0651-0012 SupStmt RA Aug 2011

SUPPORTING STATEMENT
United States Patent and Trademark Office
Proposed Addition to
Admittance to Practice and Roster of Registered Patent
Attorneys and Agents Admitted to Practice Before the
United States Patent and Trademark Office (USPTO)
(Proposed Addition – Request for Reasonable Accommodation)
OMB CONTROL NUMBER 0651-0012
(August 5, 2011)

A.

JUSTIFICATION

1.

Necessity of Information Collection

35 U.S.C. § 2(b)(2)(D) permits the United States Patent and Trademark Office (USPTO)
to establish regulations governing the recognition and conduct of agents, attorneys, or
other persons representing applicants or other parties before the USPTO. This statute
also permits the USPTO to require information from applicants that shows that they are
of good moral character and reputation and have the necessary technical and legal
qualifications to assist applicants with the patent process and to represent them before
the USPTO.
The USPTO administers the statute through 37 CFR 1.21 and 11.5-11.15. These rules
address the requirements to apply for the examination for registration and to
demonstrate eligibility to be a registered attorney or agent before the USPTO. The
Office of Enrollment and Discipline (OED) collects information to determine the
qualifications of individuals entitled to represent applicants before the USPTO in the
preparation and prosecution of applications for a patent.
The USPTO is introducing a new form, Request for Reasonable Accommodation, to
facilitate an applicant’s request for reasonable accommodation when they apply for the
examination for registration to practice before the USPTO. This information is currently
collected without a form as part of the approved item, Application for Registration to
Practice Before the United States Patent and Trademark Office (PTO Form 158).
Applicants currently check Box 1a and then provide the necessary supporting
documentation as an attachment (see the form with instructions and details on page 18
at http://www.uspto.gov/ip/boards/oed/grb.pdf). This new form will assist applicants in
providing the USPTO with the correct and necessary supporting documentation through
a standardized format.
To the extent possible, the applicant must provide detailed responses to the questions
in the Applicant’s Statement. The applicant must also provide a completed Licensed
Health Care Professional’s Statement and/or other acceptable evidence to support the
claim.

An applicant who received a reasonable accommodation(s) for a prior registration
examination must submit a new Applicant’s Statement with each new Application for
Registration (PTO Form 158). Depending on the type of impairment from which the
applicant suffers, the applicant has the option of submitting a new Licensed Health Care
Professional’s Statement as well. In deciding whether to submit a new Licensed Health
Care Professional’s Statement, the applicant is advised to consider that the Agency’s
determination of both whether to grant an accommodation and what accommodation(s)
is appropriate is based on an assessment of the current impact of the applicant’s
disability on the testing activity. For example, if the applicant suffers from an
impairment that is temporary or changes over time, it may not be possible for the
Agency to assess whether an accommodation should be granted if the Licensed Health
Care Professional’s Statement is not current. For chronic or long-term conditions, a
new Licensed Health Care Professional’s Statement may not be necessary.
Table 1 identifies the proposed statutory and regulatory provisions that authorize the
USPTO to collect this information:
Table 1: Information Requirements for Attorneys and Agents Registered to Practice Before the USPTO
Requirement
Request for Reasonable Accommodation

2.

Statute

Rule

35 U.S.C. § 2(b)(2)(D)

37 CFR 11.7

Needs and Uses

An applicant should provide detailed responses to the questions in the Applicant’s
Statement. An applicant may use additional paper, if necessary, to answer the
questions. The applicant must also provide a completed Licensed Health Care
Professional’s Statement and/or other acceptable medical evidence to support the
claim. The completed package should be submitted to the United States Patent and
Trademark Office’s Office of Enrollment and Discipline with the completed Application
Form 158. A Request for Reasonable Accommodation submitted separately from the
Application Form 158 should be addressed to Mail Stop OED, Director of the U.S.
Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450. For
additional guidance, the Office of Enrollment and Discipline may be contacted at 571272-4097.
The additional information in this collection is used by the Director of OED to determine
whether to grant a reasonable accommodation request for the registration examination.
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., OMB and specific
operating unit guidelines.

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This proposed collection of information would result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO
Information Quality Guidelines.
Table 2 outlines how this information is used by the public and by the USPTO.
Table 2: Needs and Uses of Information Collected from Registering Attorneys and Agents
Form and Function
Request for Reasonable Accommodation
(Ref. A)

Form #

Needs and Uses

Form PTO-158RA

•
•

3.

Used by applicants to request reasonable
accommodation(s).
Used by the USPTO to determine whether the applicant
meets all of the necessary requirements for reasonable
accommodation(s).

