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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Trademark Trial and Appeal Board (TTAB) Actions
OMB CONTROL NO. 0651-0040
(January 2011)
A.
JUSTIFICATION
1.
Necessity of Information Collection
Under the Trademark Act of 1946, as amended, any individual or entity that adopts a
trademark or service mark to identify its goods or services may apply to federally
register its mark. The mark will remain on the register for ten years and is renewable in
ten-year increments.
Individuals or entities who believe that they would be damaged by the registration of a
mark may file an opposition to the registration of that mark, or an extension of time to
file an opposition, under Section 13 of the Trademark Act, 15 U.S.C. § 1063. If a mark
is successfully opposed, registration will not take place. Section 14 of the Trademark
Act, 15 U.S.C. § 1064, allows individuals and entities, who believe that they are or will
be damaged by the registration of a mark, to file a petition to cancel the registration of
that mark.
Individuals or entities may file an appeal from any final decision of the Trademark
Examining Attorney assigned to review an application for registration of a mark under
Section 20 of the Trademark Act, 15 U.S.C. § 1070.
The United States Patent and Trademark Office (USPTO) administers the Trademark
Act according to 37 CFR Part 2, which contains the various rules that implement the
Trademark Act and govern the filing of petitions to cancel the registration of marks,
notices of opposition to the registration of a mark, extensions of time to file an
opposition, appeals, and other papers filed in connection with inter partes and ex parte
proceedings.
These petitions, notices, extensions, and additional papers are filed with the Trademark
Trial and Appeal Board (TTAB). The TTAB decides inter partes cases and ex parte
appeals. The TTAB is an administrative tribunal empowered to determine the right to
register as the issue may be presented in such cases. The Chief Administrative
Trademark Judge and 18 administrative trademark judges decide proceedings filed with
the TTAB. A panel of three judges decides each case when it is ready for final decision
on the merits. The TTAB follows the Federal Rules of Civil Procedure when applicable,
and the “Trademark Rules” in 37 CFR Part 2.
The USPTO is also part of the Madrid Protocol, an international agreement governing
trademark protection, and accepts these international filings. Under the Madrid
Protocol, parties can file oppositions to extensions of protection under the Madrid
Protocol, as well as file requests for extensions of time to oppose these extensions of
protection. Oppositions and extensions filed under the Madrid Protocol must be filed
electronically through the Electronic System for Trademark Trials and Appeals (ESTTA).
For this renewal, the USPTO is deleting the recordkeeping costs from the collection’s
annual (non-hour) cost burden. The USPTO has determined that the recordkeeping
costs do not need to be included in the burden estimates because applicants are not
required to keep a copy of the files that are submitted electronically; the USPTO only
suggests that applicants do so.
Table 1 provides the specific statutes and regulations requiring the USPTO to collect
the information in this collection.
Table 1: Information Requirements to Determine Rights to Registration
Requirement
Statute
Rule
Petition to Cancel
15 U.S.C. § 1064
37 CFR Part 2,2.111 and 2.112
Notice of Opposition
15 U.S.C. § 1063
37 CFR Part 2, 2.101 and 2.104
Extension of Time to File an Opposition
15 U.S.C. § 1063
37 CFR Part 2, 2.102
Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or Registration During
Proceeding
• Motions (such as consent motions, motions to
extend, motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use
Applications
• Notice of Intent to Appeal a TTAB Decision
Not Applicable
37 CFR Part 2, 2.106 and 2.114
37 CFR Part 2, 2.107 and 2.115
37 CFR Part 2, 2.133
37 CFR Part 2, 2.120, 2.125, 2.127,
and 2.129
37 CFR Part 2, 2.122 through 2.125
37 CFR Part 2, 2.128
37 CFR Part 2, 2.134
37 CFR Part 2, 2.135
37 CFR Part 2, 2.99
37 CFR Part 2, 2.145
Notice of Appeal
15 U.S.C. § 1070
Miscellaneous Ex Parte Papers
2.
Not Applicable
37 CFR Part 2, 2.141 and 2.142
37 CFR Part 2, 2.144
Needs and Uses
The information in this collection is a matter of public record, and is used by the public
for a variety of private business purposes related to establishing and enforcing
trademark rights. This information is important to the public, as both common law
trademark owners and Federal trademark registrants must actively protect their own
rights.
The information in this collection can be submitted in paper format or electronically
through ESTTA. The paper submissions can either be mailed to the USPTO through
the United States Postal Service or other correspondence delivery services, or hand
delivered. There are some exceptions. Individuals and entities who are filing notices of
2
opposition and extensions of time to file notices of opposition against the extensions of
protection under the Madrid Protocol must file these documents electronically through
ESTTA. None of these documents can be submitted by facsimile, with the exception of
notices of appeal for ex parte cases which can be faxed to the TTAB in accordance with
37 CFR 2.195(d)(3).
There are no paper forms associated with this collection. However, the TTAB does
have suggested formats for the petitions to cancel and the notices of opposition that
individuals and entities can use when submitting these petitions and notices to the
TTAB. These suggested formats are not meant to be used as a form that is filled in and
then returned to the TTAB. Rather, they are suggested formats that illustrate how the
contents of a petition or notice should be framed or presented. Individuals and entities
may follow these formats in preparing their petitions and notices, but they do not need
to copy those portions of the suggested formats that are not relevant to their particular
situation. These suggested formats are not official USPTO forms and as such, they do
not have USPTO form numbers assigned to them. Individuals and entities can
download the suggested formats for the petition to cancel and the notice of opposition
from the USPTO forms page on the USPTO’s official website. The second edition of
the Trademark Trial and Appeal Board Manual of Procedure, which can only be
accessed online through the USPTO’s website at www.uspto.gov, explains the
requirements for filing these items.
The only official forms in this collection are the electronic forms that are accessed
through ESTTA. These forms do have USPTO form numbers assigned to them, unlike
the paper suggested formats. If applicants or entities wish to submit the petitions,
notices, extensions, and additional papers in inter partes and ex parte cases
electronically, they must use the forms provided through ESTTA. These forms cannot
be e-mailed to the TTAB.
This collection contains two suggested formats and six electronic forms.
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury
and General Government Appropriations Act for Fiscal Year 2001, apply to this
information collection and this information collection and its supporting statement
comply with all applicable information quality guidelines, i.e., the OMB and specific
operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO
Information Quality Guidelines. (Ref A)
Table 2 outlines how these collections of information are used by the public and by the
USPTO:
3
Table 2: Needs and Uses of Information Collected for Trademark Trial and Appeal Board (TTAB)
Actions
Form and Function
Petition to Cancel
(Ref B)
Electronic Petition to Cancel
(Ref C)
Form #
Needs and Uses
No Form
Associated;
Suggested
Format
•
PTO 2188
•
Used by the public to request the cancellation of a trademark
registration in whole or in part.
