Patent Processing (Updating)

Forms and Documents

Document Name	Status
Form PTO/SB/08A Information Disclosure Statements with no additional disclosure requirements Form	Unchanged
Form PTO/SB/30EFS Request for Continued Examination (RCE) EFS-Web Form	Unchanged
Form PTO/SB/130 EFS-Web Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) Form	Unchanged
Form PTOL-413C Request for First-Action Interview (Pilot Program) Form and Instruction	Unchanged
Form PTO/SB/33 Pre-Appeal Brief Request for Review Form	Unchanged
Form PTO/SB/24B Petition for Express Abandonment to Obtain a Refund Form	Unchanged
Form PTO/SB/39 Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h) Form	Unchanged
Form PTO/SB/38 Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d) Form	Unchanged
Form PTO/SB/17i Processing Fee Under 37 CFR 1.17(i) Transmittal Form	Unchanged
Form PTOL-413A Applicant Initiated Interview Request Form Form	Unchanged
Form PTO/SB/37 Request for Deferral of Examination 37 CFR 1.103(d) Form	Unchanged
Form PTO/SB/32 Request for Oral Hearing Before the Board of Patent Appeals and Interferences Form	Unchanged
Form PTO/SB/30 Request for Continued Examination (RCE) Transmittal Form and Instruction	Unchanged
Form PTO-2053-A/B 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) Form	Unchanged
Form PTO/SB/36 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)) Form	Unchanged
Form PTO/SB/35 Non-publication Request Form	Unchanged
Form PTO/AIA/96 Statement Under 37 CFR 3.73(b) Form	Modified
Form PTO/SB/92 Certificates of Mailing/Transmission Form	Unchanged
Form PTO/SB/91 Deposit Account Order Form Form	Unchanged
Form PTO/SB/67 Requests to Access, Inspect and Copy Form	Unchanged
Form PTO/SB/64a Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing Form	Unchanged
Form PTO/SB/64 Petition for Revival of an Application for Patent Abandoned Unintentionally Form	Unchanged
Form PTO/SB/61 Petition for Revival of an Application for Patent Abandoned Unavoidably Form	Unchanged
Form PTO/SB/42 Information Disclosure Citation in a Patent Form	Unchanged
Form PTO/SB/31 Notice of Appeal Form	Unchanged
Form PTO/SB/27 Request for Expedited Examination of a Design Application Form	Unchanged
Form PTO/SB/25 Disclaimers Form	Unchanged
Form PTO/SB/24 Express Abandonment under 37 CFR 1.138 Form	Unchanged
Form PTO/SB/22 Petition for Extension of Time under 37 CFR 1.136(a) Form	Unchanged
Form PTO/SB/21 Transmittal Form Form	Unchanged
Form PTO/SB/08a eIDS (Information Disclosure Statements) filed with no additional disclosure requirements Form	Unchanged
0651-0031-justchange-Sept 2012 (draft).pdf Justification for No Material/Nonsubstantive Change	2012-09-12
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2010-11-08
0031 Renewal just v4 08.doc Supporting Statement A	2008-04-24

