Patent Processing (Updating)

OMB Control No: 0651-0031	ICR Reference No: 200707-0651-005
Status: Historical Active	Previous ICR Reference No: 200703-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Processing (Updating)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 07/01/2009
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/26/2007
Terms of Clearance: Revised to correct collection list and supporting statement.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2012	36 Months From Approved	06/30/2009
Responses	2,459,409	0	2,508,139
Time Burden (Hours)	2,893,322	0	3,724,791
Cost Burden (Dollars)	147,592,807	0	114,723,256

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Abstract: This collection of information is required by 35 U.S.C. sec. 101 et.seq. and is administered through 37 CFR Part 1. During the pendency of a patent application or the period of enforceability of a patent, situations arise that require collection of information for the USPTO to further process the patent or application. This information can be used by the USPTO to continue the processing of the patent or application or to ensure that applicants are complying with the patent regulations. At the direction of OMB, this renewal is being resubmitted with all of the rule-related information removed from the collection pertaining to the notices of proposed rulemakings approved by OMB on 2/22/2006 (RIN 0651-AB94) and (RIN 0651-AB93) along with a change worksheet approved by OMB on 3/30/2007, revising the estimates for same. In total, 7 items are being removed.

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Authorizing Statute(s): US Code: 35 USC 101 Name of Law: 37 CFR Part 1

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:
	71 FR 103	05/30/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 180	09/18/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 43

