117,500 |
|
Totals |
486,000 |
- - - |
486,000 |
- - - |
156,650 |
- - - |
$70,022,550 |
Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).
The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.
There are no capital start-up, maintenance costs, recordkeeping costs, or filing fees, associated with this information collection. There are, however, non-hour costs in the form of postage.
The total non-hour respondent cost burden for this collection is estimated to be $508 per year.
Postage Costs
In limited circumstances, applicants may be permitted to submit the information in paper form by mail, fax, or hand delivery. Respondents incur postage costs when submitting information to the USPTO by mail through the United States Postal Service. The USPTO expects that at most 0.01% of the responses in this collection will be submitted by mail. The USPTO estimates that the average postage cost for a mailed submission, using a Priority Mail legal flat rate envelope, will be $10.15. The USPTO estimates approximately 50 submissions per year may be mailed to the USPTO, for an estimated total postage cost of $508 per year.
Provide estimates of annualized costs to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.
The USPTO employs GS-7 and GS-11 employees to process submissions for this information collection.
The USPTO estimates that the cost of a GS-7, step 3 employee is $37.15 per hour (GS hourly rate of $28.58 with 30% ($8.57) added for benefits and overhead).
The USPTO estimates that the GS-11 employees will range from step 3 to step 10. The average combined rate for a GS-11 employee ranging from step 3 to step 10 is $61.01 per hour (average GS hourly rate of $46.93 with 30% ($14.08) added for benefits and overhead).
Therefore, the average employee hourly rate of GS-7 and GS-11 employees is $49.08.
The USPTO estimates that it takes an employee 5 minutes (0.08 hours) and 7 minutes (0.12 hours) to process the revocations and appointments, the replacements of attorney record with another already appointed attorney, requests to withdraw as domestic representative, and requests for permission to withdraw as the attorney of record.
Table 4 calculates the burden hours and costs to the federal government for processing this information collection:
Table 4: Burden Hour/Cost to the Federal Government
Item No. |
Item |
Estimated Annual Responses (a) |
Estimated Burden Hours (b) |
Estimated Hourly Burden (a) x (b) = (c) |
Rate5 ($/hr) (d) |
Total Federal Government Cost (c) x (d) = (e) |
1 |
Revocation, Appointment, and/or Change of Address of Attorney/Domestic Representative |
430,000 |
0.08 |
34,400 |
$49.08 |
$1,688,352 |
2
|
Request for Withdrawal as Attorney of Record/Update of USPTO’s Database After Power of Attorney Ends |
45,000 |
0.17 |
7,650 |
$49.08 |
$375,462 |
3
|
Replacement of Attorney of Record with Another Already-Appointed Attorney |
1,000 |
0.17 |
170 |
$49.08 |
$8,344 |
4
|
Request to Withdraw as Domestic Representative |
10,000 |
0.08 |
800 |
$49.08 |
$39,264 |
|
Totals |
486,000 |
- - - |
43,020 |
- - - |
$2,111,422 |
Explain the reasons for any program changes or adjustments reported on the burden worksheet.
Table 5: ICR Summary of Burden
|
Requested |
Program Change Due to New Statute |
Program Change Due to Agency Discretion |
Change Due to Adjustment in Agency Estimate |
Change Due to Potential Violation of the PRA |
Previously Approved |
Annual Number of Responses |
486,000 |
0 |
0 |
281,677 |
0 |
204,323 |
Annual Time Burden (Hr) |
156,650 |
0 |
0 |
106,213 |
0 |
50,437 |
Annual Cost Burden ($) |
508 |
0 |
0 |
-861 |
0 |
1,369 |
Change in Respondents and Hourly Burden due to Adjustment in Agency Estimate
The total number of respondents has increased by 281,677 due to estimated fluctuations in the number of responses in this information collection. This increase in the number of respondents and responses results in an increase of 106,213 hours in the annual time burden estimates.
Changes 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 $861 from the previous approval. This decrease is due to estimated fluctuations in submissions for items that require postage costs.
For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.
The USPTO does not plan to publish this information for statistical use.
If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.
The forms in this information collection will display the OMB Control Number and the date on which OMB’s approval of this information collection expires.
Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”
This collection of information does not include any exceptions to the certificate statement.
B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection of information does not employ statistical methods.
1 The Trademark Act of 1946, as amended: https://www.uspto.gov/sites/default/files/trademarks/law/Trademark_Statutes.pdf.
4 2023 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); pg. F–41. The USPTO uses the average billing rate for intellectual property work in all firms which is $447 per hour (https://www.aipla.org/home/news-publications/economic-survey).
5 https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2024/DCB_h.pdf.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Hall, Drew (AMBIT) |
| File Modified | 0000-00-00 |
| File Created | 2024-07-20 |