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[Federal Register Volume 83, Number 172 (Wednesday, September 5, 2018)]
[Notices]
[Pages 45104-45106]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-19202]

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DEPARTMENT OF COMMERCE

 Patent and Trademark Office

Patent Review and Derivation Proceedings

ACTION: Proposed collection; comment request.

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SUMMARY: The United States Patent and Trademark Office (USPTO), as 
required by the Paperwork Reduction Act of 1995 invites comments on a 
proposed extension of an existing information collection: 0651-0069 
(Patent Review and Derivation Proceedings).

DATES: Written comments must be submitted on or before November 5, 
2018.

ADDRESSES: You may submit comments by any of the following methods:
     Email: [email protected]. Include ``0651-
0069 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Michael P. Tierney, Records and Information 
Governance Division Director, Office of the Chief Technology Officer, 
United States Patent and Trademark Office, P.O. Box 1450, Alexandria, 
VA 22313-1450.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Michael P. Tierney, Vice Chief Administrative 
Patent Judge, Patent Trial and Appeal Board, United States Patent and 
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; by 
telephone at 571-272-4676; or by email to [email protected] 
with ``0651-0069 comment'' in the subject line. Additional information 
about this collection is also available at http://www.reginfo.gov under 
``Information Collection Review.''

SUPPLEMENTARY INFORMATION: 

I. Abstract

    The Leahy-Smith America Invents Act, which was enacted into law on

[[Page 45105]]

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 Sec. Sec.  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 Sec.  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.
    This 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.

II. Method of Collection

    Electronically, if applicants submit the information using the PTAB 
End-to-End (PTAB E2E). Applicants may submit information via email if 
PTAB E2E is unavailable.

III. Data

    OMB Number: 0651-0069.
    IC Instruments and Forms: N/A.
    Type of Review: Extension of an existing information collection.
    Affected Public: Business or other for-profit organizations; 
individuals or households; not-for-profit institutions; Federal 
Government; and state, local, or tribal governments.
    Estimated Number of Respondents: 11,994 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public between an estimated 6 minutes (0.10 hours) to 165.30 hours 
to complete an individual form in this collection.
    Estimated Total Annual Respondent Burden Hours: 1,474,449 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: 
$645,808,793. The USPTO expects that attorneys will complete the 
instruments associated with this information collection. The 
professional hourly rate for intellectual property attorneys in 
privates firms is $438 as established by estimates in the 2017 Report 
of the Economic Survey, published by the Committee on Economics of 
Legal Practice of the American Intellectual Property Law Association. 
Using this hourly rate, the USPTO estimates that the total respondent 
cost burden for this collection is $645,808,793 per year.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                           Estimated
               IC No.                               Item                 response time     Estimated       Estimated          Rate        Estimated cost
                                                                            (hours)        responses      burden hours                        burden
                                                                                   (a)             (b)  (a) x (b) = (c)             (d)  (c) x (d) = (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...................................  Petition for Inter Partes Review             124           1,553       192,572.00         $438.00   $84,346,536.00
2...................................  Petition for Post-Grant Review            165.30              91        15,042.30          438.00     6,588,527.40
                                       or Covered Business Method
                                       Patent Review.
3...................................  Petition for Derivation.........          165.30              11         1,818.30          438.00       796,415.40
4...................................  Patent Owner Preliminary                   91.60           1,333       122,102.80          438.00    53,481,026.40
                                       Response to Petition for
                                       Initial Inter Partes Review.
5...................................  Patent Owner Preliminary                   91.60              68         6,228.80          438.00     2,728,214.40
                                       Response to Petition for
                                       Initial Post-Grant Review or
                                       Covered Business Method Patent
                                       Review.
6...................................  Request for Rehearing...........              80             322        25,760.00          438.00    11,282,880.00
7...................................  Motions, Replies, and                        158           6,482     1,024,156.00          438.00   448,580,328.00
                                       Oppositions After Institution
                                       in Inter Partes Review.
8...................................  Motions, Replies, and                        148             245        36,260.00          438.00    15,881,880.00
                                       Oppositions After Institution
                                       in Post-Grant Review or Covered
                                       Business Method Review.
9...................................  Motions, Replies, and                        120               7           840.00          438.00       367,920.00
                                       Oppositions After Institution
                                       in Derivation Proceedings.
10..................................  Request for Oral Hearing........           18.30             727        13,304.10          438.00     5,827,195.80
11..................................  Request to Treat a Settlement as               2             356           712.00          438.00       311,856.00
                                       Business Confidential.
12..................................  Settlement......................             100             356        35,600.00          438.00    15,592,800.00
13..................................  Arbitration Agreement and Award.               4               2             8.00          438.00         3,504.00
14..................................  Request to Make a Settlement                   1               1             1.00          438.00           438.00
                                       Agreement Available.

