PTAB FOIA & PROCEDURES

Included here are PTAB FOIA information and procedures.

These downloadable documents were obtained by US Inventor from public records and/or Freedom of Information Act (FOIA) from the United States Patent and Trademark Office (USPTO). The information relates to operations of the Patent Trial and Appeal Board (PTAB).

FOIA Requests

FOIA Request F-22-00047 on parties’ requests for Director Review of PTAB decisions in AIA trials
US Inventor FOIA Request Letter on Director Review F-22-00047 (December 2, 2021)
The PTO’s Extension and Further delay letters upon failing to meet FOIA deadlines in F-22-00047 (December 30, 2021 and January 18, 2022).

FOIA Request No. F-21-00186 on PTO delegation of authority records, and US Inventor’s complaint in district court for PTO’s failure to respond in violation of the FOIA
US Inventor’s complaint in case 1:21-CV-02894 (D.D.C.), including exhibits pertaining to Request No. F-21-00186. (November 2, 2021).
PTO’s post-complaint response and production in Request No. F-21-00186. (November 19, 2021).

FOIA Request DOC-OIG-2021-001525 relating to a PTAB survey conducted by the OIG
US Inventor FOIA Request Letters of April 16, 2021, and May 7, 2021
Response from Dept. of Commerce Office of Inspector General FOIA officer

Office of Government Ethics request for Financial Holdings of the PTAB judges from 2016-2020
US Inventor Request for PTAB Judges Financial Disclosure Reports 2016-2020 of December 1, 2020 – please contact info@usinventor.org to request a copy of the financial disclosures

FOIA Request F-21-00173 and appeal A-22-00004 — PTO’s PTAB employees’ base salaries and bonus awards including the PTO officials authorizing same, and related communications with the U.S. Office of Personnel Management.
US Inventor’s FOIA request F-21-00173 (July 18, 2021)
The PTO’s cover letter for FOIA request F-21-00173 (September 29, 2021)
PTO Production (September 29, 2021)
US Inventor’s Appeal A-22-00004 (December 28, 2021)
PTO Final Response to Appeal A-22-00004 and supplemental production (January 25, 2022)

FOIA Request F-21-00090 and appeal A-21-00001 — PTO’s PTAB bonus approval request from the U.S. Office of Personnel Management
US Inventor’s FOIA request F-21-00090 (April 6, 2021)
The PTO’s Final denial letter for FOIA request F-21-00090 (May 4, 2021)
US Inventor’s Appeal A-21-000001 (May 25, 2021) & PTO’s acknowledgement letter (May 26, 2021)
The PTO’s Denial of Appeal A-21-000001 (June 22, 2021)

FOIA Request F-21-00011 – Performance Appraisal Plans (PAP) for PTO & PTAB Executives
US Inventor FOIA Request F-21-00011 (October 8, 2020)
The PTO’s cover letter for FOIA request F-21-00011
Interim Response to F-21-00011
Production part 1 PAP and PD for various PTO Executives
Production part 2 PAP and PD for various PTO Executives 2
Excerpt: Chief APJ PAP (FY 2016)
Excerpt: Deputy Chief APJ PAP (FY 2018)
Excerpt: Vice Chief APJ PAP (FY 2017)

FOIA Request F-19-00277 and appeal A-20-00001 — compensation and production expectancies for PTAB APJs
US Inventor’s FOIA request F-19-00277 (Sep. 16, 2019)
The PTO’s cover letter for FOIA request F-19-00277 (Nov 4, 2019)
Performance Appraisal Plans (PAP) for PTAB APJs
APJ PAP (FY 2018)
Lead APJ PAP (FY 2018)
Production expectancies for PTAB APJs
Several PTAB Standard Operating Procedures
US Inventor’s Appeal A-20-000001 (Feb. 4, 2020)
Cover letter in response to appeal (Apr. 8, 2020)
Various documents relating to PTAB APJ compensation

FOIA request FOIA F-20-00065 — recruitment and hiring of PTAB APJs
The PTO’s cover letter for FOIA request F-20-00065 (Mar. 13, 2020)
Various documents relating to recruiting and hiring of PTAB APJs

PTAB Standard Operating Procedures

PTAB Standard Operating Procedure 1: Assignment of APJs to
merits panels, motion panels, expanded panels
PTO PTAB SOP1 2009-02-12 rev 13
PTO PTAB SOP1 2015-05-08 rev 14
PTO PTAB SOP1 2018-09-20 rev 15

PTAB Standard Operating Procedure 2: Publication of Opinions;
Designation and De-Designation as Precedential, Informative,
Routine; Precedential Opinion Panel
PTO PTAB SOP2 2000-03-29 rev 4
PTO PTAB SOP2 2005-08-10 rev 6
PTO PTAB SOP2 2007-01-23 OG Notice announcing publication
PTO PTAB SOP2 2008-03-23 Rev 7
PTO PTAB SOP2 2013-08-12 Rev 8
PTO PTAB SOP2 2014-09-22 Rev 9
PTO PTAB SOP2 2018-09-20 Rev 10

PTAB Standard Operating Procedure 3: Processing Procedures for
Ex parte Appeals
PTO PTAB SOP3 2006-12-07 Rev 0
PTO PTAB SOP3 2009-06-16 Rev 1
PTO PTAB SOP3 2010-03-30 Rev 2 (interim)

PTAB Standard Operating Procedure 4: Standards for Opinions in
Appeal Decisions
PTO PTAB SOP4 2006-12-07 Rev 0
PTO PTAB SOP4 2007-10-01 Rev 0.1
PTO PTAB SOP4 2007-11-15 Rev 0.2
PTO PTAB SOP4 2009-11-12 Rev 1
PTO PTAB SOP4 2010-06-30 Rev 2
PTO PTAB SOP4 2011 Rev 3
PTO PTAB SOP4 2014-05-30 Rev 5.0
PTO PTAB SOP4 2014-09-30 Rev 5.2

PTAB Standard Operating Procedure 7: Designation as Board
Decisions-Orders as Informative
PTO PTAB SOP7 2007-07-23

PTAB Standard Operating Procedure 8: Assignment of APJs to Ex
Parte Merits Panels
PTO PTAB SOP8 2008-09-10 Rev 5.2s
PTO PTAB SOP8 2009-01-07

PTAB Standard Operating Procedure 9: Procedure for Decisions
Remanded from the Federal Circuit
PTO PTAB SOP9 2017-11-09 rev 1