IC Document Collections

IC ID	Document Title	Status
4717	Information Disclosure Statements with no additional disclosure requirements Form	Unchanged
182080	Request for Continued Examination (RCE) EFS-Web Form	Unchanged
181633	Petition to Make Special Based on Age for Advancement of Examination under 37 CFR 1.102(c)(1) Form	Unchanged
181632	Request for First-Action Interview (Pilot Program) Form and Instruction	Unchanged
181629	Request for Corrected Filing Receipt (electronic)	Unchanged
181628	Request for Corrected Filing Receipt	Unchanged
181627	Pre-Appeal Brief Request for Review Form	Unchanged
181626	Petition for Express Abandonment to Obtain a Refund Form	Unchanged
181625	Authorization To Permit Access to Application by Participating Offices Under 37 CFR 1.14(h) Form	Unchanged
181624	Request to Retrieve Electronic Priority Application(s) Under 37 CFR 1.55(d) Form	Unchanged
181622	Processing Fee Under 37 CFR 1.17(i) Transmittal Form	Unchanged
181621	Request for Processing of Replacement Drawings to Include the Drawings in Any Patent Application Publication	Unchanged
181613	Applicant Initiated Interview Request Form Form	Unchanged
181612	Request for Voluntary Publication or Republication EFS-Web	Unchanged
181611	Request for Deferral of Examination 37 CFR 1.103(d) Form	Unchanged
181610	Request for Oral Hearing Before the Board of Patent Appeals and Interferences Form	Unchanged
181609	Request for Continued Examination (RCE) Transmittal Form and Instruction	Unchanged
181608	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) Form	Unchanged
181607	Copy of File Content Showing Redactions	Unchanged
181606	Electronic Filing System (EFS) Copy of Application for Publication	Unchanged
181605	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)) Form	Unchanged
181604	Non-publication Request Form	Unchanged
181603	Statement Under 37 CFR 3.73(b) Form	Modified
181602	Certificates of Mailing/Transmission Form	Unchanged
181600	Deposit Account Order Form Form	Unchanged
181599	Requests to Access, Inspect and Copy Form	Unchanged
181598	Petition for Revival of an Application for Patent Abandoned for Failure to Notify the Office of a Foreign or International Filing Form	Unchanged
181597	Petition for Revival of an Application for Patent Abandoned Unintentionally Form	Unchanged
181596	Petition for Revival of an Application for Patent Abandoned Unavoidably Form	Unchanged
181570	Information Disclosure Citation in a Patent Form	Unchanged
181569	Notice of Appeal Form	Unchanged
181568	Request for Expedited Examination of a Design Application Form	Unchanged
181567	Disclaimers Form	Unchanged
181565	Express Abandonment under 37 CFR 1.138 Form	Unchanged
181563	Petition for Extension of Time under 37 CFR 1.136(a) Form	Unchanged
181562	Transmittal Form Form	Unchanged
181555	eIDS (Information Disclosure Statements) filed with no additional disclosure requirements Form	Unchanged

ICR Details

OMB Control No: 0651-0031	ICR Reference No: 201209-0651-014
Status: Historical Active	Previous ICR Reference No: 201111-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Processing (Updating)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/17/2012
	Date Received in OIRA: 09/12/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2013	01/31/2013	01/31/2013
Responses	2,444,305	0	2,444,305
Time Burden (Hours)	2,869,625	0	2,869,625
Cost Burden (Dollars)	145,375,747	0	145,375,747

---

Abstract: The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. § 131 et seq. to examine an application for patent and, when appropriate, issue a patent. Many actions taken by the USPTO during its examination of an application for patent or for reissue of a patent, or during its reexamination of a patent, are subject to review by an appeal to the Board of Patent Appeals and Interferences. For other USPTO actions, however, review is in the form of administrative review obtained via submission of a petition to the USPTO. The USPTO petitions practice also provides an opportunity for a patent applicant or owner to supply additional information that may be required in order for the USPTO to further process an application or reexamination proceeding. The USPTO is submitting this request to update 0651-0031 by submitting a new form into the collection, Statement Under 3.73(c)(PTO/AIA96). This form is similar to the current PTO/SB/96 and may be used by an assignee to establish its ownership of a patent property in order to request or take action in a patent matter. The proposed addition of this new form will not result in a substantive change in the burden for this collection and requires only information that is currently collected via this collection (e.g., via form PTO/SB/96).

---

Authorizing Statute(s): US Code: 35 USC 131 and 132 Name of Law: null
   US Code: 35 USC 118 Name of Law: Leahy-Smith America Invents Act (AIA)
  

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:
	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

---

Number of Information Collection (IC) in this ICR: 37

IC Title	Form No.	Form Name
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
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 Voluntary Publication or Republication EFS-Web
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))
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)
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
Disclaimers	PTO/SB/62, PTO/SB/26, PTO/SB/43, 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, PTO/AIA/96	Statement Under 37 CFR 3.73(c) ,   Statement under 37 CFR 3.73(b)
Transmittal Form	PTO/SB/21	Transmittal Form
Requests to Access, Inspect and Copy	PTO/SB/67, PTO/SB/68	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
Electronic Filing System (EFS) Copy of Application for Publication
Copy of File Content Showing Redactions
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/2055-A/B, PTO-2053-A/B, PTO-2054-A/B	Notice Under 37 CFR 1.251 - Pending Application ,   Notice Uner 37 CFR 1.251 - Abandoned Application ,   Notice Under 37 CFR 1.251 - Patent
Request for Continued Examination (RCE) Transmittal	PTO/SB/30	Request for Continued Examination (RCE) Transmittal
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
Request for Corrected Filing Receipt (electronic)
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
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)

---

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	2,444,305	2,444,305	0	0	0	0
Annual Time Burden (Hours)	2,869,625	2,869,625	0	0	0	0
Annual Cost Burden (Dollars)	145,375,747	145,375,747	0	0	0	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:

---

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]? 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

---

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: 09/12/2012

---