Supporting Statement A

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SUPPORTING STATEMENT
United States Patent and Trademark Office
Trademark Trial and Appeal Board (TTAB) Actions
OMB CONTROL NUMBER 0651-0040
2026


A.	JUSTIFICATION

    1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

This information is collected in view of the provisions of the Trademark Act of 1946, Sections 13, 14, and 20, 15 U.S.C.1063, 1064, and 1070. Under the Trademark Act, any individual or entity that adopts a trademark or service mark to identify its goods or services may apply to federally register its mark. The mark will remain on the register for ten years and is renewable in ten-year increments. Section 13 of the Trademark Act allows individuals and entities who believe that they would be damaged by the registration of a mark to file an extension of time to file an opposition, and to file an opposition, to the registration of a mark. Section 14 of the Trademark Act allows individuals and entities to file a petition to cancel a registration of a mark.  Section 20 of the Trademark Act allows individuals and entities to appeal any final decision of the examiner in charge of the registration of marks or a final decision by an examiner in an ex parte expungement proceeding or ex parte reexamination proceeding.  

The United States Patent and Trademark Office (USPTO) administers, under the Trademark Act pursuant to 37 CFR Part 2, the various rules that govern the filing of petitions to cancel the registration of a mark, notices of opposition to the registration of a mark, extensions of time to file an opposition, appeals, and other submissions filed in connection with inter partes and ex parte proceedings. These petitions, notices, extensions, and additional submissions are filed with the Trademark Trial and Appeal Board (TTAB).  The TTAB is an administrative tribunal empowered to determine whether a trademark should be registered in an ex parte appeal, or, if registered, should continue to be registered in an inter partes case.  A panel of three judges typically decides each case when it is ready for final decision on the merits.  The TTAB follows the Federal Rules of Civil Procedure when applicable, and the “Trademark Rules” set forth in 37 CFR Part 2. 

The USPTO also receives submissions made under the Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks (“Madrid Protocol”), an international agreement governing trademark protection.  Under the Madrid Protocol, a plaintiff can file an opposition to an extension of protection under the Madrid Protocol, as well as a request for an extension of time to oppose an extension of protection.  Oppositions and extensions filed under the Madrid Protocol must be filed electronically through the TTAB’s electronic filing system.

Table 1 lists the statutes and regulations under which the USPTO collects information pertaining to the provisions discussed above:

Table 1: Information Requirements

Item No.

Requirement
Statute
Regulation

1

Petition to Cancel
15 U.S.C. 1064
37 CFR 2.111 - 2.115

2

Notice of Opposition
15 U.S.C. 1063
37 CFR 2.101 - 2.107

3

Request for Extension of Time to File an Opposition
15 U.S.C. 1063
37 CFR 2.102
4

Submissions in Inter Parte Cases
    • Answers
    • Amendments to Pleadings
    • Amending of Application to Registration during Proceedings
    • Motions (such as consent motions, motions to extend, motions to suspend, etc.)
    • Evidence
    • Briefs
    • Surrender of Registration
    • Abandonment of Application
    • Documents Related to Concurrent Use Applications
    • Notice of Intent to Appeal a TTAB Decision

15 U.S.C. 1063 and 1064, 
37 CFR 2.116 –2.129, 2.132-2.135

5

Notice of Appeal 
15 U.S.C. 1063 and 1064, and 15 U.S.C. 1071
37 CFR 2.141-2.142, 2.145
6

Ex Parte Appeal General Filing including:
    • Briefs
    • Oral hearing requests
    • Requests (such as requests to extend, requests to suspend, etc.)
    • Surrender of Registration
    • Abandonment of Application

15 U.S.C. 1063 and 1064, and 15 U.S.C. 1071
37 CFR 2.141-2.142, 2.145

    2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection. 

Information must be submitted electronically through the TTAB’s electronic filing system when a party files a petition to cancel a trademark registration, an opposition to the registration of a trademark, a request to extend the time to file an opposition, a notice of appeal, or additional submissions for inter partes and ex parte proceedings with the USPTO. Submissions filed in paper form via mail or hand delivery are permitted only when Electronic System for Trademark Trial and Appeals (ESTTA) is unavailable due to technical problems, or when extraordinary circumstances are present. 

Electronic submissions to the TTAB are possible through the TTAB’s electronic filing system, accessible through the USPTO’s web site. The filer can access step-by-step instructions and help screens for assistance. The system prompts the filer to validate required fields and sign the submission before transmission to the TTAB.

