Patent Reexaminations and Supplemental Examinations

Forms and Documents

Document Name	Status
Form PTO/SB/59 Request for Supplemental Examination Transmittal Form Form	Modified
Form PTO/SB/58 Request for Inter Partes Reexamination Transmittal Form Form	Removed
Form PTO/SB/57 Request for Ex Parte Reexamination Transmittal Form Form	Modified
0651-0064-SupStmt-CWS-Oct2013.pdf Justification for No Material/Nonsubstantive Change	2013-10-22
0651-0064-SuppExam-SupStmt-NFR-Jul2012.pdf Supporting Statement A	2012-07-13
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf Supplementary Document	2013-10-17

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))	Modified
200893	Request for Supplemental Examination	Unchanged
200892	Request for Supplemental Examination Transmittal Form Form	Modified
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	Unchanged
191637	Third Party Requester's 37 CFR 1.947 Comments in Inter Partes Reexamination	Modified
191636	Amendment in Ex Parte or Inter Partes Reexamination	Unchanged
191635	Third Party Requester's 37 CFR 1.535 Reply	Modified
191634	Patent Owner's 37 CFR 1.530 Statement	Modified
191631	Request for Inter Partes Reexamination	Removed
191630	Request for Inter Partes Reexamination Transmittal Form Form	Removed
191629	Request for Ex Parte Reexamination	Unchanged
191628	Request for Ex Parte Reexamination Transmittal Form Form	Modified

ICR Details

OMB Control No: 0651-0064	ICR Reference No: 201310-0651-001
Status: Historical Active	Previous ICR Reference No: 201209-0651-010
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: 11/26/2013
	Date Received in OIRA: 10/25/2013
Terms of Clearance: Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2015	07/31/2015	07/31/2015
Responses	8,800	0	9,560
Time Burden (Hours)	183,951	0	235,365
Cost Burden (Dollars)	4,663	0	35,592,825

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Abstract: This request is to update the current inventory estimates. The request covers removing certain fees and two items. First, to avoid double-counting the annual (non-hour) costs, the USPTO is removing fees from 0651-0064 that were previously moved into collection 0651-0072 America Invents Act Section 10 Patent Fee Adjustments (approved by OMB in January 2013). Only the affected fees will be removed; the associated items and other burden information will remain in 0651-0064. Second, the USPTO is removing two items from 0651-0064 related to initial Requests for Inter Partes Reexamination because the information is no longer collected. Pursuant to section 6(c)(3) of the Leahy-Smith America Invents Act, the authority to file inter partes reexamination requests terminated on September 16, 2012.

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Authorizing Statute(s): US Code: 35 USC 257 Name of Law: null
   PL: Pub.L. 112 - 29 12 Name of Law: Leahy-Smith America Invents Act
   US Code: 35 USC 132 Name of Law: null
   US Code: 35 USC 301-318 Name of Law: null
  

Citations for New Statutory Requirements: US Code: 35 USC 311-319 Name of Law: null
PL: Pub.L. 112 - 29 6(c)(3) Name of Law: Leahy-Smith America Invents Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
0651-AC69	Not associated with rulemaking	77 FR 48828	08/14/2012

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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: 13

IC Title	Form No.	Form Name
Request for Ex Parte Reexamination Transmittal Form	PTO/SB/57	Request for Ex Parte 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 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
Request for Inter Partes Reexamination
Request for Inter Partes Reexamination Transmittal Form	PTO/SB/58	Request for Inter Partes Reexamination Transmittal Form

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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	8,800	9,560	-760	0	0	0
Annual Time Burden (Hours)	183,951	235,365	-51,414	0	0	0
Annual Cost Burden (Dollars)	4,663	35,592,825	-3,168,954	-32,419,208	0	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: The program changes to annual costs due to agency discretion are from removing the fees from 0651-0064 that were previously moved into collection 0651-0072. The program changes to annual responses, burden hours, and annual costs due to a new statute are from removing two items from 0651-0064 related to initial Requests for Inter Partes Reexamination because the information is no longer being collected.

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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: 10/25/2013

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