Patent Trial and Appeal Board (PTAB) Appeals

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/SB/32 Notice of Appeal	Form and Instruction	New	Available
Form PTO/AIA/32 Notice of Appeal	Form and Instruction	New	Available
0651-0063-Supporting Statement 2020 final.docx	Supporting Statement A	Uploaded 2020-06-30	Available
The Manual of Patent Examining Procedure.PDF	Supplementary Document	Uploaded 2020-06-23	Available
American Inventor's Protection Act of 1999.pdf	Supplementary Document	Uploaded 2020-06-23	Available
Leahy-Smith America Invents Act (AIA), Public Law 112–29 § 32 (2011).pdf	Supplementary Document	Uploaded 2020-06-23	Available
Information Quality Guidelines _ USPTO.pdf	Supplementary Document	Uploaded 2020-06-12	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
242213	Notice of Appeal	Form and Instruction	New
242197	Notice of Appeal	Form and Instruction	New
210465	Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3		Removed
210464	Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3		Removed
195030	Electronic Appeal Brief		Removed
194998	Electronic Request for Rehearing Before the PTAB		Removed
194994	Electronic Reply Brief		Removed
194992	Electronic Amendment		Removed
194991	Amendment		Removed
186730	Request for Rehearing Before the PTAB		Removed
186708	Reply Brief		Removed
186705	Appeal Brief		Removed

ICR Details

OMB Control No: 0651-0063	ICR Reference No: 202006-0651-001
Status: Active	Previous ICR Reference No: 201910-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Trial and Appeal Board (PTAB) Appeals
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: 09/16/2020
	Date Received in OIRA: 06/30/2020
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2023	36 Months From Approved	09/30/2020
Responses	48,886	0	23,660
Time Burden (Hours)	565,927	0	555,098
Cost Burden (Dollars)	48,712,078	0	53,402,663

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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 information 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 information 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 information collection, in addition to individuals or households.

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Authorizing Statute(s): US Code: 35 USC 6 Name of Law: American Inventor Protection Act
   US Code: 35 USC 134 and 135 Name of Law: America Invents Act
  

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:
	85 FR 21838	04/20/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 39168	06/30/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

IC Title	Form No.	Form Name
Electronic Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Notice of Appeal	PTO/AIA/32, PTO/SB/32, PTO/SB/31, PTO/AIA/31	Request for Oral Hearing Before the Patent Trial and Appeal Board ,   Request for Oral Hearing Before the Patent Trial and Appeal Board ,   Notice of Appeal from the Examiner to the Patent Trial and Appeal Board ,   Notice of Appeal from the Examiner to the Patent Trial and Appeal Board
Electronic Amendment
Electronic Reply Brief
Electronic Request for Rehearing Before the PTAB
Electronic Appeal Brief
Appeal Brief
Request for Rehearing Before the PTAB
Amendment
Petitions to the Chief Administrative Patent Judge Under 37 CFR 41.3
Notice of Appeal	PTO/AIA/31, PTO/AIA/32, PTO/SB/32, PTO/SB/31	Request for Oral Hearing Before the Patent Trial and Appeal Board ,   Notice of Appeal from the Examiner to the Patent Trial and Appeal Board ,   Notice of Appeal from the Examiner to the Patent Trial and Appeal Board ,   Request for Oral Hearing Before the Patent Trial and Appeal Board
Reply Brief

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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	48,886	23,660	0	24,988	238	0
Annual Time Burden (Hours)	565,927	555,098	0	14,856	-4,027	0
Annual Cost Burden (Dollars)	48,712,078	53,402,663	0	16,899,450	-21,590,035	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: No

Burden Reduction Due to:

Short Statement: This renewal adds three items currently approved in another information collection (0651– 0031: Patent Processing) to include all items related to patent appeals in a single information collection. These three items are: Notice of Appeal, Amendment to Cancel Claims During an Appeal, and Request for Oral Hearing. A separate change request will be submitted to remove these three items from that information collection (0651– 0031: Patent Processing). This addition results in the estimated respondents numbers, responses and hourly burdens. At the same time decreases in the estimated number of responses for items already in the information collection slightly decreased; slightly offsetting the incoming increases.

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Annual Cost to Federal Government: $655,649

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? No

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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: 06/30/2020

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