Justification for Nonmaterial/Nonsubstantive Change to 0651-0031

JUSTIFICATION FOR NONMATERIAL/NONSUBSTANTIVE CHANGE
United States Patent and Trademark Office
Patent Processing (Updating)
OMB CONTROL NUMBER 0651-0031
(August 5, 2010)

Background
The United States Patent and Trademark Office (USPTO) is submitting this request to
update information collection 0651-0031 Patent Processing (Updating). The USPTO is
making two changes to Form PTOL-413A, Applicant Initiated Interview Request Form.
One change will add additional language regarding registered practitioners who are not
of record signing the form to the NOTE section. An instruction sheet will also be added
to the form.
The USPTO is required by 35 U.S.C. 131 et seq. to examine an application for patent
and, when appropriate, issue a patent. Also, the USPTO is required to publish patent
applications, with certain exceptions, promptly after the expiration of a period of
eighteen months from the earliest filing date for which a benefit is sought under Title 35,
United States Code (“eighteen-month publication”). Certain situations may arise that
require additional information to be supplied in order for the USPTO to further process
the patent or application. The USPTO administers the statutes through the various
sections of the rules in practice in 37 CFR Part 1.
During the processing of an application for a patent, the applicant or applicant’s
representative may be required or desire to submit additional information to the USPTO
concerning the examination of a specific application. The specific information required
or that may be submitted includes: information disclosure statement and citation,
examination support documents, requests for extension of time, the establishment of
small entity status, abandonment and revival of abandoned applications, disclaimers,
appeals, petitions, requests, expedited examination of design applications, transmittal
forms, requests to inspect, copy and access patent applications, publication requests,
certificates of mailing, transmittals, and submission of priority documents and
amendments.
Form PTOL-413A, Applicant Initiated Interview Request Form is used by applicants to
request an interview and to assist in the preparation of a written record of the interview.
Examiners use the information to prepare in advance for the applicant interview, to
focus on the issues in question, and to determine whether an agreement has been
reached on the matters discussed during the interview.
Summary of Changes
The USPTO is proposing to make the following changes to Form PTOL-413A:

JUSTIFICATION FOR NONMATERIAL/NONSUBSTANTIVE CHANGE TO 0651-0031
(continued)

•

The USPTO plans to add the following language to the “NOTE”: “If this form is
signed by a registered practitioner not of record, the Office will accept this as an
indication that he or she is authorized to conduct an interview on behalf of the
principal (37 CFR 1.32(a)(3)) pursuant to 37 CFR 1.34. This is not a power of
attorney to any above-named practitioner. See the Instruction Sheet for this form,
which is incorporated by reference. By signing this form, applicant or practitioner is
certifying that he or she has read the Instruction Sheet.”

•

The USPTO plans to add an instruction sheet (which as the above language says is
being incorporated by reference into the form).

•

The USPTO has increased the completion time for Form PTOL-413A from 21
minutes (0.35 hours) to 24 minutes (0.40 hours) to account for the new instruction
sheet.

Changes in Burden
The changes to Form PTOL-413A will result in the following burden changes for this
information collection:
Burden Type
Responses
Hours
Fees
Recordkeeping costs
Postage costs
Annual (non-hour) costs

Currently approved Proposed change New estimates
2,459,409
0
2,459,409
2,893,322
80
2,893,402
$146,546,770
$0
$146,546,770
$7,020
$0
$7,020
$1,039,017
$0
$1,039,017
$147,592,807
$0
$147,592,807

The USPTO estimates that 1,600 requests for an applicant initiated interview will be
submitted and that it will take the public approximately 24 minutes (0.40 hours) to
gather, prepare, and submit Form PTOL- 413A, for a total of 640 burden hours per year.
Therefore, this collection takes a net increase of 80 burden hours as a program
change.
Therefore, this collection would have the following revised total burden:
•
•
•

2,459,409 responses (no change)
2,893,402 burden hours
$147,592,807 in annual (non-hour) costs (no change)

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