[[Page 45106]]

 
15..................................  Notice of Judicial Review of a              0.10             440            44.00          438.00        19,272.00
                                       Board Decision (e.g., Notice of
                                       Appeal Under 35 U.S.C. 142).
                                                                       ---------------------------------------------------------------------------------
    Total...........................  ................................  ..............          11,994     1,474,449.30  ..............   645,808,793.40
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Estimated Total Annual (Non-hour) Respondent Cost Burden: 
$54,307,175. There are no capital start-up, maintenance, or postage 
associated with this information collection. However, this collection 
does have annual (non-hour) costs in the form of filing fees.

Filing Fees

    The filing fees associated with this information collection are 
listed in the table below:

----------------------------------------------------------------------------------------------------------------
             IC No.                            Item                 Responses      Filing fees      Total cost
                                                                            (a)             (b)  (a) x (b) = (c)
----------------------------------------------------------------------------------------------------------------
1...............................  Inter Partes Review Request             1,560      $15,500.00   $24,180,000.00
                                   Fee.
1...............................  Inter Partes Post-Institution           1,569       15,000.00    23,535,000.00
                                   Fee.
1...............................  Inter Partes Review Request             3,390          300.00     1,017,000.00
                                   of Each Claim in Excess of
                                   20.
1...............................  Inter Partes Post-Institution           1,786          600.00     1,071,600.00
                                   Request of Each Claim in
                                   Excess of 15.
2...............................  Post-Grant or Covered                      92       16,000.00     1,472,000.00
                                   Business Method Review
                                   Request Fee--Up to 20 Claims.
2...............................  Post-Grant or Covered                      92       22,000.00     2,024,000.00
                                   Business Method Review Post-
                                   Institution Fee--Up to 15
                                   Claims.
2...............................  Post-Grant or Covered                     638          375.00       239,250.00
                                   Business Method Review
                                   Request of Each Claim in
                                   Excess of 20.
2...............................  Post-Grant or Covered                     925          825.00       763,125.00
                                   Business Method Review Post-
                                   Institution Fee of Each
                                   Claim in Excess of 15.
3...............................  Petition for Derivation......              12          400.00         4,800.00
14..............................  Request to Make a Settlement                1          400.00           400.00
                                   Agreement Available.
                                                                ------------------------------------------------
    Total.......................  .............................  ..............  ..............    54,307,175.00
----------------------------------------------------------------------------------------------------------------

IV. Request for Comments

    Comments submitted in response to this notice will be summarized or 
included in the request for OMB approval of this information 
collection. They also will become a matter of public record.
    Comments are invited on:
    (a) Whether the proposed collection of information is necessary for 
the proper performance of the functions of the agency, including 
whether the information shall have practical utility;
    (b) The accuracy of the agency's estimate of the burden (including 
hours and cost) of the proposed collection of information;
    (c) Ways to enhance the quality, utility, and clarity of the 
information to be collected; and
    (d) Ways to minimize the burden of the collection of information on 
respondents, e.g., the use of automated collection techniques or other 
forms of information technology.

Marcie Lovett,
Records and Information Governance Division Director, OCTO United 
States Patent and Trademark Office.
[FR Doc. 2018-19202 Filed 9-4-18; 8:45 am]
 BILLING CODE 3510-16-P
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