Patent Processing

OMB Control No: 0651-0031	ICR Reference No: 202011-0651-001
Status: Received in OIRA	Previous ICR Reference No: 201910-0651-004
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Processing
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/30/2020

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2021
Responses	3,669,397	3,611,541
Time Burden (Hours)	3,187,341	3,833,755
Cost Burden (Dollars)	408,845,999	486,820,972

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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. 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:
	85 FR 60975	09/29/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 76541	11/30/2020
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 63

IC Title Form No. Form Name 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 CFR1.48) 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 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 for Continued Examination (RCE) Transmittal (Individuals And Households) PTO/SB/30 Request for Continued Examination (RCE) Transmittal 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 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 Voluntary Publication or Republication (includes publication fee for republication) (Individuals And Households) Certificates of Mailing or Transmission PTO/SB/92 Certificates of Mailing or Transmission Non-publication Request PTO/SB/35 Non-Publication Request Statutory Disclaimers (including terminal disclaimers) (Individuals And Households) PTO/SB/26, PTO/SB/43, PTO/SB/25 Terminal Disclaimer to Obviate a Double Patenting Rejection over a "Prior" Patent ,   Disclaimer in Patent Under 37 CFR 1.321(a) ,   Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending "Reference" Application 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 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) (Individuals And Households) 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 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) Copy of File Content Showing Redactions (Individuals And Households) Statutory Disclaimers (including terminal disclaimers) PTO/SB/26, PTO/SB/43, PTO/SB/25 Terminal Disclaimer to Obviate a Double Patenting Rejection over a "Prior" Patent ,   Disclaimer in Patent Under 37 CFR 1.321(a) ,   Terminal Disclaimer to Obviate a Provisional Double Patenting Rejection Over a Pending "Reference" Application 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) Request for Continued Examination (RCE) Transmittal PTO/SB/30 Request for Continued Examination (RCE) Transmittal Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing (Individuals And Households) 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 for Extension of Time under 37 CFR 1.136(a) PTO/AIA/22 Petition for Extension of Time Under 37 CFR 1.136(a) Petition for Extension of Time under 37 CFR 1.136(a) (Individuals And Households) PTO/AIA/22 Petition for Extension of Time Under 37 CFR 1.136(a) Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices Under 37 CFR 1.14(h) (Individuals And Households) PTO/SB/39 Authorization or Rescission of Authorization to Permit Access to Application-as-filed by Participating Offices under 37 CFR 1.14(h)) 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) 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) Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) (EFS-Web only) (Individuals And Households) PTO/SB/130 Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) Express Abandonment under 37 CFR 1.138 PTO/AIA/24 Express Abandonment Under 37 CFR 1.138 Express Abandonment under 37 CFR 1.138 (Individuals And Households) PTO/SB/24, PTO/AIA/24 Express Abandonment Under 37 CFR 1.138 ,   Express Abandonment Under 37 CFR 1.138 Petition for Revival of an Application for Patent Abandoned Unintentionally (Individuals And Households) PTO/SB/61, PTO/SB/64 PETITION FOR REVIVAL OF AN INTERNATIONAL APPLICATION FOR PATENT DESIGNATING THE U.S. ABANDONED UNAVOIDABLY UNDER 37 CFR 1.137(a) ,   Petition for Revival of an Application for Patent Abandoned Unintentionally 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) (Individuals And Households) PTO/SB/36 Rescission of Previous Non-Publication Request (35 U.S.C. 122(b)(2)(B)(ii) Certificates of Mailing or Transmission (Individuals And Households) PTO/SB/92 Certificates of Mailing or Transmission 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 Applicant Initiated Interview Request Form PTOL/413A Applicant-Initiated Interview Request Form Pre-Appeal Brief Request for Review (Individuals And Households) PTO/AIA/33, PTO/SB/33 Pre-Appeal Brief Request for Review ,   Pre-Appeal Brief Request for Review Petition for Express Abandonment to Obtain a Refund (Individuals And Households) PTO/SB/24B, PTO/AIA/24B Petition for Express Abandonment to Obtain a Refund ,   Petition for Express Abandonment to Obtain a Refund Filing a submission after final rejection (see 37 CFR 