Used by the public to submit the required fee.
Used by the USPTO to institute a cancellation proceeding and to
notify the registrant of the grounds for cancellation
•
•
Used by the public to request the cancellation of a trademark
registration in whole or in part electronically.
Used by the public to submit the required fee electronically.
Used by the USPTO to institute a cancellation proceeding and to
notify the registrant of the grounds for cancellation.
•
•
Notice of Opposition
(Ref D)
No Form
Associated;
Suggested
Format
•
Used by the public to oppose registration of a pending trademark
application within 30 days after the publication of the application
being opposed or within the extension of time for filing an
opposition.
Used by the USPTO to process an opposition to the registration
of a mark.
•
Electronic Notice of Opposition
(Ref E)
PTO 2120
•
Used by the public to submit an opposition to the registration of
a pending trademark application within 30 days after the
publication of the application being opposed or within the
extension of time for filing an opposition electronically.
Used by the USPTO to process an opposition to the registration
of a mark electronically.
•
Extension of Time to File an Opposition
No Form
Associated
•
Used by the public to request additional time to file an opposition
to a trademark registration prior to the expiration of the 30-day
period.
Used by the USPTO to extend the time for filing an opposition an
additional 30 days, and to grant further extensions in accordance
with TTAB rules.
Used by the USPTO to notify the applicant of each extension of
time for filing an opposition.
•
•
Electronic Request for Extension of Time
to File an Opposition
(Ref F)
PTO 2153
•
Used by the public to electronically request additional time to file
an opposition to a trademark registration prior to the expiration of
the 30-day period.
Used by the USPTO to extend the time for filing an opposition an
additional 30 days, and to grant further extensions in accordance
with TTAB rules.
Used by the USPTO to notify the applicant of each extension of
time for filing an opposition.
•
•
Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or
Registration during Proceeding
• Motions (such as consent motions,
motions to extend, motions to
suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent
Use Applications
• Notice of Intent to Appeal a TTAB
Decision.
No Form
Associated
•
Used by the public to file papers, such as motions and briefs,
needed to prosecute inter partes cases.
Used by the USPTO to process inter partes cases.
Used by the USPTO as a suspense copy for appeals of TTAB
decisions filed with a federal court.
•
•
4
Form and Function
Form #
Electronic Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or
Registration during Proceeding
• Motions (such as consent motions,
motions to extend, motions to
suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent
Use Applications
• Notice of Intent to Appeal a TTAB
Decision.
(Ref G)
PTO 2151
Notice of Appeal
No Form
Associated
Needs and Uses
•
Used by the public to electronically file papers, such as motions
and briefs, needed to prosecute inter partes cases.
Used by the USPTO to process inter partes cases.
Used by the USPTO as a suspense copy for appeals of TTAB
decisions filed with a federal court.
•
•
•
Used by the public to appeal a final decision of the Trademark
Examining Attorney refusing registration of a trademark within
six months of the mailing date of the final refusal to register the
mark.
Used by the public to submit the required fees.
Used by the USPTO to institute and process an appeal.
•
•
Electronic Notice of Appeal
(Ref H)
PTO 2190
•
•
•
Used by the public to electronically file an appeal of the
Trademark Examining Attorney’s final decision refusing
registration of a trademark within six months of the mailing date
of the final refusal to register the mark.
Used by the public to submit the required fees.
Used by the USPTO to institute and process an appeal.
Miscellaneous Ex Parte Papers
No Form
Associated
•
•
Used by the public to file papers in ex parte appeal cases.
Used by the USPTO to process ex parte cases.
Electronic Miscellaneous Ex Parte
Papers
(Ref I)
PTO 2189
•
Used by the public to file papers in ex parte appeal cases
electronically.
Used by the USPTO to process ex parte cases.
3.
•
Use of Information Technology
With the exception of the notice of appeal for ex parte appeals, none of the TTAB filings
can be filed by facsimile in accordance with the USPTO’s rules. However, the USPTO
does collect all of the information requirements in this collection electronically through
ESTTA. Notices of opposition and extensions of time to file notices of opposition
against the extensions of protection under the Madrid Protocol must be filed
electronically through ESTTA.
ESTTA can be accessed through the USPTO’s web site and allows filers to timely
complete and submit forms to the TTAB electronically. They can also print out the
completed form and mail it to the USPTO. ESTTA provides step-by-step instructions
and help screens for completing the forms. The system prompts the filer to validate the
required fields and sign the submission before it is electronically submitted to the TTAB.
5
Upon transmission, the form will be assigned an ESTTA tracking number. The forms
that are filed through ESTTA are time-stamped with the official filing date when received
on the USPTO server. In cases where a fee is required, the time-stamp is applied when
the payment process is completed and the receipt screen is displayed. The filing date is
also controlled by Eastern Standard Time. The official filing date and time can be found
on the confirmation web screen and in the e-mail confirmation. Once the form has been
submitted electronically, the USPTO will immediately provide the sender with an
acknowledgment of receipt via e-mail.
The information submitted through ESTTA moves directly into the Trademark Trial and
Appeal Board Information System (TTABIS), the TTAB’s electronic workflow system.
Electronically submitted forms need not be processed or scanned by hand, thereby
eliminating the delays caused by the processing and scanning of paper filings. The
TTAB’s electronic workflow system processes all incoming and outgoing documents
electronically and permits staff to prepare correspondence, track cases, generate
reports for management, and monitor proceedings in an effective, secure, and timely
manner. Information regarding TTAB proceedings is available within the USPTO over
the Intranet and by the public over the Internet via TTABVue. TTABIS users will have
the ability to add electronic notes and highlights directly to TTABIS electronic
documents.
The TTAB disseminates the information collected through the notices of opposition,
extensions of time to oppose, petitions to cancel, and miscellaneous papers in inter
partes and ex parte proceedings electronically through TTABVue. This system can be
accessed through the TTAB’s homepage on the USPTO’s website. TTABVue provides
online images of the TTAB filings indexed by prosecution history entry. It allows users
to view proceedings with scanned incoming filings from either paper or Internet filings.
Other features include the capability to print and enlarge the incoming document to a
readable size.
TTABIS allows the public and the TTAB staff to retrieve information concerning TTAB
proceedings from the TTAB’s internal databases electronically using the Internet. Staff
and customers can search, view, and print specific information using their browser.
