[Federal Register Volume 86, Number 140 (Monday, July 26, 2021)]
[Notices]
[Pages 40015-40018]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-15875]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comment 
Request; Patent Reexaminations, Supplemental Examinations, and Post 
Patent Submissions

ACTION: Notice of information collection; request for comment.

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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 
the extension and revision of an existing information collection: 0651-
0064 (Patent Reexaminations, Supplemental Examinations, and Post Patent 
Submissions). The purpose of this notice is to allow 60 days for public 
comment preceding submission of the information collection to OMB.

DATES: To ensure consideration, comments regarding this information 
collection must be received on or before September 24, 2021.

ADDRESSES: Interested persons are invited to submit written comments by 
any of the following methods. Do not submit Confidential Business 
Information or otherwise sensitive or protected information.
    <bullet> Email: <a href="/cdn-cgi/l/email-protection#bdf4d3dbd2cfd0dcc9d4d2d3fed2d1d1d8dec9d4d2d3fdc8cecdc9d293dad2cb"><span class="__cf_email__" data-cfemail="87cee9e1e8f5eae6f3eee8e9c4e8ebebe2e4f3eee8e9c7f2f4f7f3e8a9e0e8f1">[email protected]</span></a>. Include ``0651-
0064 comment'' in the subject line of the message.
    <bullet> Federal Rulemaking Portal: http://www.regulations.gov.
    <bullet> Mail: Kimberly Hardy, Office of the Chief Administrative 
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 Parikha Mehta, Legal Advisor, Office of Patent 
Legal Administration, United States Patent and Trademark Office, P.O. 
Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-3248; or 
by email to <a href="/cdn-cgi/l/email-protection#41112033282a29206f0c2429352001343231352e6f262e37"><span class="__cf_email__" data-cfemail="90c0f1e2f9fbf8f1beddf5f8e4f1d0e5e3e0e4ffbef7ffe6">[email protected]</span></a> with ``0651-0064 comment'' in the 
subject line. Additional information about this information collection 
is also available at http://www.reginfo.gov under ``Information 
Collection Review.''

SUPPLEMENTARY INFORMATION:

I. 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.
    This renewal request incorporates an item that was previously 
approved under OMB control number 0651-0067 (Post Patent Public 
Submissions), specifically `information disclosure citations'. The 
title of this information collection is being updated to reflect that 
change with the inclusion of ``Post Patent Submissions''. As the 
information disclosure citation was the only item contained in 0651-
0067, that information collection will be discontinued.

II. Method of Collection

    The items in this information collection may be submitted online 
using the Patent Electronic Systems (EFS-Web or Patent Center), or on 
paper by either mail or hand delivery.

III. Data

    OMB Control Number: 0651-0064.
    Form Numbers: (SB = Specimen Book).
    <bullet> PTO/SB/42 (Information Disclosure Citation in a Patent).
    <bullet> PTO/SB/57 (Request for Ex Parte Reexamination Transmittal 
Form).
    <bullet> PTO/SB/59 (Request for Supplemental Examination 
Transmittal Form).
    Type of Review: Extension and revision of a currently approved 
information collection.
    Affected Public: Private sector; individuals or households.
    Estimated Number of Respondents: 864 respondents per year.
    Estimated Number of Responses: 880 responses per year.
    Estimated Time per Response: The USPTO estimates that it takes the 
public approximately between 30 minutes (0.5

[[Page 40016]]

hours) to 55 hours, depending on the complexity of the situation and 
item, to gather the necessary information, prepare the appropriate 
document(s), and submit the information to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 23,574 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: $9,429,600.

