Patent and Trademark Financial Transactions

OMB Control No: 0651-0043	ICR Reference No: 201109-0651-002
Status: Historical Active	Previous ICR Reference No: 200811-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent and Trademark Financial Transactions
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/08/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/29/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2014	36 Months From Approved	12/31/2011
Responses	1,849,771	0	1,647,133
Time Burden (Hours)	55,901	0	49,795
Cost Burden (Dollars)	141,971	0	276,459

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Abstract: Under 35 U.S.C. § 41 and 15 U.S.C. § 1113, as implemented in 37 CFR 1.16-1.28, 2.6-2.7, and 2.206-2.209, the USPTO charges fees for processing and other services related to patents, trademarks, and information products. Customers may submit payments to the USPTO by several methods, including credit card, deposit account, electronic funds transfer (EFT), and paper check transactions. The public uses this collection to pay patent and trademark fees by credit card, establish and manage USPTO deposit accounts, request refunds, and set up user profiles. The USPTO uses this collection to process credit card payments, handle deposit account requests, issue refunds, and provide user accounts for EFT and other financial transactions.

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Authorizing Statute(s): US Code: 35 USC 41 Name of Law: null    US Code: 15 USC 1113 Name of Law: null

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:
	76 FR 34062	06/10/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 60454	09/29/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 9

IC Title Form No. Form Name Refund Request Credit Card Payment Form PTO-2038 Credit Card Payment Form Financial Profiles None Financial Profile Deposit Account Replenishment Electronic Credit Card Payment Form PTO-2231 Electronic Credit Card Payment Form Deposit Account Application Form PTO-2232 Deposit Account Application Form Electronic Deposit Account Replenishment Form PTO-2233 Electronic Deposit Account Replenishment Form Deposit Account Closure Request Form PTO-2234 Deposit Account Closure Request Form EFT User Profile Form PTO-2236 EFT User Profile 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	1,849,771	1,647,133	0	0	202,638	0
Annual Time Burden (Hours)	55,901	49,795	0	0	6,106	0
Annual Cost Burden (Dollars)	141,971	276,459	0	-135,100	612	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: The increases in annual responses and burden hours are due to administrative adjustments from revised estimates of the number of expected filings for this collection. The reduction in annual cost burden is due primarily to program changes from removing the costs for suggested actions that do not qualify as record keeping requirements, such as retaining receipts for online transactions. This burden reduction is slightly offset by administrative adjustments from an increase in total estimated service fees associated with deposit accounts and returned payments and a decrease in total estimated postage costs based on a corresponding decrease in the expected number of mailed submissions.

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Annual Cost to Federal Government: $2,174,797

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]? 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? Uncollected

Agency Contact: Matthew Lee 703 305-8051 [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: 09/29/2011

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