The information collected, maintained, and used in this collection is based on OMB and USPTO guidelines. This includes the basic information quality standards established in the Paperwork Reduction Act (44 U.S.C. Chapter 35), in OMB Circular A-130, and in the USPTO Information Quality Guidelines.

Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2:  Needs and Uses
IC No.
Form/ Function
Form No.
Needs and Uses
1
Petition to Cancel
PTO-2188
    • Used by the public to request the cancellation of a trademark registration in whole or in part.
    • Used by the public to submit the required fee.
    • Used by the USPTO to institute a cancellation proceeding and to notify the registrant of the grounds for cancellation
2
Notice of Opposition
PTO-2120
    • Used by the public to oppose registration of a pending trademark application within 30 days after the publication of the application being opposed or within an extension of time for filing an opposition.
    • Used by the public to submit a required fee.
    • Used by the USPTO to process an opposition to the registration of a mark.
3
Request for Extension of Time to File an Opposition
PTO-2153
    • Used by the public to request additional time to file an opposition to a trademark registration prior to the expiration of the 30-day period.
    • Used by the public to submit a required fee.
    • Used by the USPTO to extend the time for filing an opposition an additional 30 days, and to grant further extensions in accordance with TTAB rules.
    • Used by the USPTO to notify the applicant of each extension of time for filing an opposition.
4

Submissions in Inter Parte Cases
    • Answers
    • Amendments to Pleadings
    • Amending of Application to Registration during Proceedings
    • Motions (such as consent motions, motions to extend, motions to suspend, etc.)
    • Evidence
    • Briefs
    • Surrender of Registration
    • Abandonment of Application
    • Documents Related to Concurrent Use Applications
    • Notice of Intent to Appeal a TTAB Decision


PTO-2151


    • Used by the public to submit filings, such as motions and briefs.
    • Used by the USPTO to process inter partes cases.
    • Used by the USPTO as a suspense copy for appeals of TTAB decisions filed with a federal court.
 
5
Notice of Appeal
PTO-2190

    • Used by the public to appeal a final decision of the Trademark Examining Attorney refusing registration of a trademark within six months of the mailing date of the final refusal to register the mark.
    • Used by the public to submit a required fee.
    • Used by the USPTO to institute and process an appeal.
6
Ex Parte Appeal General Filing including:
    • Briefs
    • Oral hearing requests
    • Requests (such as requests to extend, requests to suspend, etc.)
    • Surrender of Registration
    • Abandonment of Application
PTO-2189
    • Used by the public to appeal a final decision of the Trademark Examining Attorney refusing registration of a trademark within six months of the mailing date of the final refusal to register the mark.
    • Used by the public to submit a required fee.
    • Used by the USPTO to institute and process an appeal.
    • Used by the public to submit filings in ex parte appeal cases.
    • Used by the USPTO to process ex parte cases.

    3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

Information must be submitted through the TTAB’s electronic filing system when a party files a petition to cancel a trademark registration, an opposition to the registration of a trademark, a request to extend the time to file an opposition, a notice of appeal, or additional submissions for inter partes and ex parte proceedings with the USPTO.  Submissions filed in paper form via mail or hand delivery are permitted only when ESTTA is unavailable due to technical problems, or when extraordinary circumstances are present. 

Electronic submissions to the TTAB are possible through the TTAB’s electronic filing system, accessible through the USPTO’s website. The filer can access step-by-step instructions and help screens for assistance. The system prompts the filer to validate required fields and sign the submission before transmission to the TTAB.

TTAB disseminates information collected through the filing of notices of opposition, extensions of time to oppose, petitions to cancel, and other submissions through the TTAB’s electronic filing system. This system, which provides online images of documents within the TTAB record for a proceeding, can be accessed through the USPTO’s website.  The system allows users to view the record of a TTAB proceeding created through Internet filings or papers which have been scanned into the system. Additionally, the system allows users to print and enlarge documents. TTAB decisions from 1996 to the present are available to the general public through the TTAB’s home page accessible on the USPTO website.

Once received by the USPTO, the submission is assigned an ESTTA tracking number.  Submissions are time-stamped in Eastern Time with the date the USPTO receives the submission. If a fee is required, the time-stamp, in Eastern Time, is applied when the payment process has been completed. The filing system will then display a receipt. The official filing date and time of the submission will be displayed on the confirmation web screen and in confirmation by e-mail confirmation sent to the e-mail address provided by the filer or in the proceeding record.  