IC Title Form No. Form Name Petition for a second continuation or continuation-in-part application showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution Petition for a second request for continued examination showing why the amendment, argument, or evidence could not have been submitted prior to the close of prosecution in the application Request for First-Action Interview (Pilot Program) PTOL-413C Request for First-Action Interview (Pilot Program) - Draft form Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) PTO/SB/130 EFS-Web Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) 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-2053-A/B, PTO-2054-A/B, PTO/2055-A/B Notice Under 37 CFR 1.251 - Patent ,   Notice Under 37 CFR 1.251 - Pending Application ,   Notice Uner 37 CFR 1.251 - Abandoned Application Request for Continued Examination (RCE) Transmittal PTO/SB/30 Request for Continued Examination (RCE) Transmittal Petitions under 37 CFR 1.17(g) include: Petitions to Access Assignment Records and Applications, Petition for Expungement/Return of Information, and Petition to Suspend Action in an Application Petition for Extension of Time under 37 CFR 1.136(a) PTO/SB/22 Petition for Extension of Time Under 37 CFR 1.136(a) FY 2006 Petition for Extension of Time under 37 CFR 1.136(b) PTO/SB/23 Petition for Extension of Time Under 37 CFR 1.136(b) Request for Corrected Filing Receipt (electronic) Petitions under 37 CFR 1.17(h): Petition for Accepting Color Drawings/Photos, Petition for Entry of Model/Exhibit, Petition to Withdraw Application from Issue, and Petition to Defer Issue of Patent Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h) PTO/SB/39 Authorization to Permit Access to Application by Participating Offices Petition for Revival of an Application for Patent Abandoned Unavoidably PTO/SB/61 Petition for Revival of an Application for Patent Abandoned Unavoidably Under 37 CFR 1.137(a) Pre-Appeal Brief Request for Review PTO/SB/33 Pre-Appeal Brief Request for Review Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d) PTO/SB/38 Request to Retrieve Electronic Priority Application(s) Petition for Express Abandonment to Obtain a Refund PTO/SB/24B Petition for Express Abandonment to Obtain a Refund Petition to Make Special Under Accelerated Examination Program PTO/SB/28 EFS-Web Petition to Make Special under Accelerated Examination Program Request for Deferral of Examination 37 CFR 1.103(d) PTO/SB/37 Request for Deferral of Examination 37 CFR 1.103(d) Non-publication Request PTO/SB/35 Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i) Request for Voluntary Publication or Republication EFS-Web Request for Continued Examination (RCE) EFS-Web PTO/SB/30EFS Request for Continued Examination (RCE) Transmittal Information Disclosure Citation in a Patent PTO/SB/42 37 CFR 1.501 Information Disclosure Citation in a Patent Petition for Request for Documents in a Form Other Than That Provided by 1.19 Request for Corrected Filing Receipt Petition for Revival of an Application for Patent Abandoned Unintentionally PTO/SB/64 Petition for Revival of an Application for Patent Abandoned Unintentionally Under Request for Oral Hearing Before the Board of Patent Appeals and Interferences PTO/SB/32 Request for Oral Hearing Before the Board of Patent Appeals and Interferences Processing Fee Under 37 CFR 1.17(i) Transmittal PTO/SB/17i Processing Fee under 37 CFR 1.17(i) Transmittal 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 (37 CFR 1.137(f)) Requests to Access, Inspect and Copy PTO/SB/68, PTO/SB/67 Power to Inspect/Copy ,   Request for Access to an Abandoned Application under 37 CFR 1.14 Deposit Account Order Form PTO/SB/91 Deposit Account Order Form Certificates of Mailing/Transmission PTO/SB/97, PTO/SB/92 Certificate of Mailing under 37 CFR 1.8 ,   Certificate of Transmission under 37 CFR 1.8 Applicant Initiated Interview Request Form PTOL-413A Applicant Initiated Interview Request Form eIDS (Information Disclosure Statements) filed with no additional disclosure requirements PTO/SB/08a Information Disclosure Statement by Applicant Information Disclosure Statements with no additional disclosure requirements PTO/SB/08A, PTO/SB/08B Information Disclosure Statement by Applicant ,   Information Disclosure Statement by Applicant Examination support document filed in certain nonprovisional applications covering the independent claims and the designated dependent claims (proposed 37 CFR 1.75(b) Electronic Filing System (EFS) Copy of Application for Publication Copy of File Content Showing Redactions Rescission of Previous Non-publication Request (35 U.S.C. 122(b)(B)(ii)) and, if applicable, Notice of Foreign Filing (35 U.S.C. 122(b)(2)(B)(iii)) PTO/SB/36 Rescission of Previous Nonpublication 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)) Request for Processing of Replacement Drawings to Include the Drawings in Any Patent Application Publication Express Abandonment under 37 CFR 1.138 PTO/SB/24 Express Abandonment Under 37 CFR 1.138 Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c) PTO/SB/24A Petition for Express Abandonment to Avoid Publication Under 37 CFR 1.138(c) Disclaimers PTO/SB/43, PTO/SB/62, PTO/SB/26, PTO/SB/63, PTO/SB/25 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 (Period Specified) ,   Terminal Disclaimer to Accompany Petition Request for Expedited Examination of a Design Application PTO/SB/27 Request for Expedited Examination of a Design Application (37 CFR 1.155) Notice of Appeal PTO/SB/31 Notice of Appeal from the Examiner to the Board of Patent Appeals and Interferences Statement Under 37 CFR 3.73(b) PTO/SB/96 Statement under 37 CFR 3.73(b) Transmittal Form PTO/SB/21 Transmittal Form

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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	2,459,409	2,508,139	0	11,100	-59,830	0
Annual Time Burden (Hours)	2,893,322	3,724,791	0	-261,104	-570,365	0
Annual Cost Burden (Dollars)	147,592,807	114,723,256	0	-687,947	33,557,498	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The decrease in burden hours is due to a combination of the revised number of submissions, a re-estimation of the time it takes to complete some of the responses, and new requirements being added into the collection. The increase in costs is due to adjustments in responses and response times, the addition of new requirements into the collection and new EFS-Web submissions, and an adjustment for the current postage fees, increasing the recordkeeping costs, filing fees, and postage costs.

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Annual Cost to Federal Government: $7,320,402

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Raul Tamayo 5712727728 [email protected]

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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: 09/26/2007

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