Third-Party Submissions and Protests

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/SB/429 EFS-Web Third party submissions in nonissued applications	Form	Modified	Available
0651-0062 SupStmt Rule Jan 2012.pdf	Supporting Statement A	Uploaded 2012-01-04	Available
Information Quality Guidelines.doc	Supplementary Document	Uploaded 2009-10-15	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
200678	Paper Third-Party Submissions in Nonissued Applications		New
192905	EFS-Web Third party submissions in nonissued applications	Form	Modified
192904	Protests by the public against pending applications under 37 CFR 1.291		Unchanged

ICR Details

OMB Control No: 0651-0062	ICR Reference No: 201201-0651-001
Status: Historical Inactive	Previous ICR Reference No: 201101-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Third-Party Submissions and Protests
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 02/17/2012
	Date Received in OIRA: 01/05/2012
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Resubmit when proposed rule is finalized.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	03/31/2014	03/31/2014
Responses	1,225	0	1,225
Time Burden (Hours)	9,350	0	9,350
Cost Burden (Dollars)	35,590	0	35,590

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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. The provisions of 35 U.S.C. 122(c) and 37 CFR 1.99 and 1.291 govern the ability of a third party to have information entered and considered in, or to protest, a patent application pending before the USPTO. On September 16, 2011, the Leahy-Smith America Invents Act (AIA) was enacted into law, which provides a new mechanism for third parties to submit to the USPTO, for consideration and inclusion in the record of a patent application, patents, published patent applications, or other printed publication of potential relevance to the examination of the application. Specifically, Section 8 of the Leahy-Smith AIA amends 35 U.S.C. 122 by adding 35 U.S.C. 122(e), which enumerates certain conditions that apply to a third-party preissuance submission to the USPTO. The USPTO proposes to implement 35 U.S.C. 122(e) in a new rule 37 CFR 1.290 and to eliminate 37 CFR 1.99. Section 8 of the AIA takes effect of September 16, 2012, and applies to any patent application filed before, on, or after the effective date.

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Authorizing Statute(s): US Code: 35 USC 122(c) Name of Law: null
   US Code: 35 USC 131 Name of Law: null
   US Code: 35 USC 151 Name of Law: null
   US Code: 35 USC 122(e) Name of Law: null
   PL: Pub.L. 112 - 29 Section 8 Name of Law: Leahy-Smith America Invents Act
  

Citations for New Statutory Requirements: PL: Pub.L. 112 - 29 125 Stat. 284 Name of Law: Leahy-Smith America Invents Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC67	Proposed rulemaking	77 FR 448	01/05/2012

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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: 3

table that charts list of burden

IC Title	Form No.	Form Name
Protests by the public against pending applications under 37 CFR 1.291
Paper Third-Party Submissions in Nonissued Applications
EFS-Web Third party submissions in nonissued applications	PTO/SB/429	Third-Party Preissuance Submission Under 37 CFR 1.290

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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:

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Annual Cost to Federal Government: $14,407

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: 01/05/2012

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