This provides a single point of access for querying information through a user-friendly
interface. Information can be retrieved from TTABVue using a proceeding number, a
plaintiff or defendant name, the mark, any words within an index, the trademark serial
number, or registration number.
The revised edition of the Trademark Trial and Appeal Board’s Manual of Procedure
(TBMP) is only available online through the USPTO’s web site. The TBMP provides
guidance to practitioners litigating cases before the TTAB and describes current TTAB
practice, statutory changes and new rules that have been promulgated since 1995,
video conferencing for final hearings, and telephone conferences. The TBMP also
addresses electronic filing, access to the TTAB’s electronic database via the Internet,
and contains suggested formats for some of the TTAB’s filings. The TTAB also
6
disseminates its decisions from 1997 to the present to the public through its home page
on the USPTO website.
4.
Efforts to Identify Duplication
Every effort has been made to identify and eliminate duplication of information. This
collection provides the initial information required to give notice of opposition to the
registration of a mark, to request additional time to file an opposition to the registration
of a mark, to initiate the cancellation of a trademark registration, to request an appeal of
the Trademark Examining Attorney’s final decision, and to collect the additional papers
needed to prosecute an inter partes or ex parte appeal. This information is not collected
elsewhere within the USPTO. Where possible, the ESTTA system retrieves already
existing data and completes fields within the ESTTA forms to eliminate the need for the
filer to provide data already in the TTAB database.
5.
Minimizing the Burden to Small Entities
Since registrations, oppositions, cancellations, and appeals are voluntary activities on
the part of the public, the USPTO has not collected data to determine whether the
collection of information impacts small businesses or other small entities.
6.
Consequences of Less Frequent Collection
Less frequent collection of this information is not possible, since the information is
collected only when voluntarily submitted by the public. Failure to collect this
information would prevent parties from exercising their right to file an opposition to the
registration of a mark, request an extension of time to file an opposition to a mark, to
cancel a federally registered trademark, to appeal any final decision of the Trademark
Examining Attorney in charge of the requested registration of a mark, and to file the
papers needed to further prosecute an inter partes or ex parte appeal. The information
could not be collected less frequently. If the collection of information was not
conducted, the USPTO could not comply with the requirements of 15 U.S.C. §§ 1063,
1064, and 1070, and 37 CFR Part 2, 2.101-102, 2.104, 2.111–2.112, and 2.141 to 2.142
7.
Special Circumstances in the Conduct of Information Collection
There are no special circumstances associated with this collection of information.
8.
Consultation Outside the Agency
The 60-Day Federal Register Notice was published on June 29, 2010 (75 Fed. Reg.
37380). The public comment period ended on August 30, 2010. No comments were
received from the public.
Large and well-organized bar associations frequently communicate their views to the
USPTO. Also, the Trademark Public Advisory Committee was created by the 1999
7
American Inventors Protection Act to advise the Director of the USPTO on the agency’s
operations, including its goals, performance, budget, and user fees. The Committee
has nine voting members who are appointed by and serve at the pleasure of the
Secretary of Commerce. The statute also provides non-voting membership on the
Committee for the agency’s three recognized unions. The appointments include
inventors, lawyers, corporate executives, entrepreneurs, and academicians with
significant experience in management, finance, science, technology, labor relations, and
intellectual property issues. The members of the Trademark Public Advisory Committee
reflect the broad array of the USPTO’s stakeholders. This diversity of interests is an
effective tool in helping the USPTO nurture and protect the intellectual property that is
the underpinning of America’s strong economy.
9.
Payment or Gifts to Respondents
This information collection does not involve a payment or gift to any respondent.
Response to this information collection is necessary to file an opposition to the
registration of a mark, to petition for an extension of time to file an opposition to the
registration of a mark, to petition to cancel a trademark registration, to file a notice of
appeal of any final decision of the Trademark Examining Attorney in charge of the
requested registration of a mark, and to file the additional papers necessary for the
further prosecution of an inter partes or ex parte case.
10.
Assurance of Confidentiality
Trademark applications are open to public inspection. The case files for oppositions,
extensions of time to oppose a registration, petitions to cancel a trademark registration,
and appeals are open to the public for review and do not require confidentiality except
for certain documents filed under a claim of confidentiality, which are not available for
public review. Confidential papers may be filed either electronically or in paper, under
separate cover, as specified in 37 CFR 2.126(d). The TTAB has a standard order
allowing for the submission of confidential material, but parties are free to agree to
alternative arrangements.
11.
Justification for Sensitive Questions
None of the required information is considered to be of a sensitive nature.
12.
Estimate of Hour and Cost Burden to Respondents
Table 3 calculates the burden hours and costs of this information collection to the
public, based on the following factors. These estimates include Madrid submissions as
well:
•
Respondent Calculation Factors
Based on filings from the previous years, the USPTO estimates that it will receive 71,743
responses per year. The USPTO estimates that approximately 86% (61,900) of these
responses will be submitted electronically.
8
•
Burden Hour Calculation Factors
The USPTO estimates that it takes the public approximately 10 to 30 minutes (0.17 to
0.50 hours) to complete this information, depending on the request. This includes the
time to gather the necessary information, prepare the petitions, notices, extensions, or
additional papers, and submit the completed request to the USPTO. The USPTO
estimates that it will take the same amount of time (and possibly less time) to gather the
necessary information, prepare the submission, and submit it electronically to the TTAB
as it does to submit the information in paper form.
•
Cost Burden Calculation Factors
The USPTO estimates that it will take a 50/50 level of effort by attorneys and
paraprofessional/paralegals to complete the requirements in this collection. The
professional hourly rate for attorneys in private firms is $325, while the hourly rate for
paraprofessionals/paralegals in private firms is $122. The professional rate of $325 per
hour used in this submission is the median rate for attorneys in private firms published in
the 2009 report of the Committee on Economics of Legal Practice of the American
Intellectual Property Law Association, which summarizes the results of a survey with
data on hourly billing rates. The paraprofessional/paralegal rate of $122 used in this
submission is the average/typical rate for paralegals/legal assistants as shown in the
2010 National Utilization and Compensation Survey published by the National
Association of Legal Assistants (NALA) in October 2010. After calculating the average
of the professional and paraprofessional/paralegal rates, the USPTO estimates that the
hourly rate for completing the petitions, notices, requests, and other papers will be $224.
This is a fully-loaded hourly rate.
