Patent Reexaminations, Supplemental Examinations, and Post Patent Submissions

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PTO/SB/42 Information Disclosure Citation in a Patent	Form	Unchanged	Available
Form PTO/SB/42 Information Disclosure Citation in a Patent	Form	Unchanged	Repair queued
Form PTO/SB/59 Request for Supplemental Examination Transmittal Form	Form	Unchanged	Available
Form PTO/SB/59 Request for Supplemental Examination	Form	Unchanged	Available
Form PTO/SB/57 Request for Ex Parte Reexamination Transmittal Form	Form	Modified	Available
Form PTO/SB/57 Request for Ex Parte Reexamination	Form	Modified	Repair queued
0651-0064 CWS 2025.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2025-06-05	Available
0651-0064 CWS 2025.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2025-06-05	Repair queued
0651-0064 Supporting Statement 2024 final.docx	Supporting Statement A	Uploaded 2024-09-13	Available
0651-0064 Supporting Statement 2024 final.docx	Supporting Statement A	Uploaded 2024-09-13	Missing upstream
Leahy-Smith America Invents Act.pdf	Supplementary Document	Uploaded 2024-08-30	Available
Leahy-Smith America Invents Act.pdf	Supplementary Document	Uploaded 2024-08-30	Repair queued
USPTO Information Quality Guidelines.pdf	Supplementary Document	Uploaded 2024-08-30	Available
USPTO Information Quality Guidelines.pdf	Supplementary Document	Uploaded 2024-08-30	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
249729	Information Disclosure Citation in a Patent	Form	Unchanged	Information Disclosure Citation in a Patent
249729	Information Disclosure Citation in a Patent	Form	Unchanged
200894	Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d))		Unchanged
200893	Request for Supplemental Examination	Form	Unchanged	Request for Supplemental Examination Transmittal Form
200893	Request for Supplemental Examination	Form	Unchanged
191641	Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination		Unchanged
191640	Third Party Requester's 37 CFR 1.951 Response in Inter Partes Reexamination		Unchanged
191639	Patent Owner's 37 CFR 1.951 Comments in Inter Partes Reexamination		Unchanged
191638	Response to Final Rejection in Ex Parte Reexamination		Unchanged
191637	Third Party Requester's 37 CFR 1.947 Comments in Inter Partes Reexamination		Unchanged
191636	Amendment in Ex Parte or Inter Partes Reexamination		Unchanged
191635	Third Party Requester's 37 CFR 1.535 Reply		Unchanged
191634	Patent Owner's 37 CFR 1.530 Statement		Unchanged
191628	Request for Ex Parte Reexamination	Form	Modified	Request for Ex Parte Reexamination Transmittal Form
191628	Request for Ex Parte Reexamination	Form	Modified

ICR Details

OMB Control No: 0651-0064	ICR Reference No: 202506-0651-001
Status: Active	Previous ICR Reference No: 202411-0651-009
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Reexaminations, Supplemental Examinations, and Post Patent Submissions
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: 06/13/2025
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/06/2025
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2027	11/30/2027	11/30/2027
Responses	890	0	890
Time Burden (Hours)	25,714	0	25,714
Cost Burden (Dollars)	4,129,815	0	4,129,815

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Abstract: The 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 cited under the provisions of 35 U.S.C. 301. Once initiated, the reexamination proceedings under Chapter 30 are substantially ex parte and do not permit input from third parties. The regulations outlining ex parte reexaminations are found at 37 CFR 1.510-1.570. In addition, 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 regulations 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 information collection continues to include items related to the prosecution of inter partes reexamination proceedings. The regulations outlining inter partes reexamination are found at 37 CFR 1.903-1.959. The provisions of 35 U.S.C. 301 and 37 CFR 1.501 govern the ability of a person to submit into the file of an issued patent (1) prior art consisting of patents or printed publications which the person making the submission believes to have a bearing on the patentability of any claim of the issued patent and (2) statements of the owner of the issued patent filed in a proceeding before a Federal court or the USPTO in which the owner of the issued patent took a position on the scope of any claim of the issued patent. This information collection covers information contained in: (1) requests for ex parte reexamination, (2) requests for supplemental examination, (3) submissions made by patent owners and third-party requesters related to the prosecution of an ex parte or inter partes reexamination proceeding, (4) information submitted by the public to aid in ascertaining the patentability and/or scope of the claims of the issued patent, and (5) information submitted by patent owners regarding a position taken before the USPTO or a Federal court regarding the scope of any claim in their issued patent. The USPTO’s use of the statements of the patent owners ((5) above) will be limited to determining the meaning of a patent claim in ex parte reexamination proceedings that already have been ordered and in inter partes review and post grant review proceedings that already have been instituted. The purpose of this information collection is to facilitate requests for ex parte reexamination and supplemental examination, to facilitate prosecution of reexamination and reissue proceedings, and to ensure that the associated documentation is submitted to the USPTO, and to permit relevant post-patent prior art and claim scope information to be entered into a patent file.

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Authorizing Statute(s): PL: Pub.L. 112 - 29 12 Name of Law: Leahy-Smith America Invents Act
  

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:
	89 FR 55927	07/08/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 74926	09/13/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 12

table that charts list of burden

IC Title	Form No.	Form Name
Amendment in Ex Parte or Inter Partes Reexamination
Information Disclosure Citation in a Patent	PTO/SB/42	Information Disclosure Citation in a Patent
Patent Owner's 37 CFR 1.530 Statement
Patent Owner's 37 CFR 1.951 Comments 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	PTO/SB/57	Request for Ex Parte Reexamination Transmittal Form
Request for Supplemental Examination	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 Response in Inter Partes Reexamination

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ICR Summary of Burden

table that charts list 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	890	890	0	0	0	0
Annual Time Burden (Hours)	25,714	25,714	0	0	0	0
Annual Cost Burden (Dollars)	4,129,815	4,129,815	0	0	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:

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Annual Cost to Federal Government: $224,251

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? No

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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: 06/06/2025

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