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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
0651-0064
ICR Reference No:
201909-0651-013
Status:
Historical Active
Previous ICR Reference No:
201809-0651-001
Agency/Subagency:
DOC/PTO
Agency Tracking No:
Title:
Patent Reexaminations and Supplemental Examinations
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:
10/29/2019
Retrieve Notice of Action (NOA)
Date Received in OIRA:
10/08/2019
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
11/30/2021
11/30/2021
11/30/2021
Responses
1,745
0
1,540
Time Burden (Hours)
38,086
0
32,963
Cost Burden (Dollars)
2,884,393
0
2,747,178
Abstract:
The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. ยงยง 131 and 151 to examine applications and, when appropriate, allow applications and issue them as patents. Chapter 30 of Title 35 U.S.C. provides that any person at any time may file a request for reexamination by the USPTO of any claim of a patent on the basis of prior art patents or printed publications. Once initiated, the reexamination proceedings under Chapter 30 are substantially ex parte and do not permit input from third parties. The rules outlining ex parte reexaminations are found at 37 CFR 1.510-1.570. 35 U.S.C. 257 permits a patent owner to request supplemental examination of a patent by the USPTO to consider, reconsider, or correct information believed to be relevant to the patent. The rules outlining supplemental examination are found at 37 CFR 1.601-1.625. The Leahy-Smith America Invents Act terminated inter partes reexamination effective September 16, 2012. However, inter partes reexamination proceedings based on inter partes reexamination requests filed before September 16, 2012, continue to be prosecuted. Therefore, this collection continues to include items related to the prosecution of inter partes reexamination proceedings. The rules outlining inter partes reexaminations are found at 37 CFR 1.903-1.931. Thus, the items included in this collection cover (1) requests for ex parte reexamination, (2) requests for supplemental examination, and (3) information that may be submitted by patent owners and third-party requesters in relation to the prosecution of an ex parte or inter partes reexamination proceeding. It should be noted that the Requests for Ex Parte Reexamination and Supplemental Examination are distinct collections from the Request for Ex Parte Reexamination and Supplemental Examination Transmittal Forms, respectively. Whereas the transmittal forms are used by a requester (patent owner or third party) as a checklist to ensure compliance with the requirements of the statutes and rules for ex parte reexaminations and supplemental examinations, the requests themselves represent the substantive analysis undertaken by requesters of ex parte reexamination and supplemental examination. The public uses this information collection to request ex parte reexamination and supplemental examination, to prosecute reexamination proceedings, and to ensure that the associated documentation is submitted to the USPTO.
Authorizing Statute(s):
US Code:
35 USC 301-318
PL:
Pub.L. 112 - 29 12
Name of Law: Leahy-Smith America Invents Act
US Code:
35 USC 257
US Code:
35 USC 132
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
83 FR 31379
07/05/2018
30-day Notice:
Federal Register Citation:
Citation Date:
83 FR 49069
09/28/2018
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
13
IC Title
Form No.
Form Name
Amendment in Ex Parte or Inter Partes Reexamination
Patent Owner's 37 CFR 1.530 Statement
Patent Owner's 37 CFR 1.951 Response in Inter Partes Reexamination
Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d))
Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination
Request for Ex Parte Reexamination
Request for Ex Parte Reexamination Transmittal Form
PTO/SB/57
Request for Ex Parte Reexamination Transmittal Form
Request for Supplemental Examination
Request for Supplemental Examination Transmittal Form
PTO/SB/59
Request for Supplemental Examination Transmittal Form
Response to Final Rejection in Ex Parte Reexamination
Third Party Requester's 37 CFR 1.535 Reply
Third Party Requester's 37 CFR 1.947 Comments in Inter Partes Reexamination
Third Party Requester's 37 CFR 1.951 Comments in Inter Partes Reexamination
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
1,745
1,540
0
205
0
0
Annual Time Burden (Hours)
38,086
32,963
0
5,123
0
0
Annual Cost Burden (Dollars)
2,884,393
2,747,178
0
137,215
0
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:
Burdens are increasing due to the Patent Fee Review. Cost numbers changed, along with some related shifting response numbers.
Annual Cost to Federal Government:
$67,439
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
Agency Contact:
Raul Tamayo 571 272-7728 raul.tamayo@uspto.gov
Common Form ICR:
No
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:
10/08/2019
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