Table 3: Burden Hour/Burden Cost to Respondents
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Petition to Cancel
0.50
88
44
$224.00
$9,856.00
Electronic Petition to Cancel
0.50
1,300
650
$224.00
$145,600.00
Notice of Opposition
0.50
205
103
$224.00
$23,072.00
Electronic Notice of Opposition
0.50
4,400
2,200
$224.00
$492,800.00
Extension of Time to File an Opposition
0.17
150
26
$224.00
$5,824.00
Electronic Request for Extension of Time to File an
Opposition
0.17
15,700
2,669
$224.00
$597,856.00
Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or Registration
During Proceeding
• Motions (such as consent motions, motions
to extend, motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use
Applications
• Notice of Intent to Appeal a TTAB decision
0.17
4,800
816
$224.00
$182,784.00
9
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Hours
(a)
Electronic Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendement of Application or Registration
During Proceeding
• Motions (such as consent motions, motions
to extend, motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use
Applications
• Notice of Intent to Appeal a TTAB decision
0.17
35,500
6,035
$224.00
$1,351,840.00
Notice of Appeal
0.25
300
75
$224.00
$16,800.00
Electronic Notice of Appeal
0.25
2,800
700
$224.00
$156,800.00
Miscellaneous Ex Parte Papers
0.17
4,300
731
$224.00
$163,744.00
Electronic Miscellaneous Ex Parte Papers
0.17
2,200
374
$224.00
$83,776.00
Total
- - - -
71,743
14,423
- - - -
$3,230,752.00
13.
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Item
Total Annualized Cost Burden
There are no capital start-up, operation, or maintenance costs associated with this
information collection. Currently, the collection does have recordkeeping costs, but
these costs are being deleted from the collection as explained in Section 15. There are,
however, postage costs and filing fees associated with this collection.
Postage Costs
The petitions to cancel, the notices of opposition and appeal, the extensions of time to
file an opposition, and the additional papers filed in inter partes and ex parte cases may
be submitted to the USPTO or served on the other parties by Express or first-class mail
through the United States Postal Service. These papers can also be forwarded by other
services or hand delivered to the TTAB. Using the Express Mail service is beneficial
because it establishes the filing date of the papers. For example, papers that are
mailed by Express Mail on the due date are considered to be timely filed with the TTAB,
even if the TTAB receives the paper after the due date.
The USPTO estimates that 6% of the petitions, notices, extensions, and additional inter
partes and ex parte papers that are filed in paper form will be submitted using Express
Mail. The USPTO estimates that the average submission will weigh 2 ounces and that
the respondent will be mailing the original to the TTAB and serving copies on the other
parties involved in the proceedings. The USPTO estimates that it costs an average of
$18.54 to send the petitions, notices, extensions, appeals, and additional papers by
Express Mail to the TTAB. To account for the service of papers on other parties, the
10
USPTO is adding an additional 20% of the postage rate ($3.71), for an estimated cost of
$22.25. The USPTO estimates that up to 590 submissions per year may be mailed to
the USPTO and other parties using Express Mail, for an estimated postage cost of
$13,128.
The USPTO estimates that the remaining petitions to cancel, the notices of opposition
and appeal, the extensions of time to file an opposition, and the additional papers filed
in inter partes and ex parte proceedings that are filed in paper form (roughly 94%) will
be sent by first-class mail. The USPTO estimates that the average submission will
weigh 2 ounces and that the respondent will mail the original to the TTAB and serve
copies on the other parties involved in the proceedings. The USPTO estimates that it
costs 61 cents to mail the petitions, notices, extensions, appeals, and additional papers
to the TTAB. To account for the service of papers on other parties, the USPTO is
adding an additional 80% of the postage rate (49 cents), for an estimated cost of $1.10.
The USPTO estimates that up to 9,252 submissions per year may be mailed to the
USPTO and other parties by first-class mail, for a postage cost of $10,177.
Therefore, the USPTO estimates that the total postage cost for this collection for
filing the various papers with the TTAB and serving copies on the other parties
involved in proceedings before the TTAB using both Express and first-class mail
is $23,305 per year.
Filing Fees
There is also annual non-hour cost burden in the way of filing fees associated with this
collection. The petitions to cancel and the notices of opposition have filing fees of $300,
while the filing fee for the notices of appeal is $100. These fees are set to recover the
aggregate cost to the USPTO for processing the petitions, oppositions, and appeals.
These fees are per class of identified goods and/or services; therefore the total filing
fees can vary depending on the number of classes involved in a proceeding.
There are no filing fees for the extensions of time to file an opposition. The additional
papers that are filed in ex parte and inter partes proceedings do not have their own
specific fees, so they do not add new fees to the collection.
Table 4 shows the annual filing fees for parties filing the petitions to cancel, the notices
of opposition, and the notices of appeal. The total filing fees of $2,107,900 shown
below are the minimum fees associated with this information collection.
Table 4: Filing Fees – Non-hour Cost Burden of Information Collected for Trademark Trial and
Appeal Board (TTAB) Actions
Item
Responses
(yr)
(a)
Petition to Cancel
Electronic Petition to Cancel
11
Filing Fees
(b)
Total Non-Hour
Cost Burden
(yr)
(a) x (b)
88
$300.00
$26,400.00
1,300
$300.00
$390,000.00
Item
Responses
(yr)
(a)
Notice of Opposition
Filing Fees
(b)
Total Non-Hour
Cost Burden
(yr)
(a) x (b)
205
$300.00
$61,500.00
4,400
$300.00
$1,320,000.00
150
$0.00
$0.00
Electronic Request for Extension of Time to File an Opposition
15,700
$0.00
$0.00
Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or Registration During
Proceeding
• Motions (such as consent motions, motions to extend,
motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use Applications
• Notice of Intent to Appeal a TTAB decision
4,800
$0.00
$0.00
Electronic Papers in Inter Partes Cases
• Answers
• Amendments to Pleadings
• Amendment of Application or Registration During
Proceeding
• Motions (such as consent motions, motions to extend,
motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use Applications
• Notice of Intent to Appeal a TTAB decision
35,500
$0.00
$0.00
300
$100.00
$30,000.00
Electronic Notice of Appeal
2,800
$100.00
$280,000.00
Miscellaneous Ex Parte Papers
4,300
$0.00
$0.00
Electronic Miscellaneous Ex Parte Papers
2,200
$0.00
$0.00
71,743
---------------
$2,107,900.00
Electronic Notice of Opposition
Extension of Time to File an Opposition
Notice of Appeal
Totals
The USPTO estimates that the total non-hour respondent cost burden for this
collection, in the form of postage costs and filing fees, is $2,131,205 per year.
