Patent and Trademark Financial Transactions

Forms and Documents

Document Name	Status
Form PTO-2038 Patent and Trademark Financial Transactions Form	Modified
USPTO-newinfoqualityguide.pdf Supplementary Document	2007-07-31
0651-0043-JustStmt-final073107.pdf Supporting Statement A	2007-07-31

IC Document Collections

IC ID	Document Title	Status
4764	Patent and Trademark Financial Transactions Form	Modified
181358	Financial Profiles	New

ICR Details

OMB Control No: 0651-0043	ICR Reference No: 200707-0651-004
Status: Historical Active	Previous ICR Reference No: 200512-0651-001
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: 11/30/2007
	Date Received in OIRA: 08/09/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2009	02/28/2009	02/28/2009
Responses	1,929,205	0	1,928,705
Time Burden (Hours)	58,166	0	58,116
Cost Burden (Dollars)	237,000	0	237,000

---

Abstract: Under 35 U.S.C. 41 and 15 U.S.C. 1113, as implemented in 37 CFR 1.16-1.26, 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 USPTO is developing a pilot program that will allow customers to access and manage their financial activity online by establishing a Financial Profile through the USPTO web site. The Financial Profiles are being added to this information collection.

---

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

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 17875	04/10/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 41298	07/27/2007
Did the Agency receive public comments on this ICR? No

---

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

IC Title	Form No.	Form Name
Patent and Trademark Financial Transactions	PTO-2038, PTO-2231, PTO-2232, PTO-2233, PTO-2234, PTO-2236	Credit Card Payment Form ,   Electronic Credit Card Payment Form ,   Deposit Account Application Form ,   Electronic Deposit Account Replenishment Form ,   Deposit Account Closure Request Form ,   EFT User Profile Form
Financial Profiles

---

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	1,929,205	1,928,705	0	500	0	0
Annual Time Burden (Hours)	58,166	58,116	0	50	0	0
Annual Cost Burden (Dollars)	237,000	237,000	0	0	0	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: No

Burden Reduction Due to:

Short Statement: The USPTO is developing a pilot program that will allow customers to access and manage their financial activity records online. Customers will be able to create a Financial Profile through the USPTO web site by registering a username and password, providing contact information, and specifying the types of notifications and alerts they would like to receive. After establishing a Financial Profile, customers may then add the relevant account information to the profile in order to track their credit card, deposit account, EFT, and paper check transactions with the USPTO. The USPTO estimates that the Financial Profiles will add 500 responses and 50 burden hours per year to this information collection as a program change. The Financial Profiles will not change the annual cost burden for this collection.

---

Annual Cost to Federal Government: $5,734,489

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)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

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: 08/09/2007

---