Patent Processing

Forms and Documents

Document Name	Status
Form PTO/SB/08a Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p) Form and Instruction	Modified
Form PTO/SB/130 Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only) Form and Instruction	Unchanged
Form PTO/SB/33 Pre-Appeal Brief Request for Review Form and Instruction	Unchanged
Form PTO/SB/24B Petition for Express Abandonment to Obtain a Refund Form and Instruction	Modified
Form PTO/SB/39 Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h) Form and Instruction	Unchanged
Form PTO/SB/38 Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h) Form and Instruction	Unchanged
Form PTO/SB/17i Processing Fee Under 37 CFR 1.17(i) Transmittal Form and Instruction	Modified
Form PTOL/413A Applicant Initiated Interview Request Form Form and Instruction	Unchanged
Form PTO/SB/37 Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) Form and Instruction	Modified
Form PTO/SB/30 Request for Continued Examination (RCE) Transmittal Form and Instruction	Modified
Form PTO–2053–A/B Copy of the Applicant or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not) Form and Instruction	Unchanged
Form PTO/SB/36 Rescission of Previous Non-publication Request (35 U.S.C. § 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii) Form and Instruction	Unchanged
Form PTO/SB/35 Non-publication Request Form and Instruction	Unchanged
Form PTO/SB/96 Statement Under 37 CFR 3.73(c) Form and Instruction	Unchanged
Form PTO/SB/92 Certificates of Mailing or Transmission Form and Instruction	Unchanged
Form PTO/SB/91 Deposit Account Order Form Form and Instruction	Unchanged
Form PTO/SB/67 Requests to Access, Inspect and Copy Form and Instruction	Unchanged
Form PTO/SB/64a Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing Form and Instruction	Modified
Form PTO/SB/64 Petition for Revival of an Application for Patent Abandoned Unintentionally Form and Instruction	Modified
Form PTO/SB/27 Request for Expedited Examination of a Design Application Form and Instruction	Modified
Form PTO/SB/25 Statutory Disclaimers (including terminal disclaimers) Form and Instruction	Modified
Form PTO/AIA/24 Express Abandonment under 37 CFR 1.138 Form and Instruction	Unchanged
Form PTO/AIA/22 Petition for Extension of Time under 37 CFR 1.136(a) Form and Instruction	Modified
Form PTO/SB/21 Transmittal Form Form and Instruction	Unchanged
0651-0031 2024 Patent Fee Rule CWS.docx Justification for No Material/Nonsubstantive Change	2024-11-20
0651-0031 Supporting Statement 2024_final_11_15.docx Supporting Statement A	2024-11-15
Information Quality Guidelines _ USPTO.pdf Supplementary Document	2024-03-08
Leahy Smith America Invents Act.pdf Supplementary Document	2024-03-08

IC Document Collections

IC ID	Document Title	Status
4717	Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p) Form and Instruction	Modified
265863	Electronic Filing System (EFS) Copy of Application for Publication	Unchanged
222351	Request to Correct or Update the Name of the Applicant Under 37 CFR 1.46(c)(1), or Change the Applicant under 37 CFR 1.46(c)(2).	Unchanged
205526	Request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)	Modified
205518	Correction of inventorship after first office action on the merits	Modified
205514	Filing a submission after final rejection (see 37 CFR 1.129(a))	Modified
205511	Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only) Form and Instruction	Unchanged
205505	Request for Corrected Filing Receipt	Unchanged
205500	Pre-Appeal Brief Request for Review Form and Instruction	Unchanged
205494	Petition for Express Abandonment to Obtain a Refund Form and Instruction	Modified
205492	Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h) Form and Instruction	Unchanged
205487	Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h) Form and Instruction	Unchanged
205483	Processing Fee Under 37 CFR 1.17(i) Transmittal Form and Instruction	Modified
205479	Applicant Initiated Interview Request Form Form and Instruction	Unchanged
205465	Request for Voluntary Publication or Republication (includes publication fee for republication)	Modified
205463	Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d) Form and Instruction	Modified
181633	Request for Continued Examination (RCE) Transmittal Form and Instruction	Modified
181629	Copy of the Applicant or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not) Form and Instruction	Unchanged
181627	Copy of File Content Showing Redactions	Modified
181625	Rescission of Previous Non-publication Request (35 U.S.C. § 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii) Form and Instruction	Unchanged
181622	Non-publication Request Form and Instruction	Unchanged
181612	Statement Under 37 CFR 3.73(c) Form and Instruction	Unchanged
181610	Certificates of Mailing or Transmission Form and Instruction	Unchanged
181608	Deposit Account Order Form Form and Instruction	Unchanged
181606	Requests to Access, Inspect and Copy Form and Instruction	Unchanged
181604	Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing Form and Instruction	Modified
181602	Petition for Revival of an Application for Patent Abandoned Unintentionally Form and Instruction	Modified
181599	Request for Expedited Examination of a Design Application Form and Instruction	Modified
181597	Statutory Disclaimers (including terminal disclaimers) Form and Instruction	Modified
181568	Express Abandonment under 37 CFR 1.138 Form and Instruction	Unchanged
181565	Petition for Extension of Time under 37 CFR 1.136(a) Form and Instruction	Modified
181562	Transmittal Form Form and Instruction	Unchanged

