Fee Deficiency Submissions

OMB Control No: 0651-0070	ICR Reference No: 201205-0651-003
Status: Historical Inactive	Previous ICR Reference No:
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Fee Deficiency Submissions
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 07/24/2012
Retrieve Notice of Action (NOA)	Date Received in OIRA: 05/31/2012
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2015	36 Months From Approved
Responses	3,000	0	0
Time Burden (Hours)	6,000	0	0
Cost Burden (Dollars)	1,039	0	0

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Abstract: Patent applicants and patentees may pay the balance of fees due (i.e. fee deficiency payment) when a fee was previously paid in error in a micro or small entity amount. This supports changes to the rules of practice in support of NPRM "Changes to Implement Mico Entity Status for Paying Patent Fees (RIN 0651-AC87)."

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Authorizing Statute(s): US Code: 35 USC 41(h) Name of Law: null    US Code: 35 USC 123 Name of Law: null

Citations for New Statutory Requirements: PL: Pub.L. 112 - 29 10(a) Name of Law: Leahy-Smith America Invents Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC78	Proposed rulemaking	77 FR 31806	05/30/2012

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title Form No. Form Name Submissions Under 37 CFR 1.28(c) Submissions Under 37 CFR 1.29(k)

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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	3,000	0	750	2,250	0	0
Annual Time Burden (Hours)	6,000	0	1,500	4,500	0	0
Annual Cost Burden (Dollars)	1,039	0	52	987	0	0

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

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The agency is creating a collection covering two types of submissions for correcting payment of patent fees paid erroneously, including the correction of patent fees paid in the newly introduced (RIN-0651-AC78) micro entity amount (submissions under 37 CFR 1.29(k))

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Annual Cost to Federal Government: $19,744

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: 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: 05/31/2012

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