The information submitted through TTAB’s electronic filing system moves directly into the TTAB’s electronic workflow system. This system processes incoming and outgoing documents electronically and permits staff to prepare correspondence, track cases, generate reports for TTAB managers, and monitor proceedings in an effective, secure, and timely manner. Information regarding TTAB proceedings is available to TTAB employees through the USPTO’s internal computer system and to the general public over the Internet. TTAB employees can add electronic notations to proceeding files.

TTABVUE allows the general public to retrieve information concerning TTAB proceedings from the TTAB’s internal databases through the Internet. The general public can search, view, and print specific information. Information about a proceeding can be retrieved through a proceeding number, the plaintiff’s or defendant’s name, the trademark, any words within an index, the application serial number, or the registration serial number.

The revised edition of the Trademark Trial and Appeal Board’s Manual of Procedure (TBMP) is available through the USPTO’s website.2 The TBMP sets forth current TTAB practice and legal precedent, trademark rules, relevant statutory provisions, and procedures for telephone conferences and final hearings, including video conferencing.  The TBMP addresses electronic filing, access to the TTAB’s electronic database through the Internet, and offers examples of formatting for certain TTAB filings. TTAB decisions from 1996 to date are available to the general public through the TTAB’s home page accessible on the USPTO website.

    4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.

Every effort has been made to identify and eliminate duplication of information being collected. The TTAB’s information collection provides the initial information required to give notice of opposition to the registration of a mark, to request additional time to file an opposition to the registration of a mark, to initiate the cancellation of a trademark registration, and to make filings in connection with litigating an inter partes proceeding or prosecuting an ex parte appeal. This information is not collected elsewhere within the USPTO. Where possible, the TTAB’s electronic filing system retrieves existing data and completes fields within forms to eliminate the need for the filer to provide data already in the TTAB database. 

    5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden. 

The information collected is the minimum needed to execute the transaction and to ensure that the recording of the assignment is complete. This collection of information does not impose a significant economic impact or put an unnecessary burden on small entities or small businesses. The same information is required of every filer and is not available from any other source.

Registrations, oppositions, cancellations, and appeals are voluntary activities on the part of the public. The USPTO expects that the submission of the information places no undue burden on small businesses or other small entities.  

    6. Describe the consequence to federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden. 

This information is collected only when voluntarily submitted by the public. This information collection could not be conducted less frequently. If the collection of information was not conducted, the USPTO could not comply with the requirements of 15 U.S.C. 1063, 1064, and 1070, and 37 CFR 2.101-102, 2.104, 2.111–2.112, and 2.141 to 2.142. 

Failure to collect this information would prevent filers from exercising their right to oppose the registration of a mark, request an extension of time to oppose the registration of a mark, to petition to cancel a federally registered trademark, to appeal a final decision of the Trademark Examining Attorney in charge of the requested registration of a mark, and to make submissions needed to further litigate an inter partes proceeding or prosecute an ex parte appeal.

    7. Explain any special circumstances that would cause an information collection to be conducted in a manner: 
· 	requiring respondents to report information to the agency more often than quarterly; 
· 	requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it; 
· 	requiring respondents to submit more than an original and two copies of any document; 
· 	requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years; 
· 	in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study; 
· 	requiring the use of a statistical data classification that has not been reviewed and approved by OMB; · that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or 
· 	requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law. 

There are no special circumstances associated with this collection of information.

    8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained. 

The USPTO published a 60-Day Notice in the Federal Register on June 10, 2026 ( FR 35181).3 The comment period ended on August 10, 2026. The USPTO received no substantive public comments in response to the notice.

The USPTO published a 30-Day Notice in the Federal Register on September 25, 2026 (91 FRN 60938).4 The comment period will close on October 26, 2026.  

The USPTO has long-standing relationships with groups who frequently communicate their views on information collections, including the American Bar Association (ABA), American Intellectual Property Law Association (AIPLA), and International Trademark Association (INTA), as well as business groups, inventor associations, and users of our public facilities. Their views are expressed in regularly scheduled meetings and considered in developing proposals for information collection requirements. There have been no comments or concerns expressed by these or similar organizations concerning the time to provide the information required under this program.

    9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

This information collection does not involve a payment or gift to any respondent. 

    10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here. 