ICR Details

OMB Control No: 0651-0031	ICR Reference No: 202411-0651-011
Status: Received in OIRA	Previous ICR Reference No: 202312-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Processing
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/20/2024

	Requested	Previously Approved
Expiration Date	11/30/2027	11/30/2027
Responses	2,435,597	2,435,597
Time Burden (Hours)	535,466	535,466
Cost Burden (Dollars)	462,118,020	363,826,829

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Abstract: The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. § 131 to examine an application for patent and, when appropriate, issue a patent. Also, the USPTO is required to publish patent applications, with certain exceptions, promptly after the expiration of a period of 18 months from the earliest filing date for which a benefit is sought under Title 35, United States Code ("eighteen-month publication"). Certain situations may arise which require that additional information be supplied in order for the USPTO to further process the patent or application. The USPTO administers the statutes through various sections of the rules of practice in 37 CFR Part 1. During the processing of an application for a patent, the applicant or applicant’s representative may be required to submit additional information to the USPTO concerning the examination of a specific application. The specific information required to be submitted includes: requests for extension of time, abandonment of applications and the revival of abandoned applications, disclaimers, appeals, petitions, expedited examination of design applications, requests for continued examinations, request to inspect, copy, and access patent applications, and transmittal forms. The information in this collection can be used by the USPTO to continue the processing of the patent or application to ensure that applicants are complying with the patent regulations and to aid in the prosecution of the application.

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Authorizing Statute(s): PL: Pub.L. 112 - 29 1 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:
	89 FR 5500	01/29/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 43825	05/20/2024
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 32