Use of Information Technology

In the future, the USPTO anticipates making form PTO-158RA available as a fillable
form.
At the present time, the USPTO does provide the option of fillable forms for the
Application Form (PTO-158) and the Undertaking Form (PTO-275). This means that
the respondent may type directly into the form on the computer. After typing the
information into the form, the form will have to be printed locally, signed, and then
submitted to the USPTO in accordance with the instructions in the General
Requirements Bulletin.
4.

Efforts to Identify Duplication

This information is collected only when an applicant requests reasonable
accommodation to take the registration examination. This information is not available
elsewhere. Therefore, this collection does not create a duplication of effort or collection
of data.
5.

Minimizing the Burden to Small Entities

This collection of information does not impose a significant economic impact on small
entities or small businesses.
6.

Consequences of Less Frequent Collection

This information is collected only at the time of filing for recognition to practice before
the USPTO. It could not be conducted less frequently. If the collection of information
were not conducted, the USPTO may not be able to properly assess requests for
reasonable accommodation.

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7.

Special Circumstances in the Conduct of Information Collection

In certain cases the agency requests, but does not require, respondents to prepare a
written response in fewer than 30 days. When there is a submission of a completed
Licensed Health Care Professional’s Statement, the USPTO requests that the
statement be returned within two weeks to ensure timely processing of the
accommodation request.
8.

Consultation Outside the Agency

The 60-Day Notice was published in the Federal Register on May 31, 2011 (76 Fed
Reg. 31306). The comment period ended on August 1, 2011. No public comments
were received.
The USPTO has long-standing relationships with groups from whom patent application
data is collected, such as the American Intellectual Property Law Association (AIPLA),
as well as patent bar associations, inventor groups, and users of our public facilities.
Their views are expressed in regularly scheduled meetings and considered in
developing proposals for information collection requirements. There have been no
comments or concerns expressed by these or similar organizations concerning the time
required to provide the information under this program.
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 be recognized by the USPTO as
a registered attorney or agent.
10.

Assurance of Confidentiality

This collection contains information of a confidential (personal) nature, which is subject
to the Privacy Act. A Systems of Records Notice was published in the Federal Register
on November 16, 2005 (70 Fed Reg. 69520). Administrative controls, such as storage
of records in lockable metal file cabinets or in metal file cabinets in secured rooms or
premises, or electronic files stored in secure premises with access limited to those
whose official duties require access, are used to safeguard this information as
appropriate.
11.

Justification for Sensitive Questions

The USPTO does not request information of a sensitive nature on Form PTO-158RA
Request for Reasonable Accommodation.

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12.

Estimate of Hour and Cost Burden to Respondents

Table 3 calculates the anticipated burden hours and costs of this information collection
to the public, based on the following factors:
•

Respondent Calculation Factors
The USPTO estimates that it receives approximately 40 responses annually.

•

Burden Hour Calculation Factors
The USPTO estimates that it will take the public approximately 1.5 hours, depending
upon the complexity of the situation, to gather the necessary information, prepare the
appropriate form or documents, and submit the information to the USPTO.

•

Cost Burden Calculation Factors
The USPTO estimates that the information in this collection will primarily be supplied by
professionals, at the hourly rate of $325. This is the hourly (median) rate for attorneys in
private firms as published in the 2009 report of the Committee on Economics of Legal
Practice of the American Intellectual Property Law Association (AIPLA). This report
summarizes the results of a survey with data on hourly billing rates.

Table 3: Burden Hour/Burden Cost to Respondents
Item

Request for Reasonable Accommodation
Form PTO-158RA
Total

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

1.50

40

60

- - - - -

40

60

Rate
($/hr)
(d)

$325.00

- - - -

Total Cost
($/hr)
(e)
(c) x (d)
$19,500.00

$19,500.00

Current inventory responses = 93,340
Current inventory burden hours = 98,028
Current inventory respondent burden hours = $23,010,260
Proposed addition impact on responses = increase of 40
Proposed addition impact on burden hours = increase of 60
Proposed addition impact on respondent burden hour costs = increase of $19,500
Estimated responses after proposed addition = 93,380
Estimated burden hours after proposed addition = 98,088
Estimated respondent burden hour costs after proposed addition = $23,029,760
13.

Total Annualized (Non-hour) Cost Burden

There are no capital start-up or maintenance costs or filing fees associated with this
information collection. However, this collection does have (non-hour) costs due to
mailing costs.