Trademark applications and registrations are open to public inspection. Confidentiality is not required in processing this information. The case files for oppositions, extensions of time to oppose a registration, petitions to cancel a trademark registration, and appeals are open to the public for review and do not require confidentiality except for certain documents filed by parties in inter partes proceedings under a claim of confidentiality, which are not available for public review. Papers with confidential business information may be filed electronically, under separate cover, as specified in 37 CFR 2.126(c), and a copy of the submission for public viewing with the confidential portions redacted must be submitted concurrently. The TTAB has a standard order allowing for the submission of confidential material, but parties are free to agree to alternative arrangements.

System of Record Notices (SORN)

This information collection contains information which is subject to the Privacy Act. This information is collected in connection with the registration of trademarks, service marks, collective trademarks and service marks, collective membership marks, and certification marks. Individuals and entities that use, or intend to use such marks in commerce may file an application to register their marks with the USPTO. Trademark Application information collection activities are covered under the Statement of Records Notice (SORN) COMMERCE/USPTO-26 Trademark Application and Registration Records; published on February 18, 2020 (85 FR 8847).5 This SORN identifies the categories of records in the system containing applicants for trademark, includes the name, citizenship, domicile, email address, postal address, and telephone number of the trademark applicant, registrant, and applicant’s or registrant’s legal or other authorized representative(s), an attorney’s law firm or company affiliation and professional licensing information, and other information pertaining to an applicant’s or registrant’s activities in connection with the applied-for or registered mark. Records in this system include trademark applications, applicant and registrant declarations, office actions, registration certificates, and correspondence generated in the course of the prosecution of a trademark application or maintenance of a trademark registration.

Privacy Impact Assessment
 
The applicable Privacy Impact Assessment (PIA) for Trademark Trial and Appeal Board is the Trademark Trial and Appeal Board - Center (TTAB-C) and Trademark Trial and Appeal Board Reading Room (TTABRR) (September 10, 2025).6
 
TTAB-C public customers can complete and submit trademark forms electronically via a web interface. The submissions are transferred to the TTAB group for normal intake processing and all proceedings are brought before the board. The board can generate actions, track the status of proceedings, record data, and issue reports. 

    11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent. 

None of the required information in this collection is considered to be sensitive.

    12. Provide estimates of the hour burden of the collection of information. The statement should: 
    • Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices. 
    • If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens. 
    • Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under ‘Annual Cost to Federal Government’. 
    • Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. 

Table 3 calculates the burden hours and costs of this information collection to the public, based on the following factors:

    • Respondent Calculation Factors
The USPTO estimates that this information collection will receive approximately 41,300 responses per year, with approximately 5% (2,065) submitted by small entity respondents. The USPTO further estimates that it will receive approximately 76,000 responses per year for this information collection.

These estimates are based on the agency’s long-standing institutional knowledge of, and experience with, the type of information collected by these items. 

    • Burden Hour Calculation Factors
The USPTO estimates that it takes the public approximately 10 minutes (0.17 hours) to 21 hours, depending on the complexity of the situation and item, to gather the necessary information, prepare the appropriate document(s), and submit the item to the USPTO. Using these burden factors, the USPTO estimates the total respondent hourly burden for this information collection is 1,016,891 hours per year. 

    • Cost Burden Calculation Factors
The USPTO estimates that it will take a 50/50 level of effort by attorneys and paraprofessionals/paralegals to complete the requirements in this information collection. The USPTO uses a professional rate of $550 per hour for attorneys, which is the median rate for intellectual property attorneys in private firms as shown in the 2025 Report of the Economic Survey published by the American Intellectual Property Law Association (AIPLA). The hourly rate for paraprofessional/paralegals is $134, as shown in the 2024 National Utilization and Compensation Survey published by the National Association of Legal Assistants (NALA). Therefore, the average of the attorney rate ($550) and the paraprofessional/paralegal rate ($134) is $342.

Using these hourly rates, the USPTO estimates that the total respondent cost burden for this information collection is $347,776,722 per year.