IC Title	Form No.	Form Name
Applicant Initiated Interview Request Form	PTOL/413A	Applicant-Initiated Interview Request Form
Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h)	PTO/SB/39	Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices under 37 CFR 1.14(h))
Certificates of Mailing or Transmission	PTO/SB/92	Certificates of Mailing or Transmission
Copy of File Content Showing Redactions
Copy of the Applicant or Patentee's Record of the Application (including copies of the correspondence, list of the correspondence, and statements verifying whether the record is complete or not)	PTO–2055–A/B , PTO–2053–A/B, PTO–2054–A/B	Notice Under 37 CFR 1.251 - Pending Application ,   Notice Under 37 CFR 1.251 - Abandoned Application ,   Notice Under 37 CFR 1.251 – Patent
Correction of inventorship after first office action on the merits
Deposit Account Order Form	PTO/SB/91	Deposit Account Order Form
Electronic Filing System (EFS) Copy of Application for Publication
Express Abandonment under 37 CFR 1.138	PTO/AIA/24, PTO/SB/24	Express Abandonment Under 37 CFR 1.138 ,   Express Abandonment Under 37 CFR 1.138
Filing a submission after final rejection (see 37 CFR 1.129(a))
Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p)	PTO/SB/08a, PTO/SB/0008b, PTO/SB/08c	Information Disclosure Statement by Applicant ,   Information Disclosure Statement by Applicant ,   Information Disclosure Statement Size Fee - Written Assertion Under 37 CFR 1.98
Non-publication Request	PTO/SB/35	Non-Publication Request
Petition for Express Abandonment to Obtain a Refund	PTO/AIA/24B, PTO/SB/24B	Petition for Express Abandonment to Obtain a Refund ,   Petition for Express Abandonment to Obtain a Refund
Petition for Extension of Time under 37 CFR 1.136(a)	PTO/AIA/22, PTO/SB/22, PTO/AIA/22p	Petition for Extension of Time Under 37 CFR 1.136(a) ,   Petition for Extension of Time Under 37 CFR 1.136(a) ,   Petition for Extension of Time Under 37 CFR 1.136(a) in a Provisional Application
Petition for Revival of an Application for Patent Abandoned Unintentionally	PTO/SB/64, PTO/SB/64PCT	Petition for Revival of an Application for Patent Abandoned unintentionally ,   Petition for Revival of an International (PCT) Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(a)
Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing	PTO/SB/64a	Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing
Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only)	PTO/SB/130	Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1)
Pre-Appeal Brief Request for Review	PTO/AIA/33, PTO/SB/33	Pre-Appeal Brief Request for Review ,   Pre-Appeal Brief Request for Review
Processing Fee Under 37 CFR 1.17(i) Transmittal	PTO/SB/17i	Processing Fee under 37 CFR 1.17(i) Transmittal
Request for Continued Examination (RCE) Transmittal	PTO/SB/30	Request for Continued Examination (RCE) Transmittal
Request for Corrected Filing Receipt
Request for Expedited Examination of a Design Application	PTO/SB/27	Request for Expedited Examination of a Design Application (37 CFR 1.155)
Request for Suspension of Action or Deferral of Examination Under 37 CFR 1.103(b), (c), or (d)	PTO/SB/37	Request for Suspension of Action or Deferral of Examination under 37 CFR 1.103(b), (c), or (d))
Request for Voluntary Publication or Republication (includes publication fee for republication)
Request for correction in a patent application relating to inventorship or an inventor name, or order of names, other than in a reissue application (37 CFR 1.48)
Request to Correct or Update the Name of the Applicant Under 37 CFR 1.46(c)(1), or Change the Applicant under 37 CFR 1.46(c)(2).
Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h)	PTO/SB/38	Request to Retrieve Electronic Priority Application(s) under 37 CFR 1.55(d))
Requests to Access, Inspect and Copy	PTO/SB/67, PTO/SB/68	Requests to Access, Inspect, and Copy ,   REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1.14
Rescission of Previous Non-publication Request (35 U.S.C. § 122(b)(2)(B)(ii) and, if applicable, Notice of Foreign Filing (35 U.S.C. § 122(b)(2)(B)(iii)	PTO/SB/36	Rescission of Previous Non-Publication Request (35 U.S.C. 122(b)(2)(B)(ii)
Statement Under 37 CFR 3.73(c)	PTO/SB/96, PTO/AIA/96	Statement under 37 CFR 3.73(b) ,   Statement under 37 CFR 3.73(c)
Statutory Disclaimers (including terminal disclaimers)	PTO/SB/26, PTO/SB/43, PTO/SB/25, PTO/SB/25a, PTO/AIA/25, PTO/AIA/26, PTO/SB/26a, PTO/SB/63	Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending "Reference" Application ,   Terminal Disclaimer to Obviate a Double Patenting Rejection over a "Prior" Patent ,   Disclaimer in Patent Under 37 CFR 1.321(a) ,   Terminal Disclaimer to Accompany Petition ,   Terminal Disclaimer in a Patent or Proceeding in View of an Application ,   Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending "Reference" Application ,   Terminal Disclaimer to Obviate a Double Patenting Rejection Over a "Prior" Patent ,   Terminal Disclaimer in a Patent or Proceeding in View of Another Patent
Transmittal Form	PTO/SB/21	Transmittal Form

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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	2,435,597	2,435,597	0	0	0	0
Annual Time Burden (Hours)	535,466	535,466	0	0	0	0
Annual Cost Burden (Dollars)	462,118,020	363,826,829	0	98,291,191	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: $16,516,111

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: 11/20/2024

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