14.
Annual Cost to the Federal Government
For the most part, personnel employed on a contractual basis process all of the papers
filed in Board proceedings in the paper format. The TTAB staff does not process certain
papers filed in Board proceedings, such as the miscellaneous papers filed in both ex
parte and inter pates proceedings. These papers are processed entirely by contract
personnel. The TTAB staff only partially processes notices of opposition, petitions for
12
cancellation, and notices of appeal. These papers are processed initially by the
contract personnel. The contract personnel scan each paper listed above into the
electronic application record. The USPTO estimates that contract personnel with an
hourly rate comparable to that of a GS-9, step 5 will process these papers, and
estimates that it takes, on average, approximately 4 minutes (0.07 hours) to process
each paper. The hourly rate for a GS-9, step 5, is currently $28.04. Generally, an
additional 30% of the hourly rate is added to account for a fully-loaded rate that covers
both overhead and benefits. Since this work is being performed by contract personnel,
the USPTO will only pay for the overhead costs, not the benefits. Therefore, the
USPTO estimates that approximately 15% will be added to the hourly rate. When 15%
is added to account for a hourly rate including overhead, the cost per hour for the
contract personnel is approximately $32.25 ($28.04 + $4.21).
The TTAB staff process the extensions of time to file an opposition. In addition to the
initial processing performed by the contract personnel, the TTAB staff also processes
the notices of opposition, the petitions for cancellation, and the notices of appeal. The
USPTO estimates that a GS-11, step 5 will process these papers and estimates that it
takes approximately 10 minutes (0.17 hours) to complete the processing of extensions
of time to file a notice of opposition and 30 minutes (0.50 hours) to complete the
processing of notices of opposition, petitions for cancellation, and notices of appeal.
The hourly rate for a GS-11, step 5 is currently $33.92. When 30% is added to account
for a fully loaded hourly rate (benefits and overhead), the cost per hour for a GS-11,
step 5 is $44.10 ($33.92+ $10.18).
Although the TTAB staff does not process the majority of papers submitted
electronically through ESTTA, they do perform additional processing for 26% of the
electronic notices of opposition, 18% of the electronic notices of appeal, and 7% of the
electronic extensions of time to file an opposition. Out of approximately 4,400 notices of
opposition and 2,800 notices of appeal filed electronically, the TTAB staff performs
additional processing for approximately 1,170 notices of opposition and 500 notices of
appeal. Out of approximately 15,700 electronic requests for extensions of time to file an
opposition, the TTAB staff performs additional processing for approximately 1,100. The
TTAB staff performs additional processing for all 1,300 petitions to cancel filed
electronically. The USPTO estimates that a GS-11, step 5 will process these papers
and estimates that it takes approximately 10 minutes (0.17 hours) to complete the
processing of extensions of time to file a notice of opposition and 30 minutes (0.50
hours) to complete the processing of notices of opposition, petitions for cancellation,
and notices of appeal. The hourly rate for a GS-11, step 5 is currently $33.92. When
30% is added to account for a fully loaded hourly rate (benefits and overhead), the cost
per hour for a GS-11, step 5 is $33.92 + $10.18 = $44.10.
The TTAB staff does not process the extensions of time to file a notice of opposition,
notices of opposition, notices of appeal, and miscellaneous papers filed in both ex parte
and inter partes proceedings submitted electronically through ESTTA. ESTTA enters
the information into the file electronically and then passes the information to the TTABIS
database. This database then processes the information electronically and updates the
13
appropriate TTABIS application file. In addition, ESTTA automatically institutes 74% of
the notices of opposition and 82% of the notices of appeal. There is no human
intervention at all during this process.
Table 5 calculates the processing hours and costs of this information collection to the
Federal Government.
Table 5: Burden Hour/Burden Cost to the Federal Government
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Petition to Cancel
GS-9, step 5
GS-11, step 5
0.07
0.50
88
6
44
$32.25
$44.10
$194.00
$1,940.00
Electronic Petition to Cancel
GS-11, step 5
0.50
1,300
650
$44.10
$28,665.00
Notice of Opposition
GS-9, step 5
GS-11, step 5
0.07
0.50
205
14
103
$32.25
$44.10
$452.00
$4,542.00
Electronic Notice of Opposition
GS-11, step 5
Processed electronically by ESTTA
0.50
0.00
1,170
3,230
585
0
$44.10
$0.00
$25,799.00
$0.00
Extension of Time to File an Opposition
GS-9, step 5
GS-11, step 5
0.07
0.17
150
11
26
$32.25
$44.10
$355.00
$1,147.00
Electronic Request for Extension of Time to File
an Opposition
GS-11, step 5
Processed electronically by ESTTA
0.17
0.00
1,100
14,600
187
0
$44.10
$0.00
$8,247.00
$0.00
0.07
4,800
336
$32.25
$10,836.00
Papers in Inter Partes Cases
• Answers
• Amendments to Pleading
• Amendment of Application or Registration
during Proceeding
• Motions (such as consent motions, motions
to extend, motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use
Applications
• Notice of Intent to Appeal a TTAB decision
14
Rate
($/hr)
(d)
Total Cost
($/hr)
(e)
(c) x (d)
Hours
(a)
Electronic Papers in Inter Partes Cases
• Answers
• Amendments to Pleading
• Amendment of Application or Registration
during Proceeding
• Motions (such as consent motions, motions
to extend, motions to suspend, etc.)
• Evidence
• Briefs
• Surrender of Registration
• Abandonment of Application
• Documents Related to Concurrent Use
Applications
• Notice of Intent to Appeal a TTAB decision
0.00
35,500
0
$0.00
$0.00
Notice of Appeal
GS-9, step 5
GS-11, step 5
0.07
0.50
300
21
150
$32.25
$44.10
$677.00
$6,615.00
Electronic Notice of Appeal
GS-11, step 5
Processed electronically by ESTTA
0.50
0.00
500
2,300
250
0
$44.10
$0.00
$11,025.00
$0.00
Miscellaneous Ex Parte Papers
GS-9, step 5
0.07
4,300
301
$32.25
$9,707.00
Electronic Miscellaneous Ex Parte Papers
0.00
2,200
0
$0.00
$0.00
- - - - -
71,743
2,684
- - - - -
$110,201.00
Total
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Item
The USPTO’s total estimated cost for processing the information in this collection
is estimated at $110,201 per year.
15.
