Patent Reexaminations and Supplemental Examinations

Forms and Documents

Document Name	Status
Form PTO/SB/59 Request for Supplemental Examination Transmittal Form Form	New
Form PTO/SB/58 Request for Inter Partes Reexamination Transmittal Form Form	Modified
Form PTO/SB/57 Request for Ex Parte Reexamination Transmittal Form Form	Modified
0651-0064-SuppExam-SupStmt-NPRM-Jan2012.pdf Supporting Statement A	2012-01-24
0651-USPTO-Information-Quality-Guidelines-Dec2009.pdf Supplementary Document	2012-01-24

IC Document Collections

IC ID	Document Title	Status
200894	Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d))	New
200893	Request for Supplemental Examination	New
200892	Request for Supplemental Examination Transmittal Form Form	New
191641	Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination	Modified
191640	Third Party Requester’s 37 CFR 1.951 Comments in Inter Partes Reexamination	Modified
191639	Patent Owner’s 37 CFR 1.951 Response in Inter Partes Reexamination	Modified
191638	Response to Final Rejection in Ex Parte Reexamination	Modified
191637	Third Party Requester’s 37 CFR 1.947 Comments in Inter Partes Reexamination	Modified
191636	Amendment in Ex Parte or Inter Partes Reexamination	Modified
191635	Third Party Requester’s 37 CFR 1.535 Reply	Modified
191634	Patent Owner’s 37 CFR 1.530 Statement	Modified
191633	Petition to Review Refusal to Grant Inter Partes Reexamination	Removed
191632	Petition to Review Refusal to Grant Ex Parte Reexamination	Removed
191631	Request for Inter Partes Reexamination	Modified
191630	Request for Inter Partes Reexamination Transmittal Form Form	Modified
191629	Request for Ex Parte Reexamination	Modified
191628	Request for Ex Parte Reexamination Transmittal Form Form	Modified

ICR Details

OMB Control No: 0651-0064	ICR Reference No: 201201-0651-003
Status: Historical Inactive	Previous ICR Reference No: 200912-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Reexaminations and Supplemental Examinations
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Comment filed on proposed rule and continue	Conclusion Date: 03/13/2012
	Date Received in OIRA: 01/25/2012
Terms of Clearance: OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Resubmit when proposed rule is finalized.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2013	02/28/2013	02/28/2013
Responses	5,124	0	5,124
Time Burden (Hours)	161,128	0	161,128
Cost Burden (Dollars)	5,577,265	0	5,577,265

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Abstract: The United States Patent and Trademark Office (USPTO) published a notice of proposed rulemaking in the Federal Register, Changes to Implement the Supplemental Examination Provisions of the Leahy-Smith America Invents Act and to Revise Reexamination Fees (RIN 0651-AC69). In the notice, the USPTO proposes to amend the rules of practice in patent cases to implement the supplemental examination provisions of section 12 of the Leahy-Smith America Invents Act, which was enacted into law on September 16, 2011. See Pub. L. 112-29, 125 Stat. 284 (2011). The supplemental examination provisions permit 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. These provisions could assist the patent owner in addressing certain challenges to the enforceability of the patent during litigation. The USPTO is also proposing to set certain fees to implement supplemental examination, to adjust the fee for filing a Request for Ex Parte Reexamination, and to set a fee for petitions filed in reexamination proceedings to more accurately reflect the cost of these processes. In support of the proposed rulemaking, the USPTO is submitting this information collection to add new information requirements and update existing information requirements that would be impacted by the proposed rulemaking. The public will use this information collection to request supplemental examination and reexamination proceedings and to ensure that the associated fees and documentation are submitted to the USPTO.

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Authorizing Statute(s): US Code: 35 USC 132 Name of Law: null
   US Code: 35 USC 301-318 Name of Law: null
   US Code: 35 USC 257 Name of Law: null
  

Citations for New Statutory Requirements: US Code: 35 USC 257 Name of Law: null

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC69	Proposed rulemaking	77 FR 3666	01/25/2012

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 15

IC Title	Form No.	Form Name
Request for Inter Partes Reexamination
Request for Ex Parte Reexamination Transmittal Form	PTO/SB/57	Request for Ex Parte Reexamination Transmittal Form
Request for Inter Partes Reexamination Transmittal Form	PTO/SB/58	Request for Inter Partes Reexamination Transmittal Form
Request for Ex Parte Reexamination
Patent Owner’s 37 CFR 1.530 Statement
Third Party Requester’s 37 CFR 1.535 Reply
Amendment in Ex Parte or Inter Partes Reexamination
Third Party Requester’s 37 CFR 1.947 Comments in Inter Partes Reexamination
Response to Final Rejection in Ex Parte Reexamination
Patent Owner’s 37 CFR 1.951 Response in Inter Partes Reexamination
Third Party Requester’s 37 CFR 1.951 Comments in Inter Partes Reexamination
Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination
Petition to Review Refusal to Grant Inter Partes Reexamination
Petition to Review Refusal to Grant Ex Parte Reexamination
Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d))
Request for Supplemental Examination Transmittal Form	PTO/SB/59	Request for Supplemental Examination Transmittal Form
Request for Supplemental Examination

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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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Program changes in responses and burden hours are primarily due to the addition of Requests for Supplemental Examination and its impact on Requests for Ex Parte Reexamination and related items, as well as the addition of Petitions Under 37 CFR 1.182 and 1.183 being included under the renamed information requirement of Petitions in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d)). Administrative adjustments to responses and burden hours are primarily due to revised time estimates for submitting Requests for Ex Parte and Inter Partes Reexamination as discussed further in the published Notice of Proposed Rulemaking and supporting statement. Program changes in annual (non-hour) cost burden are primarily due to the addition of fees for Requests for Supplemental Examination, increases in the fee amounts for Requests for Ex Parte Reexamination and Petitions in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d)), and increases in responses and the associated total fees for Petitions to Request Extension of Time in Ex Parte or Inter Partes Reexaminations. Administrative adjustments to annual (non-hour) cost burden are due to decreases in total postage costs based on an expected increase in the percentage of responses that are submitted electronically.

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Annual Cost to Federal Government: $560,660

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: 01/25/2012

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