Patent Review and Derivation Proceedings

ICR 202202-0651-001

OMB: 0651-0069

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2022-02-24
Supplementary Document
2022-02-24
Supplementary Document
2022-02-24
Supplementary Document
2022-02-24
Supplementary Document
2022-02-24
IC Document Collections
IC ID
Document
Title
Status
251762
New
251761
New
251760
New
251759
New
251758
New
251757
New
251756
New
251755
New
251754
New
251753
New
251752
New
251751
New
251750
New
251749
New
251748
New
251747
New
251744
New
200858
Modified
200857
Modified
200856
Modified
200855
Modified
200835
Modified
200834
Modified
200829
Modified
200828
Modified
200827
Modified
200824
Modified
200823
Modified
200822
Modified
200821
Modified
200820
Modified
200815
Modified
ICR Details
0651-0069 202202-0651-001
Received in OIRA 201909-0651-002
DOC/PTO
Patent Review and Derivation Proceedings
Revision of a currently approved collection   No
Regular 02/24/2022
  Requested Previously Approved
36 Months From Approved 02/28/2022
12,338 11,994
1,368,058 1,474,449
69,638,370 68,095,848

The Leahy-Smith America Invents Act, which was enacted into law on September 16, 2011, provided for many changes to the procedures of the Patent Trial and Appeal Board (“PTAB” or “Board,” formerly the Board of Patent Appeals and Interferences) procedures. These changes included the introduction of inter partes review, post-grant review, derivation proceedings, and the transitional program for covered business method patents. Under these administrative trial proceedings, third parties may file a petition with the PTAB challenging the validity of issued patents, with each proceeding having different requirements regarding timing restrictions, grounds for challenging validity, and who may request review. Inter partes review is a trial proceeding conducted at the Board to review the patentability of one or more claims in a patent only on a ground that could be raised under §§ 102 or 103, and only on the basis of prior art consisting of patents or printed publications. Post grant review is a trial proceeding conducted at the Board to review the patentability of one or more claims in a patent on any ground that could be raised under § 282(b)(2) or (3). A derivation proceeding is a trial proceeding conducted at the Board to determine whether (1) an inventor named in an earlier application derived the claimed invention from an inventor named in the petitioner’s application, and (2) the earlier application claiming such invention was filed without authorization. The transitional program for covered business method patents is a trial proceeding conducted at the Board to review the patentability of one or more claims in a covered business method patent. The covered business method program expired on September 16, 2020 and the Board no longer accepts new petitions related to this program, but continues to accept papers in previously-instituted proceedings. This information collection covers information submitted by the public to petition the Board to initiate an inter partes review, post-grant review, derivation proceeding, and the transitional program for covered business method patents, as well as any responses to such petitions, and the filing of any motions, replies, oppositions, and other actions, after a review/proceeding has been instituted.

US Code: 35 USC 134 Name of Law: Leahy-Smith America Invents Act
   US Code: 35 USC 6 Name of Law: American Inventor Protection Act
  
None

Not associated with rulemaking

  86 FR 69228 12/07/2021
87 FR 10343 02/24/2022
No

32
IC Title Form No. Form Name
Arbitration Agreement and Award (Individuals or Households)
Arbitration Agreement and Award (Private Sector)
Motions, Replies and Oppositions After Institution in Inter Partes Review (Private Sector)
Motions, Replies and Oppositions After Institution in Post-Grant Review or Covered Business Method Review (Private Sector)
Motions, Replies and Oppositions in Derivation Proceeding (Private Sector)
Notice of Judicial Review of a Board Decision (e.g. Notice of Appeal Under 35 U.S.C. §142) (Individuals or Households)
Notice of Judicial Review of a Board Decision (e.g., Notice of Appeal Under 35 U.S.C. 142) (Private Sector)
Other Motions, Replies, Surreplies, and Oppositions in Derivation Proceedings (Individuals or Households)
Other Motions, Replies, Surreplies, and Oppositions n in Inter Partes Review (Individuals or Households)
Other Motions, Replies, Surreplies, and Oppositions n in Post-Grant Review or Covered Business Method Review (Individuals or Households)
Patent Owner Preliminary Response to Petition for Initial Inter Partes Review (Individuals or Households)
Patent Owner Preliminary Response to Petition for Initial Inter Partes Review (Private Sector)
Patent Owner Preliminary Response to Petition for Initial Post-Grant Review or Covered Business Method Patent Review (Individuals or Households)
Patent Owner Preliminary Response to Petition for Initial Post-Grant Review or Covered Business Method Patent Review (Private Sector)
Petition for Derivation (Individuals or Households)
Petition for Derivation (Private Sector)
Petition for Inter Partes Review (Private Sector)
Petition for Post-Grant Review or Covered Business Method Patent Review (Individuals or Households)
Petition for Post-Grant Review or Covered Business Method Patent Review (Private Sector)
Petitions for Inter Partes Review (Individuals or Households)
Pro Hac Vice Motion (Individuals or Households)
Pro Hac Vice Motion (Private Sector)
Request for Oral Hearing (Individuals or Households)
Request for Oral Hearing (Private Sector)
Request for Rehearing (Individuals or Households)
Request for Rehearing (Private Sector)
Request to Make a Settlement Agreement Available (Individuals or Households)
Request to Make a Settlement Agreement Available (Private Sector)
Request to Treat a Settlement as Business Confidential (Individuals or Households)
Request to Treat a Settlement as Business Confidential (Private Sector)
Settlement (Individuals or Households)
Settlement (Private Sector)

  Total Request 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 12,338 11,994 0 951 -607 0
Annual Time Burden (Hours) 1,368,058 1,474,449 0 476 -106,867 0
Annual Cost Burden (Dollars) 69,638,370 68,095,848 0 237,500 1,305,022 0
Yes
Miscellaneous Actions
No
Program Change Due to Agency Discretion in Annual Number of Responses, Annual Time Burden, and Annual Cost Burden With this renewal, USPTO is adding in a new item (Pro Hac Vice Motion) which adds +951 responses and +476 burden hours to this information collection. This item also has a related fee which adds +$237,500 annual cost burden to this information collection. Change Due to Adjustment in Agency Estimate in Annual Number of Responses, Annual Time Burden, and Annual Cost Burden For this renewal, the USPTO estimates that the items in this information collection will naturally fluctuate based on respondent need. Overall USPTO is estimating that these adjustments result in fewer responses (-607) and fewer associated time burden (-106,867). At the same time, USPTO is estimating that total annual (non-hour) costs will increase due to respondents filling more items that have associated fees (+$1,305,022).

$32,683,269
No
    Yes
    No
No
No
No
No
Michael Tierney 571 272-9797 michael.tierney@uspto.gov

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
02/24/2022


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