Reason for Change in Burden
Summary of Changes Since the Previous Renewal
The renewal of this information collection was approved by OMB on January 24, 2008,
with 79,000 responses, 18,311 burden hours, and $2,740,891 in annualized (non-hour)
costs. Although the Notice of Action for this approval shows the annualized (non-hour)
costs as $2,740,891, the cost calculated in the actual justification statement is
$2,740,892. The calculations below were derived using $2,740,892 as the base
number.
With this renewal, the USPTO estimates that the total burden and annualized (nonhour) costs for this collection will be 71,743 responses, 14,423 burden hours, and
$2,131,205 in annualized costs. This is a decrease of 7,257 responses, 3,888 burden
hours and $609,687 in annualized costs over the currently approved burden for this
collection. The reductions in the responses and burden hours are due to administrative
adjustments. The reductions in the annualized costs are due to a program change and
to administrative adjustments.
15
Changes in Burden Estimates Since the 60-Day Federal Register Notice
In the 60-Day Federal Register Notice published on June 29, 2010 for this renewal, the
USPTO estimated that the burden for this collection would be 80,025 responses, 17,815
burden hours, and $2,417,326 in annual (non-hour) costs. The USPTO also estimated
that the annual respondent cost burden would be $3,794,595 per year.
Since the publication of the 60-Day Notice, the USPTO has made a number of
adjustments that affect the burden estimates for this collection.
The USPTO has re-estimated the number of responses for all of the items in the
collection, with the exception of the electronic petition to cancel. In addition to these
changes, the USPTO also re-estimated the amount of time that it takes to complete the
petitions to cancel and the notices of opposition. In the 60-Day Notice, the USPTO
estimated that it would take 45 minutes to complete these items, whether they are filed
in paper or electronically. The USPTO now estimates that it takes 30 minutes to
complete these items.
Based on the re-estimates of the number of responses and the completion times for the
petitions to cancel and the notices of opposition, the USPTO estimates that this
collection will have 71,743 responses as opposed to 80,025 and 14,423 burden hours
instead of 17,815. This is a decrease of 8,282 responses and 3,392 hours.
In the 60-Day Federal Register Notice, the USPTO estimated the annual (non-hour)
costs for this collection at $2,417,326. This included total postage costs of $28,026, a
recordkeeping cost of $6,800, and a filing fee cost of $2,382,500.
The change in the overall estimates for the collection also changed the estimated
number of submissions mailed to the USPTO. In the 60-Day Notice, the USPTO
estimated that 710 submissions would be mailed using Express Mail, and that the
postage cost would be $15,798. For the first-class submissions, the USPTO estimated
that 11,116 would be mailed, at a postage cost of $12,228. The USPTO estimated the
total postage cost of $28,026. The USPTO now estimates that fewer submissions will
be mailed using Express and first-class mail, with 590 submissions at an estimated cost
of $13,128 for Express Mail and 9,252 submissions at an estimated cost of $10,177 for
first-class mail. The USPTO now estimates that the total postage cost for this collection
at $23,305 per year, which is a decrease of $4,721 from the postage costs estimated in
the 60-Day Federal Register Notice.
The revised response estimates also revise the filing fee totals that were reported in the
60-Day Federal Register Notice. Based on expected reductions in the number of
overall responses for this collection, the USPTO now estimates that the filing fees for
this collection will total $2,107,900, as opposed to $2,382,500 as estimated in the 60Day Federal Register Notice, for an estimated decrease of $274,600.
16
In the 60-Day Federal Register Notice, recordkeeping costs were reported for all of the
electronic submissions. The USPTO has since determined that these costs should be
deleted from the annual (non-hour) cost burden because there is no requirement for
applicants to keep a copy of their electronically-filed submissions. These recordkeeping
costs have therefore been deleted from the collection.
Based on these changes, the USPTO now estimates the annual (non-hour) costs for
this collection at $2,131,205 per year, with a total postage cost of $23,305 and a filing
fee cost of $2,107,900. This is an estimated reduction of $286,121 from the costs
reported in the 60-Day Federal Register Notice.
In the 60-Day Federal Register Notice, the annual respondent cost burden was reported
as $3,794,595. The USPTO now estimates the annual respondent cost burden at
$3,230,752. Since the hourly rates were calculated for the notice, NALA published their
2010 National Utilization and Compensation Survey. As a result, the USPTO is now
using the adjusted para-professional rate of $122 to calculate the hourly rate. As a
result, the estimated hourly rate for this collection has changed from $213 as reported in
the 60-Day Federal Register Notice, to $224. Despite the increased rate, the overall
reduction in the response estimates has resulted in a lower annual respondent cost than
originally reported in the 60-Day Federal Register Notice. The USPTO now estimates
that the annual respondent cost burden for this collection will be $3,230,752, a
$563,843 reduction over the costs reported originally.
Changes in Respondent Cost Burden
When this collection was previously approved in January 2008, the USPTO estimated
that it took a combined 50/50 level of effort by both attorneys and paraprofessionals/paralegals to complete all of the requirements in this collection. The
estimated hourly rate for the attorneys was $304, while the estimated hourly rate for the
para-professionals/paralegals was $90. The estimated average of these rates was
$197 per hour.
The hourly rates for the attorneys and para-professionals/paralegals have increased
since the last renewal. Based on rates published in the 2009 report of the Committee
on Economics of Legal Practice of the American Intellectual Property Law Association,
the estimated hourly billing rate for attorneys has increased from $304 to $325. Based
on rates from the 2010 National Utilization and Compensation Survey published by the
National Association of Legal Assistants (NALA) in October 2010, the estimated hourly
rate for the para-professionals/paralegals has increased from $90 to $122. The USPTO
now estimates that the average of these hourly billing rates is $224.
Despite the increase in the hourly rates, the USPTO expects an overall decrease in the
respondent costs for the collection due to an overall reduction in the number of
submissions. In addition, the USPTO has re-estimated the completion time for the
petitions to cancel and the notices of opposition. The USPTO now estimates that it
takes 30 minutes (0.50 hours) to complete these items, as opposed to 45 minutes (0.75
17
hours). The USPTO expects that these reductions will offset the increase in the hourly
rate.
Therefore, for this renewal, the USPTO estimates that the total respondent cost burden
will decrease by $376,515, from $3,607,267 to $3,230,752 per year.
Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the annual responses for this collection will
decrease by 7,257 responses, from 79,000 to 71,743 responses per year. In turn, the
USPTO estimates that the burden hours will decrease by 3,888 hours, from 18,311 to
14,423 hours per year. The USPTO expects reduced submissions for most of the items
in the collection, although the agency does estimate an increase in the number of
responses for the petitions to cancel, the papers in inter partes cases, the notices of
appeal, and the miscellaneous ex parte papers that are filed electronically. This
increase, however, is offset by the overall decrease in the number of responses for this
collection. These changes are due to administrative adjustments, as follows:
•
The USPTO expects that fewer petitions to cancel (paper) will be filed for this
renewal. The USPTO estimates that the total number of petitions filed will decrease
by 262 responses, from 350 to 88 responses per year. In addition, the USPTO has
also re-estimated the amount of time that it takes to complete a petition to cancel.
Currently, the USPTO estimates that it takes 45 minutes (0.75 hours) to complete a
petition to cancel. With this renewal, the USPTO now estimates that it takes 30
minutes (0.50 hours) to complete the petitions. Based on these changes, the
USPTO estimates that the burden hours will decrease by 219 hours, from 263 to 44
hours per year. Therefore, this collection has a burden reduction of 219 hours
due to an administrative adjustment.
•
The USPTO estimates that the number of petitions to cancel filed electronically will
increase by 50 responses for this renewal, from 1,250 to 1,300 responses per year.
However, the USPTO is also re-estimating the completion for the electronically-filed
petitions from 45 to 30 minutes. The USPTO expects that this adjustment will offset
the slight increase in submissions and estimates that the burden hours for these
petitions will decrease by 288 hours, from 938 to 650 hours per year. Therefore,
this collection has a burden reduction of 288 hours due to an administrative
adjustment.
•
The USPTO expects that fewer notices of opposition (paper) will be filed for this
renewal. The USPTO estimates that the total number of oppositions filed will
decrease by 795 responses, from 1,000 to 205 responses per year. The USPTO is
also re-estimating the amount of time that it takes to complete these oppositions
from 45 minutes (0.75 hours) to 30 minutes (0.50 hours). Due to these changes, the
USPTO estimates that the burden hours for the oppositions will decrease by 647
hours, from 750 to 103 hours per year. Therefore, this collection has a burden
reduction of 647 hours due to an administrative adjustment.
18
•
The USPTO estimates that the number of notices of opposition filed electronically
will decrease by 1,000 responses for this renewal, from 5,400 to 4,400 responses
per year. The USPTO expects that it will take the same amount of time to complete
and file the oppositions electronically as it does in paper form, so the completion
time for these applications is being re-estimated from 45 minutes (0.75 hours) to 30
minutes (0.50 hours). Due to these changes, the USPTO estimates that the burden
hours for the oppositions filed electronically will decrease by 1,850 hours, from 4,050
to 2,200 hours per year. Therefore, this collection has a burden reduction of
1,850 hours due to an administrative adjustment.
•
The USPTO expects that fewer extensions of time to file an opposition (paper) will
be filed for this renewal. The USPTO estimates that the total number of oppositions
filed will decrease by 450 responses, from 600 to 150 responses per year. Due to
this decrease, the USPTO estimates that the burden hours will decrease by 76
hours, from 102 to 26 hours per year. Therefore, this collection has a burden
reduction of 76 hours due to an administrative adjustment.
•
The USPTO estimates that the number of requests for extension to time to file an
opposition electronically will decrease by 3,300 responses for this renewal, from
19,000 to 15,700 responses per year. Due to this decrease, the USPTO estimates
that the burden hours for the extensions will decrease by 561 hours, from 3,230 to
2,669 hours per year. Therefore, this collection has a burden reduction of 561
hours due to an administrative adjustment.
•
The USPTO expects that fewer papers in inter partes cases (paper) will be filed for
this renewal. The USPTO estimates that the number of papers filed will decrease by
4,700 responses, from 9,500 to 4,800 responses per year. Due to this decrease, the
USPTO estimates that the burden hours for the papers will decrease by 799 hours,
from 1,615 to 816 hours per year. Therefore, this collection has a burden
reduction of 799 hours due to an administrative adjustment.
•
The USPTO estimates that the number of papers in inter partes cases filed
electronically will increase by 3,000 responses for this renewal, from 32,500 to
35,500 responses per year. Due to this increase, the USPTO estimates that the
burden hours for these papers will increase by 510 hours, from 5,525 to 6,035 hours
per year. Therefore, this collection has a burden increase of 510 hours due to
an administrative adjustment.
•
The USPTO expects that fewer notices of appeal (paper) will be filed for this
renewal. The USPTO estimates that the number of notices filed will decrease by
600 responses, from 900 to 300 responses per year. Due to this decrease, the
USPTO estimates that the burden hours for the notices will decrease by 150 hours,
from 225 to 75 hours per year. Therefore, this collection has a burden reduction
of 150 hours due to an administrative adjustment.
•
The USPTO estimates that the number of notices of appeal filed electronically will
increase by 700 responses for this renewal, from 2,100 to 2,800 responses per year.
19
Due to this increase, the USPTO estimates that the burden hours for the notices will
increase by 175 hours, from 525 to 700 hours per year. Therefore, this collection
has a burden increase of 175 hours due to an administrative adjustment.
•
The USPTO expects that fewer miscellaneous ex parte papers (paper) will be filed
for this renewal. The USPTO estimates that the number of ex parte papers filed will
decrease by 200 responses, from 4,500 to 4,300 responses per year. Due to this
decrease, the USPTO estimates that the burden hours will decrease by 34 hours,
from 765 to 731 hours per year. Therefore, this collection has a burden
reduction of 34 hours due to an administrative adjustment.
•
The USPTO estimates that the number of miscellaneous ex parte papers filed
electronically will increase by 300 responses for this renewal, from 1,900 to 2,200
responses per year. Due to this increase, the USPTO estimates that the burden
hours will increase by 51 hours, from 323 to 374 hours per year. Therefore, this
collection has a burden increase of 51 hours due to an administrative
adjustment.
The USPTO estimates that the total net burden for this collection will decrease by 3,888
hours, from 18,311 to 14,423 hours per year. The USPTO estimates that 736 hours will
be added to the collection as a result of an administrative adjustment. This increase is
offset, however, by a reduction of 4,624 hours, also due to administrative adjustments,
for a total burden reduction of 3,888 hours. Therefore, this information collection
has a burden reduction of 3,888 hours due to administrative adjustments.