Table 3: Total Burden Hours and Hourly Costs to Private Sector Respondents 
Item No.
Item
Estimated Annual Respondents


(a)
Responses per Respondent


(b)
Estimated Annual Responses


(a) x (b) = (c)
Estimated Time for Response (Hours)

(d)
Estimated Burden
(hour/year)


(c) x (d) = (e) 
Rate7
($/hour)



(f)
Estimated Annual Respondent Cost Burden

(e) x (f) = (g)
1
Petition to Cancel 

PTO-2188
2,600
1
2,600
18
46,800
$342 
$16,005,600
2
Notice of Opposition 

PTO-2120
6,900
1
6,900
18
124,200
$342
$42,476,400 
3
Request for Extension of Time to File an Opposition 

PTO-2153
9,350
2
18,700
0.17 
(10 minutes)
3,179
$342
$1,087,218 
4
Submissions in Inter Partes Cases, including: 
    • Answers
    • Amendments to Pleadings
    • Amendment of Application or Registration During Proceeding
    • Motions (such as consent motions, motions to extend, motions to suspend, etc.)
    • Evidence 
    • Briefs 
    • Oral hearing requests
    • Surrender of Registration
    • Abandonment of Application
    • Documents Related to Concurrent Use Applications
    • Notice of Intent to Appeal a TTAB decision 

PTO-2151
20,000
2
40,000
  
21

840,000
$342 
$287,280,000 
5
Notice of Appeal 

PTO-2190
3,600
1
3,600
0.17 
(10 minutes)
612
$342
$209,304
6
Ex Parte Appeal General Filing including:
    • Briefs
    • Oral hearing requests
    • Requests (such as requests to extend, requests to suspend, etc.)
    • Surrender of Registration
    • Abandonment of Application

PTO-2189
2,100
2
4,200
0.50 
(30 minutes)
2,100
$342 
$718,200 

Totals
44,550
  - - -
76,000
  - - -
1,016,891
  - - -
$347,776,722

    13. Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet). 
    • The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities. 
    • If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

There are no maintenance costs, capital start-up costs, or recordkeeping costs associated with this information collection. However, this collection does have non-hourly cost burdens in both fees paid by the public and associated postage costs for mailing items to USPTO.  

The total non-hour respondent cost burden for this collection is estimated to be $10,725,464 per year, which includes $10,725,000 in fees and $464 in postage.

Filing Fees

There are fees associated with this information collection as outlined in Table 4 below.

Table 4: Filing Fees
Item No.
Fee Code
Item
Estimated Annual Responses

(a)
Filing Fee
($)

(b)
Non-hourly Cost Burden


(a) x (b) = (c)
1
6401
Petition to Cancel (Paper Submission)  
5
$700
$3,500
1
7401
Petition to Cancel 
2,595
$600
$1,557,000
2
6402
Notice of Opposition (Paper Submission)
5
$700
$3,500
2
7402
Notice of Opposition 
6,895
$600
$4,137,000
3
6404
Request for Extension of Time to File an Opposition under §§ 2.102(c)(1)(ii) or (c)(2) (Paper Submission)
5
$400
$2,000
3
7404
Request for Extension of Time to File an Opposition under §§ 2.102(c)(1)(ii) or (c)(2)
15,195
$200
$3,039,000
3
6405
Request for Extension of Time to File an Opposition under § 2.102(c)(3) (Paper Submission)
5
$500
$2,500
3
7405
Request for Extension of Time to File an Opposition under § 2.102(c)(3)
2,495
$400
$998,000
4, 6
7408
Request for an Oral Hearing
35
$500
$17,500
5
6403
Ex Parte Appeal to the Trademark Trial and Appeal Board (Paper Submission)
5
$325
$1,625
5
7403
Ex Parte Appeal to the Trademark Trial and Appeal Board
3,595
$225
$808,875
6
6406
Brief in an Ex Parte Appeal to the Board, per Class (Paper Submission)
5
$300
$1,500
6
7406
Brief in an Ex Parte Appeal to the Board, per Class
525
$200
$105,000
6
6407
Second or Subsequent Request for an Extension of Time to File an Appeal Brief, per Application (Paper Submission)
5
$200
$1,000
6
7407
Second or Subsequent Request for an Extension of Time to File an Appeal Brief, per Application
470
$100
$47,000
 

Totals 
31,840
  - - -
$10,725,000

Postage Costs
Mailed submissions and hand delivery to the TTAB are only available under extraordinary circumstances. The petitions to cancel, the notices of opposition, the notices of appeal, the extensions of time to file an opposition, and the additional submissions filed in inter partes and ex parte cases must be submitted to the USPTO electronically or served on other parties by email. The USPTO estimates that the average postage cost for a mailed submission, using a Priority Mail legal flat rate envelope, will be $13.25. The USPTO estimates approximately 35 submissions per year may be mailed to the USPTO, for an estimated total postage cost of $464 per year.
    14. Provide estimates of annualized costs to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.

