Patent Trial and Appeal Board (PTAB) Actions

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
0651-0063-Supporting Statement Apr 2017 Draft.docx	Supporting Statement A	Uploaded 2017-04-27	Available
0651-0063 January 2016 Change Worksheet.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2016-01-29	Available
0651-USPTO-Info-Quality-Guidelines_01-08-2014.PDF	Supplementary Document	Uploaded 2014-02-24	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
219891	Request for oral hearing		Removed
219890	Notice of appeal		Removed
219888	For each additional invention to be examined (see 37 CFR 1.129(b))		Removed
219812	Forwarding an Appeal in an Application or Ex Parte Reexamination Proceeding to the Board		Removed
219811	Filing a brief in support of an appeal in an inter partes reexamination proceeding		Removed
219810	Filing a Brief in Support of an Appeal		Removed
210465	Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3		Modified
210464	Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3		Modified
195030	Electronic Appeal Brief		Modified
194998	Electronic Request for Rehearing Before the PTAB		Modified
194994	Electronic Reply Brief		Modified
194992	Electronic Amendment		Unchanged
194991	Amendment		Modified
186730	Request for Rehearing Before the PTAB		Modified
186708	Reply Brief		Modified
186705	Appeal Brief		Modified

ICR Details

OMB Control No: 0651-0063	ICR Reference No: 201704-0651-002
Status: Historical Active	Previous ICR Reference No: 201601-0651-023
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Trial and Appeal Board (PTAB) Actions
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/19/2017
Retrieve Notice of Action (NOA)	Date Received in OIRA: 04/27/2017
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2020	36 Months From Approved	06/30/2017
Responses	23,660	0	114,372
Time Burden (Hours)	555,098	0	2,085,561
Cost Burden (Dollars)	45,260,188	0	56,970,311

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Abstract: The Patent Trial and Appeal Board (PTAB or Board) is established by statute under 35 U.S.C. Section 6. This statute directs that PTAB "shall on written appeal of an applicant, review adverse decisions of examiners upon applications for patent and shall determine priority and patentability of invention in interferences." PTAB has the authority, under pre-AIA sections of the Patent Act, i.e. 35 U.S.C. Sections 134, 135, 306, and 315, to decide ex parte and inter partes appeals and interferences. The information in this collection can be submitted in paper or electronically. In this renewal, the USPTO is adding the Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3 into the collection, in addition to adjusting the responses, burden hours, and annual (non-hour) costs. The USPTO expects that businesses or other for-profits and non-profit institutions will mainly respond to this collection, in addition to individuals or households and the Federal Government.

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Authorizing Statute(s): US Code: 35 USC 134 and 135
   US Code: 35 USC 306
   US Code: 35 USC 6
   US Code: 35 USC 315
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 11017	02/17/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 19237	04/26/2017
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 10

table that charts list of burden

IC Title	Form No.	Form Name
Amendment
Appeal Brief
Electronic Amendment
Electronic Appeal Brief
Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Electronic Reply Brief
Electronic Request for Rehearing Before the PTAB
Filing a Brief in Support of an Appeal
Filing a brief in support of an appeal in an inter partes reexamination proceeding
For each additional invention to be examined (see 37 CFR 1.129(b))
Forwarding an Appeal in an Application or Ex Parte Reexamination Proceeding to the Board
Notice of appeal
Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Reply Brief
Request for Rehearing Before the PTAB
Request for oral hearing

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ICR Summary of Burden

table that charts list 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	23,660	114,372	0	-33,613	-57,099	0
Annual Time Burden (Hours)	555,098	2,085,561	0	-1,030,977	-499,486	0
Annual Cost Burden (Dollars)	45,260,188	56,970,311	0	45,207,652	-56,917,775	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Burden decrease is due to new agency estimates and accounting for fees on appropriate pre-existing IC lines rather than on fee only IC lines.

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Annual Cost to Federal Government: $452,951

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: 04/27/2017

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