                                               Table 1--Total Hourly Burden for Private Sector Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Estimated       Estimated                                       Estimated
                                                             Estimated        annual         time for        Estimated     Rate \1\ ($/       annual
           Item No.                       Item                annual         responses       response     annual  burden       hour)        respondent
                                                            respondents       (year)          (hour)        (hour/year)                     cost burden
                                                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =
                                                                                                                     (c)                             (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................  Request for Supplemental               31              31              25             775             400        $310,000
                                Examination--PTO/SB/59.
2............................  Request for Ex Parte                  177             177              55           9,735             400       3,894,000
                                Reexamination--PTO/SB/57.
3............................  Petition in a                          68              68              23           1,564             400         625,600
                                Reexamination Proceeding
                                (except for those
                                specifically enumerated
                                in 37 CFR 1.550(i) and
                                1.937(d)).
4............................  Patent Owner's 37 CFR                  53              53               8             424             400         169,600
                                1.530 Statement.
5............................  Third Party Requester's                 9               9               8              72             400          28,800
                                37 CFR 1.535 Reply.
6............................  Amendment in Ex Parte or              230             230              33           7,590             400       3,036,000
                                Inter Partes
                                Reexamination.
7............................  Third Party Requester's                 1               1              41              41             400          16,400
                                37 CFR 1.947 Comments in
                                Inter Partes
                                Reexamination.
8............................  Response to Final                     118             118              17           2,006             400         802,400
                                Rejection in Ex Parte
                                Reexamination.
9............................  Patent Owner's 37 CFR                   2               2              41              82             400          32,800
                                1.951 Response in Inter
                                Partes Reexamination.
10...........................  Third Party Requester's                 2               2              41              82             400          32,800
                                37 CFR 1.951 Comments in
                                Inter Partes
                                Reexamination.
11...........................  Petition to Request                   116             116             0.5              58             400          23,200
                                Extension of Time in Ex
                                Parte or Inter Partes
                                Reexamination.
12...........................  Information Disclosure                 32              48              10             480             400         192,000
                                Citation in a Patent--
                                PTO/SB/42.
                              --------------------------------------------------------------------------------------------------------------------------
    Total....................  .........................             839             855  ..............          22,909  ..............       9,163,600
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms
  which is $400 per hour. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
  Compensation Survey by the National Association of Legal Assistants (NALA).


                                         Table 2--Total Hourly Burden For Individuals or Households Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                             Estimated       Estimated                                       Estimated
                                                             Estimated        annual         time for        Estimated     Rate \2\ ($/       annual
           Item No.                       Item                annual         responses       response     annual  burden       hour)        respondent
                                                            respondents       (year)          (hour)        (hour/year)                     cost burden
                                                                                     (a)             (b)     (a) x (b) =             (d)     (c) x (d) =
                                                                                                                     (c)                             (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................  Request for Supplemental                1               1              25              25             400         $10,000
                                Examination--PTO/SB/59.
2............................  Request for Ex Parte                    5               5              55             275             400         110,000
                                Reexamination--PTO/SB/57.
3............................  Petition in a                           2               2              23              46             400          18,400
                                Reexamination Proceeding
                                (except for those
                                specifically enumerated
                                in 37 CFR 1.550(i) and
                                1.937(d)).
4............................  Patent Owner's 37 CFR                   1               1               8               8             400           3,200
                                1.530 Statement.
6............................  Amendment in Ex Parte or                7               7              33             231             400          92,400
                                Inter Partes
                                Reexamination.
8............................  Response to Final                       4               4              17              68             400          27,200
                                Rejection in Ex Parte
                                Reexamination.
11...........................  Petition to Request                     4               4             0.5               2             400             800
                                Extension of Time in Ex
                                Parte or Inter Partes
                                Reexamination.
12...........................  Information Disclosure                  1               1              10              10             400           4,000
                                Citation in a Patent--
                                PTO/SB/42.
                              --------------------------------------------------------------------------------------------------------------------------
    Total....................  .........................              25              25  ..............             665  ..............         266,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
\2\ 2019 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); https://www.aipla.org/detail/journal-issue/2019-report-of-the-economic-survey. The USPTO uses the mean rate for attorneys in private firms
  which is $400 per hour. The hourly rate for paraprofessional/paralegals is estimated at $145 from data published in the 2018 Utilization and
  Compensation Survey by the National Association of Legal Assistants (NALA).

    Estimated Total Annual Respondent (Non-hourly) Cost Burden: 
$2,439,335. There are no capital start-up, recordkeeping, or 
maintenance costs associated with this information collection. However, 
this information collection does have annual (non-hour) costs in the 
form of postage costs and filing fees. Therefore, the USPTO

[[Page 40017]]

estimates that the total annual (non-hour) cost burden for this 
information collection, in the form of filing fees ($2,439,195) and 
postage costs ($140) is approximately $2,439,335.

