Third-Party Submissions and Protests

Forms and Documents

Document Name	Status
Form PTO/SB/429 Paper Third party submissions in nonissued applications Form	Modified
0062 Supporting Statement June 2015.docx Supporting Statement A	2015-06-10
Information Quality Guidelines.doc Supplementary Document	2009-10-15

IC Document Collections

IC ID	Document Title	Status
200678	EFS-WEB Third-Party Submissions in Nonissued Applications	Modified
192905	Paper Third party submissions in nonissued applications Form	Modified
192904	Protests by the public against pending applications under 37 CFR 1.291	Modified

ICR Details

OMB Control No: 0651-0062	ICR Reference No: 201505-0651-003
Status: Historical Active	Previous ICR Reference No: 201207-0651-009
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: Approved without change	Conclusion Date: 07/30/2015
	Date Received in OIRA: 06/11/2015
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2018	36 Months From Approved	07/31/2015
Responses	1,560	0	1,095
Time Burden (Hours)	15,600	0	10,950
Cost Burden (Dollars)	237,619	0	133,018

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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), 122(e), 131, and 151, as well as 37 CFR 1.290 and 1.291, limit the ability of a third party to have information entered and considered in, or to protest, a patent application pending before the Office. This information collection (the information collected via third-party submissions under 37 CFR 1.290 and protests under 37 CFR 1.291) is necessary so that the public may contribute to the quality of issued patents. The USPTO will use this information, as appropriate, during the patent examination process to assist in evaluating the patent application.

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Authorizing Statute(s): 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
   US Code: 35 USC 151 Name of Law: null
   US Code: 35 USC 131 Name of Law: null
   US Code: 35 USC 122(c) Name of Law: null
  

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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 13330	03/13/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 32538	06/09/2015
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

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

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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	1,560	1,095	0	0	465	0
Annual Time Burden (Hours)	15,600	10,950	0	0	4,650	0
Annual Cost Burden (Dollars)	237,619	133,018	0	0	104,601	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:

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Annual Cost to Federal Government: $20,919

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: 06/11/2015

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