1.129(a)) Correction of inventorship after first office action on the merits (Individuals And Households) Applicant Initiated Interview Request Form (Individuals And Households) PTOL/413A Applicant-Initiated Interview Request Form Processing Fee Under 37 CFR 1.17(i) Transmittal PTO/SB/17i Processing Fee under 37 CFR 1.17(i) Transmittal Processing Fee Under 37 CFR 1.17(i) Transmittal (Individuals And Households) PTO/SB/17i Processing Fee under 37 CFR 1.17(i) Transmittal 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)) 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)) Request for First Action Interview (Pilot Program) (Electronic only) PTO/SB/413C Request for First Action Interview (Full Pilot Program) Transmittal Form PTO/SB/21 Transmittal Form Request for Expedited Examination of a Design Application (Individuals And Households) PTO/SB/27 Request for Expedited Examination of a Design Application (37 CFR 1.155) Petition for Revival of an Application for Patent Abandoned Unintentionally PTO/SB/64, PTO/SB/61 Petition for Revival of an Application for Patent Abandoned unintentionally ,   Petition for Revival of an Application for Patent Abandoned Unintentionally Statement Under 37 CFR 3.73(c) (Individuals And Households) PTO/SB/96, PTO/AIA/96 Statement under 37 CFR 3.73(b) ,   Statement under 37 CFR 3.73(c) Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p) (Individuals And Households) PTO/SB/08b, PTO/SB/08a Information Disclosure statement by Applicant ,   Information Disclosure Statement by Applicant (Not for submission under 37 CFR 1.99) Information Disclosure Statements that require the fee set forth in 37 CFR 1.17(p) PTO/SB/08a, PTO/SB/0008b Information Disclosure Statement by Applicant ,   Information Disclosure Statement by Applicant 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 Requests to Access, Inspect and Copy (Individuals And Households) PTO/SB/67, PTO/SB/68 Requests to Access Inspect, and Copy ,   REQUEST FOR ACCESS TO AN ABANDONED APPLICATION UNDER 37 CFR 1.14 Deposit Account Order Form PTO/SB/91 Deposit Account Order Form Deposit Account Order Form (Individuals And Households) PTO/SB/91 Deposit Account Order Form Transmittal Form (Individuals And Households) PTO/SB/21 Transmittal Form 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 - Pending Application ,   Notice Under 37 CFR 1.251 - Abandoned Application ,   Notice Under 37 CFR 1.251 – Patent Filing a submission after final rejection (see 37 CFR 1.129(a)) (Individuals And Households) Correction of inventorship after first office action on the merits Request to Retrieve Electronic Priority Application (s) Under 37 CFR 1.55(h) (Individuals And Households) PTO/SB/38 Request to Retrieve Electronic Priority Application(s) under 37 CFR 1.55(d)) Request for Corrected Filing Receipt Request for Corrected Filing Receipt (Individuals And Households) Request for First Action Interview (Pilot Program) (Electronic only) PTOL-413C Request for First-Action Interview (Pilot Program) Request for First Action Interview (Pilot Program) (Electronic only) (Individuals And Households) PTOL–413C Request for First-Action Interview (Pilot Program) Request for Expedited Examination of a Design Application PTO/SB/27 Request for Expedited Examination of a Design Application (37 CFR 1.155) Pre-Appeal Brief Request for Review PTO/AIA/33, PTO/SB/33 Pre-Appeal Brief Request for Review ,   Pre-Appeal Brief Request for Review 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) Copy of File Content Showing Redactions Non-publication Request (Individuals And Households) PTO/SB/35 Non-Publication Request

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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	3,669,397	3,611,541	0	0	57,856	0
Annual Time Burden (Hours)	3,187,341	3,833,755	0	0	-646,414	0
Annual Cost Burden (Dollars)	408,845,999	486,820,972	0	0	-77,974,973	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: This renewal subtracts two items currently approved in another information collection (0651– 0063: Patent Trial and Appeal Board (PTAB) Appeals). These two items are: Notice of Appeal and Request for Oral Hearing. With this move all items pertaining to PTAB trial appeals are in a single information collection (0651-0063). For this renewal, the USPTO estimates that the annual responses will increase by 57,856 (from 3,611,541 to 3,669,397) and the total burden hours will decrease by 646,414 (from 3,833,755 to 3,187,341) from the currently approved burden for this collection. These changes are due to agency estimates based on expected use of the items and are the main driver of change within this information collection.

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Annual Cost to Federal Government: $18,596,507

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

Agency Contact: Raul Tamayo 571 272-7728 [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: 11/30/2020

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