Changes in Annual (Non-Hour) Costs
For this renewal, the USPTO estimates that the annual (non-hour) costs for this
collection will decrease by $609,687, from $2,740,892 to $2,131,205 per year. This
change is due to administrative adjustments and a program change, as follows:
•
The USPTO expects the costs for sending the petitions, notices, extensions, and
additional inter partes and ex parte papers to the USPTO by Express Mail will
decrease for this renewal. The USPTO estimates that the Express Mail rate for
these submissions will increase from $16.25 to $18.54 and that the total cost to
account for the service of papers on other parties will increase from $19.50 to
$22.25. However, the USPTO expects that these increases will be offset by
expected reductions in the number of submissions sent by Express Mail. The
USPTO estimates that the number of submissions sent by Express Mail will
decrease by 421 responses, from 1,011 to 590 responses per year. Due to the
reduced submissions, the USPTO estimates that the Express Mail postage costs will
decrease by $6,587, from $19,715 to $13,128 per year. Therefore, this collection
has a reduction of $6,587 in Express Mail cost due to an administrative
adjustment.
•
The USPTO expects the costs for sending the petitions, notices, extensions, and
additional inter partes and ex parte papers to the USPTO by first-class mail will
20
decrease for this renewal, despite increases in the postage rate and in the
percentage of paper submissions sent by first-class mail. The USPTO estimates
that the first-class postage rate will increase from 58 to 61 cents and that the total
cost to account for service of these papers on other parties will increase from $1.04
to $1.10. The USPTO also estimates that the percentage of petitions, notices,
extensions, and additional inter partes and ex parte papers submitted using firstclass mail will increase from 89% to 94%. However, even though a greater
percentage of applications are expected to be sent by first-class mail, the USPTO
estimates that the overall number of applications sent this way will decrease by
5,745 responses, from 14,997 to 9,252 first-class submissions per year. The
USPTO estimates that the first-class postage costs will decrease by $5,420, from
$15,597 to $10,177 per year. Therefore, this collection has a reduction of
$5,420 in first-class postage costs due to an administrative adjustment.
•
For the petitions to cancel, notices of opposition and appeal, and the additional
papers in inter partes and ex parte cases that are filed electronically, the USPTO
strongly advises applicants to keep a copy of the file and the acknowledgement
receipt as clear evidence that the file was received by the USPTO on the date noted.
In the currently approved collection, recordkeeping costs for these copies are
included as part of the annual (non-hour) cost burden. The Office of General Law at
the USPTO has concluded that these costs do not need to be included in the burden
calculations because the agency does not require applicants to keep a copy of their
electronically-filed submission, but only suggests that they do so. The USPTO is
therefore deleting the recordkeeping costs from the collection’s burden. Therefore,
this collection has a reduction of $5,580 in recordkeeping costs due to a
program change.
•
The USPTO expects the total filing fees for the petition to cancel (paper) will
decrease for this renewal. The USPTO estimates that the number of petitions filed
will decrease from 350 to 88 responses per year. The USPTO estimates that the
reduced submissions will decrease the total filing fees by $78,600, from $105,000 to
$26,400 per year. Therefore, this collection has a reduction of $78,600 in filing
fee costs due to an administrative adjustment.
•
The USPTO expects the total filing fees for the petitions to cancel filed electronically
will increase for this renewal. The USPTO estimates that the number of petitions
filed electronically will increase from 1,250 to 1,300 responses per year. Due to this
increase, the USPTO estimates that the total filing fees will increase by $15,000,
from $375,000 to $390,000 per year. Therefore, this collection has an increase
of $15,000 in filing fee costs due to an administrative adjustment.
•
The USPTO expects the total filing fees for the notices of opposition (paper) will
decrease for this renewal. The USPTO estimates that the total number of notices of
opposition filed will decrease from 1,000 to 205 responses per year. The USPTO
estimates that the reduced submissions will decrease the total filing fees by
21
$238,500, from $300,000 to $61,500 per year. Therefore, this collection has a
reduction of $238,500 in filing fee costs due to an administrative adjustment.
•
The USPTO estimates that the total filing fees for the notices of opposition filed
electronically will decrease for this renewal. The USPTO estimates that the total
number of notices of opposition filed will decrease from 5,400 to 4,400 responses
per year, which in turn will reduce the total filing fees by $300,000, from $1,620,000
to $1,320,000 per year. Therefore, this collection has a reduction of $300,000 in
filing fee costs due to an administrative adjustment.
•
The USPTO expects the total filing fees for the notices of appeal (paper) to decrease
for this renewal. The USPTO estimates that the total number of notices of appeal
filed will decrease from 900 to 300 responses per year. The USPTO estimates that
the reduced submissions will decrease the total filing fees by $60,000, from $90,000
to $30,000 per year. Therefore, this collection has a reduction of $60,000 in
filing fee costs due to an administrative adjustment.
•
The USPTO expects the total filing fees for the notices of appeal filed electronically
to increase for this renewal. The USPTO estimates that the total number of notices
of appeal filed will increase from 2,100 to 2,800 responses per year. The USPTO
estimates that this will increase the total filing fees by $70,000, from $210,000 to
$280,000 per year. Therefore, this collection has an increase of $70,000 in
filing fee costs due to an administrative adjustment.
The USPTO estimates that the total annual (non-hour) costs for this renewal will
decrease by $609,687, from $2,740,892 to $2,131,205 per year. The USPTO estimates
that $5,580 will be reduced from the burden from the removal of the recordkeeping
costs. The USPTO estimates that $85,000 will be added to the collection as a result of
administrative adjustments. However, the USPTO expects that this increase will be
offset by a reduction of $689,107, which is also due to administrative adjustments, for
an overall reduction of $604,107. Therefore, this collection has a total net burden
reduction of $609,687 in annual (non-hours) costs, with a reduction of $5,580 due
to a program change and a reduction of $604,107 due to administrative
adjustments.
16.
Project Schedule
There is no plan to publish this information for statistical use.
17.
Display of Expiration Date of OMB Approval
The forms in this information collection will display the OMB Control Number and the
OMB expiration date.
22
18.
Exception to the Certificate Statement
This collection of information does not include any exceptions to the certificate
statement.
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection of information does not employ statistical methods.
References
A.
B.
C.
D.
E.
F.
G.
H.
I.
USPTO Information Quality Guidelines
Petition to Cancel (Suggested Format)
PTO 2188 Electronic Petition to Cancel
Notice of Opposition (Suggested Format)
PTO 2120 Electronic Notice of Opposition
PTO 2153 Electronic Request for Extension of Time to File an Opposition
PTO 2151 Electronic Papers in Inter Partes Cases
PTO 2190 Electronic Notice of Appeal
PTO 2189 Electronic Miscellaneous Ex Parte Papers
23
| File Type | application/pdf |
| File Title | SF-12 SUPPORTING STATEMENT |
| Author | USPTO |
| File Modified | 2011-01-21 |
| File Created | 2011-01-21 |