Board of Patent Appeals and Interferences (BPAI) Actions

Forms and Documents

Document Name	Status
0651-0063 CWS Nov 30 2011.pdf Justification for No Material/Nonsubstantive Change	2011-11-30
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2010-10-28

IC Document Collections

IC ID	Document Title	Status
195030	Appeal Brief (EFS-Web)	Modified
194998	Request for Rehearing Before the BPAI (EFS-Web)	Unchanged
194994	Reply Brief (EFS-Web)	Unchanged
194992	Amendment (EFS-Web)	Unchanged
194991	Amendment	Unchanged
186730	Request for Rehearing Before the BPAI	Unchanged
186708	Reply Brief	Unchanged
186705	Appeal Brief	Modified

ICR Details

OMB Control No: 0651-0063	ICR Reference No: 201111-0651-007
Status: Historical Active	Previous ICR Reference No: 201111-0651-005
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Board of Patent Appeals and Interferences (BPAI) Actions
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: 12/06/2011
	Date Received in OIRA: 12/01/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	01/31/2014	01/31/2014	01/31/2014
Responses	35,044	0	35,044
Time Burden (Hours)	896,426	0	869,685
Cost Burden (Dollars)	14,966,431	0	13,041,071

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Abstract: The Board of Patent and Appeals (BPAI) has the authority under 35 U.S.C. Sections 134 and 306 to review ex parte appeals. This information collection was approved by OMB on December 22, 2009 and was limited to the current rule. Since then, the USPTO proposed rulemaking changes that impacted the collection through a NPRM entitled, "Rules of Practice Before the Board of Patent Appeals and Interferences in Ex Parte Appeals" (RIN 0651-AC37). The USPTO submitted an Information Collection Request (ICR) associated with this proposed rule, which was pre-approved on January 4, 2011. The Notice of Final Rulemaking for RIN 0651-AC37 was published on November 22, 2011 and the pre-approval was activated. There are three non-substantive changes to the collection made between the proposed rule stage and the final rule stage. The USPTO is requesting this interim change to update the inventory with those changes, which includes an updated burden estimate for the appeal briefs, an updated hourly attorney rate, and updated filing fees to account for the new 15% surcharge imposed by the Leahy-Smith America Invents Act.

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Authorizing Statute(s): US Code: 35 USC 134 Name of Law: null
   PL: Pub.L. 112 - 29 11(i) Name of Law: Leahy-Smith America Invents Act
   US Code: 35 USC 306 Name of Law: null
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC37	Final or interim final rulemaking	76 FR 72270	11/22/2011

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 8

IC Title	Form No.	Form Name
Appeal Brief
Appeal Brief (EFS-Web)
Request for Rehearing Before the BPAI (EFS-Web)
Reply Brief (EFS-Web)
Reply Brief
Request for Rehearing Before the BPAI
Amendment
Amendment (EFS-Web)

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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	35,044	35,044	0	0	0	0
Annual Time Burden (Hours)	896,426	869,685	0	26,741	0	0
Annual Cost Burden (Dollars)	14,966,431	13,041,071	1,925,360	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increases in the burden hours and the annual (non-hour) costs for this collection are due to program changes. The increases in the burden hours are due to a Notice of Final Rulemaking, "Rules of Practice Before the Board of Patent Appeals and Interferences in Ex Parte Appeals." The increases in the annual (non-hour) costs are due to the Leahy-Smith America Invents Act, which imposes a 15% surcharge on the filing fees.

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Annual Cost to Federal Government: $682,899

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

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Common Form ICR:  No

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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: 12/01/2011

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