Patent Trial and Appeal Board (PTAB) Actions

Forms and Documents

Document Name	Status
0651-0063-Supporting Statement Apr 2017 Draft.docx Supporting Statement A	2017-12-11
0651-0063 Nov 2017 CWS.docx Justification for No Material/Nonsubstantive Change	2017-11-09
0651-0063 January 2016 Change Worksheet.docx Justification for No Material/Nonsubstantive Change	2016-01-29
0651-USPTO-Info-Quality-Guidelines_01-08-2014.PDF Supplementary Document	2014-02-24

IC Document Collections

IC ID	Document Title	Status
210465	Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3	Unchanged
210464	Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3	Unchanged
195030	Electronic Appeal Brief	Unchanged
194998	Electronic Request for Rehearing Before the PTAB	Unchanged
194994	Electronic Reply Brief	Unchanged
194992	Electronic Amendment	Unchanged
194991	Amendment	Unchanged
186730	Request for Rehearing Before the PTAB	Unchanged
186708	Reply Brief	Unchanged
186705	Appeal Brief	Unchanged

ICR Details

OMB Control No: 0651-0063	ICR Reference No: 201712-0651-011
Status: Historical Active	Previous ICR Reference No: 201711-0651-003
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Trial and Appeal Board (PTAB) 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: 12/13/2017
	Date Received in OIRA: 12/11/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2020	06/30/2020	06/30/2020
Responses	23,660	0	23,660
Time Burden (Hours)	555,098	0	555,098
Cost Burden (Dollars)	48,516,748	0	45,260,188

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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 306 Name of Law: null
   US Code: 35 USC 6 Name of Law: null
   US Code: 35 USC 315 Name of Law: null
   US Code: 35 USC 134 and 135 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:
	Not associated with rulemaking	82 FR 52780	11/14/2017

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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

IC Title	Form No.	Form Name
Electronic Appeal Brief
Amendment
Electronic Amendment
Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Appeal Brief
Electronic Request for Rehearing Before the PTAB
Electronic Reply Brief
Reply Brief
Request for Rehearing Before the PTAB

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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	23,660	23,660	0	0	0	0
Annual Time Burden (Hours)	555,098	555,098	0	0	0	0
Annual Cost Burden (Dollars)	48,516,748	45,260,188	0	3,256,560	0	0

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: 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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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: 12/11/2017

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