The majority of the items in this information collection are processed automatically by electronic systems. Therefore, TTAB staff does not process the majority of the notices of opposition, extensions of time to file a notice of opposition, miscellaneous submissions filed in both inter partes and ex parte proceedings, and notices of appeal submitted electronically through the TTAB’s electronic filing system. The TTAB’s electronic filing system will process information submitted to the TTAB and update appropriate electronic files. The TTAB’s electronic filing system automatically institutes 50% of petitions for cancellation, 94% of the notices of opposition, 99% of the extensions of time to file an opposition, 60% of inter partes  proceedings, and 97% of the notices of appeal and appeal briefs. There is no human intervention during this process.

TTAB staff performs processing actions for certain items which require additional review. The USPTO estimates that this includes processing for 50% (1,300) of petitions for cancellation, 6% (409) of the notices of opposition, 1% (94) of the extensions of time to file an opposition, 40% (16,000) of inter partes proceedings, and 3% of the notices of appeal (108) and appeal briefs (126). 

The USPTO uses GS-11, step 5 grade employees to process TTAB filings. The USPTO estimates that the cost of a GS-11, step 5 employee is $63.22 per hour (GS hourly rate of $46.40 with 36.25% ($16.82) added for benefits and overhead). The USPTO estimates that it takes an employee 19 minutes (0.32 hours) to complete the processing of extensions to time to file a notice of opposition, and 20 minutes (0.33 hours) to complete the submissions in inter partes cases. The USPTO estimates that the remainder of the items (the petitions to cancel, notices of opposition, notices of appeal, and appeal briefs) requires an employee 30 minutes (0.50 hours) to complete.

For the most part, USPTO contractors process TTAB submissions filed in paper format.  The contractors scan each paper into the electronic record, file, and temporarily maintain the paper submission. Once submissions are in electronic format, TTAB staff finish the processing of the electronic form of the document.  

The USPTO pays contractors the equivalent of a USPTO employee paid at a GS-9, step 5 grade to process TTAB filings in paper format. The USPTO estimates that the cost of a GS-9, step 5 employee is $52.25 per hour (GS hourly rate of $38.35 with 36.25% ($13.90) added for benefits and overhead). The USPTO estimates that it will take an employee 4 minutes (0.07 hours) to process each paper submission.

Table 5 calculates the burden hours and costs to the federal government for processing the items in this information collection.

Table 5: Burden Hour/Cost to the Federal Government

    15. Explain the reasons for any program changes or adjustments reported on the burden worksheet. 

Table 6: ICR Summary of Burden  
 
Requested
Program Change Due to New Statute
Program Change Due to Agency Discretion
Change Due to Adjustment in Agency Estimate
Change Due to Potential Violation of the PRA
Previously Approved
Annual Number of Responses
76,000
0
0
-650
0
76,650
Annual Time Burden (Hr)
1,016,891
0
0
-21,856
0
1,038,747
Annual Cost Burden ($)
10,725,464
0
0
1,645,417
0
9,080,047

Changes Since the Publication of the 60-Day Notice

Since the publication of the 60-Day Notice in the Federal Register, the USPTO has updated the annual non-hourly cost burden to reflect more accurate postage estimates.  This results in a decrease of $303 in non-hourly cost burden, for a new estimated total annual non-hourly cost burden of $10,725,464.

Change in Responses and Hourly Burden due to Adjustment in Agency Estimate

The total number of responses has decreased by 650 due to estimated fluctuations in the number of respondents/submissions in this information collection. This decrease in the number of respondents and responses results in a decrease of 21,856 hours in the annual time burden estimates.  

Change in Annual Non-hour Costs due to Adjustment in Agency Estimate

For this renewal, the USPTO estimates that the total annual non-hourly costs will increase by $1,645,417 from the previous approval. This increase is due to estimated fluctuations in submissions for items that require a fee or postage.  

    16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions. 

USPTO makes submissions under this information collection available to the public via the TTAB’s electronic filing system. The purpose of this public access is not for statistical use, and the agency does not perform statistical analysis on the details within submissions.

    17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate. 

The forms in this information collection will display the OMB Control Number and the expiration date of OMB approval.

    18. Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”

This collection of information does not include any exceptions to the certificate statement.

B.	COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.