Patent Reexaminations

OMB Control No: 0651-0064	ICR Reference No: 200912-0651-002
Status: Historical Active	Previous ICR Reference No:
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Reexaminations
Type of Information Collection: New collection (Request for a new OMB Control Number)	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/24/2010
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/29/2009
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2013	36 Months From Approved
Responses	5,124	0	0
Time Burden (Hours)	161,128	0	0
Cost Burden (Dollars)	5,577,265	0	0

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Abstract: The United States Patent and Trademark Office (USPTO) is required by 35 U.S.C. 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. Chapter 31 of Title 35 U.S.C. provides for inter partes reexamination allowing third parties to participate throughout the reexamination proceeding. If a request for ex parte or inter partes reexamination is denied, the requester may petition the Director to review the examiner’s refusal of reexamination. The rules outlining ex parte and inter partes reexaminations are found at 37 CFR 1.510-1.570 and 1.902-1.997. The public uses this information collection to request 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

Citations for New Statutory Requirements: None

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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:
	74 FR 39916	08/10/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 68567	12/28/2009
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 14

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 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 Ex Parte Reexamination Petition to Review Refusal to Grant Inter Partes Reexamination Request for Ex Parte Reexamination Patent Owner’s 37 CFR 1.530 Statement

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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	5,124	0	0	5,124	0	0
Annual Time Burden (Hours)	161,128	0	0	161,128	0	0
Annual Cost Burden (Dollars)	5,577,265	0	0	5,577,265	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: Information requirements related to patent reexaminations are currently covered under OMB Control Number 0651-0033, along with other requirements related to patent issue fees and reissue applications. The USPTO is proposing to move the following items that are under 0651-0033 into a new information collection for Patent Reexaminations: Request for Ex Parte Reexamination Transmittal Form; Request for Inter Partes Reexamination Transmittal Form; Petition to Review the Refusal to Grant Ex Parte Reexamination; Petition to Review the Refusal to Grant Inter Partes Reexamination; and Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination. The USPTO is also proposing to include additional items related to patent reexaminations in this new information collection: Request for Ex Parte Reexamination; Request for Inter Partes 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; and Third Party Requester’s 37 CFR 1.951 Comments in Inter Partes Reexamination. These additional items are existing information requirements that previously were not fully covered by an information collection and are now being included in order to more accurately reflect the burden on the public for submitting requests related to patent reexaminations.

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Annual Cost to Federal Government: $247,759

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

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: Brian Hanlon 5712725047 [email protected]

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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: 12/29/2009

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