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There are mailing costs from postage fees for the Requests for Reasonable
Accommodation. The actions of the OED will be based exclusively on the written record
in the USPTO (37 CFR 1.2). All documents may be submitted to the USPTO by firstclass mail through the United States Postal Service. All correspondence may include a
certificate of mailing for each piece of correspondence enclosed, stating the date of
deposit or transmission to the USPTO.
Although the Requests for Reasonable Accommodation are submitted to the USPTO
along with the Application for Registration to Practice Before the USPTO, they are
additional pages of information and will require additional postage. These documents
may be submitted to the USPTO by first-class mail through the United States Postal
Service. The USPTO estimates the submission will weigh 3 ounces and that the
average first-class postage is 78 cents. Therefore, the USPTO estimates that it will
receive 40 responses per year, for a total of $31 (40 x $0.78) in postage costs.
Therefore, the USPTO estimates that the Requests for Reasonable Accommodation will
add $31 in mailing costs to the total annualized (non-hour) cost burden for this
collection.
Current recordkeeping costs = $126,590
Current filing fee costs = $5,561,840
Current mailing costs = $21,713
Current total annual (non-hour) costs = $5,710,143
Proposed addition impact on recordkeeping costs = $0
Proposed addition impact on filing fee costs = $0
Proposed addition impact on mailing costs = increase of $31
Proposed addition impact on total annual (non-hour) costs = increase of $31
Estimated recordkeeping costs after proposed addition = $126,590
Estimated filing fee costs after proposed addition = $5,561,840
Estimated mailing costs after proposed addition = $21,744
Estimated total annual (non-hour) costs after proposed addition = $5,710,174
14.

Annual Cost to the Federal Government

The USPTO estimates that it takes a GS- 15, step 8, 1 hour to process the information
in this collection. The hourly rate for a GS-15, step 8, is currently $73.14. When 30% is
added to account for a fully loaded hourly rate (benefits and overhead), the hourly rate
is $95.08 ($73.14 + $21.94).
Table 6 calculates the processing hours and costs of this information collection to the
Federal Government:

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Table 6: Burden Hour/Burden Cost to the Federal Government
Item

Hours
(a)

Request for Reasonable Accommodation
Form PTO-158RA
Total

Responses
(yr)
(b)

1.0

- - - - -

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

40

40

$95.08

$3,803.00

40

40

- - - - -

$3,803.00

Therefore, the USPTO estimates that the total costs to the USPTO for processing the
information in this collection after the proposed addition will be $7,033,404.
15.

Reason for Change in Burden

Summary of Changes Since the Previous Renewal
The OMB approved this information collection on June 28, 2010 with 93,340 responses,
98,028 burden hours, and $5,710,143 in annualized (non-hour) costs.
The USPTO proposes adding a new form, PTO-158RA Request for Reasonable
Accommodation, into the collection to facilitate an applicant’s request for reasonable
accommodation when they apply for the examination for registration to practice before
the USPTO. As a result, the USPTO estimates that the total burden and annualized
(non-hour) costs for this collection will be 93,380 responses, 98,088 burden hours, and
$5,710,174 in annualized costs, which is an increase of 40 responses, 60 burden hours,
and $31 in annualized (non-hour) costs. These increases are due to a program change.
Changes in Respondent Cost Burden
This collection was previously approved with an estimated respondent cost burden of
$23,010,260 per year. The proposed addition of the requests for reasonable
accommodation into the collection will add an estimated $19,500 in respondent cost
burden to the collection. Therefore, the USPTO estimates that the total respondent cost
burden for the collection will be $23,029,760.
Changes in Responses and Burden Hours
Currently, this information collection has 93,340 responses and 98,028 burden hours.
The USPTO estimates that it will take applicants 1 hour and 30 minutes to complete the
new requests for reasonable accommodation, and that 40 requests will be submitted
per year, for a total of 60 hours. With this proposed addition, the USPTO estimates that
this collection will have 93,380 responses and 98,088 burden hours. Therefore, this
collection takes a burden increase of 60 hours as a program change.

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Changes in Annual (non-hour) Costs
Currently, this information collection has $5,710,143 in annualized (non-hour) costs,
with $21,713 in mailing costs. The USPTO expects the addition of the requests for
reasonable accommodation to increase the mailing costs for the collection. The
USPTO estimates that 40 requests will be mailed to the USPTO, at a first-class postage
rate of 78 cents, for a total postage cost of $31. With the addition of this new form, the
USPTO estimates that this collection will have $21,744 in mailing costs, for a total
annualized (non-hour) cost of $5,710,174. Therefore, this collection takes an
increase of $31 in mailing costs as a program change.
16.

Project Schedule

There is no plan to publish this information for statistical use.
17.

Display of Expiration Date of OMB Approval

The new form will display the OMB Control Number and expiration date.
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.

Form PTO-158RA Request for Reasonable Accommodation

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