Filing Fees

    There are nine filing fees associated with this information 
collection, which are broken down by undiscounted entity, small entity, 
and micro entity. These fees are listed in the table below.

                                   Table 3--Filing Fees (Non-Hour) Cost Burden
----------------------------------------------------------------------------------------------------------------
                                                                     Estimated                      Total  non-
           Item No.                           Item                    annual      Filing fee ($)    hour  cost
                                                                     responses                     burden  (yr)
                                                                             (a)             (b)     (a) x (b) =
                                                                                                             (c)
----------------------------------------------------------------------------------------------------------------
1.............................  Supplemental Examination Request              22           4,620        $101,640
                                 (undiscounted entity).
1.............................  Supplemental Examination Request              14           2,310          32,340
                                 (small entity).
1.............................  Supplemental Examination Request               1           1,155           1,155
                                 (micro entity).
1.............................  Supplemental Examination                      28          12,700         355,600
                                 Reexamination (undiscounted
                                 entity).
1.............................  Supplemental Examination                      15           6,350          95,250
                                 Reexamination (small entity).
1.............................  Supplemental Examination                       1           3,175           3,175
                                 Reexamination (micro entity).
1.............................  Supplemental Examination                       3             180             540
                                 document size fees, 21-50
                                 documents (undiscounted entity).
1.............................  Supplemental Examination                       3              90             270
                                 document size fees, 21-50
                                 documents (small entity).
1.............................  Supplemental Examination                       1              45              45
                                 document size fees, 21-50
                                 documents (micro entity).
1.............................  Supplemental examination                       3             300             900
                                 document size fees, each
                                 additional 50 documents
                                 (undiscounted entity).
1.............................  Supplemental examination                       1             150             150
                                 document size fees, each
                                 additional 50 documents (small
                                 entity).
1.............................  Supplemental examination                       1              75              75
                                 document size fees, each
                                 additional 50 documents (micro
                                 entity).
2.............................  Reexamination independent claims              23             480          11,040
                                 in excess of three and also in
                                 excess of the number of such
                                 claims in the patent under
                                 reexamination (undiscounted
                                 entity).
2.............................  Reexamination independent claims              12             240           2,880
                                 in excess of three and also in
                                 excess of the number of such
                                 claims in the patent under
                                 reexamination (small entity).
2.............................  Reexamination independent claims               1             120             120
                                 in excess of three and also in
                                 excess of the number of such
                                 claims in the patent under
                                 reexamination (micro entity).
2.............................  Reexamination claims in excess                38             100           3,800
                                 of 20 and also in excess of the
                                 number of claims in the patent
                                 under reexamination
                                 (undiscounted entity).
2.............................  Reexamination claims in excess                17              50             850
                                 of 20 and also in excess of the
                                 number of claims in the patent
                                 under reexamination (small
                                 entity).
2.............................  Reexamination claims in excess                 1              25              25
                                 of 20 and also in excess of the
                                 number of claims in the patent
                                 under reexamination (micro
                                 entity).
2.............................  Ex Parte Reexamination (Sec.                  22           6,300         138,600
                                 1.510(a)) Streamlined
                                 (undiscounted entity).
2.............................  Ex Parte Reexamination (Sec.                  40           3,150         126,000
                                 1.510(a)) Streamlined (small
                                 entity).
2.............................  Ex Parte Reexamination (Sec.                   2           1,575           3,150
                                 1.510(a)) Streamlined (micro
                                 entity).
2.............................  Ex Parte Reexamination (Sec.                  86          12,600       1,083,600
                                 1.510(a)) Non-Streamlined
                                 (undiscounted entity).
2.............................  Ex Parte Reexamination (Sec.                  56           6,300         352,800
                                 1.510(a)) Non-Streamlined
                                 (small entity).
2.............................  Ex Parte Reexamination (Sec.                  14           3,150          44,100
                                 1.510(a)) Non-Streamlined
                                 (micro entity).
3.............................  Petitions in a reexamination                  34           2,040          69,360
                                 proceeding, except for those
                                 specifically enumerated in 37
                                 CFR 1.550(i) and 1.937(d)
                                 (undiscounted entity).
3.............................  Petitions in a reexamination                  11           1,020          11,220
                                 proceeding, except for those
                                 specifically enumerated in 37
                                 CFR 1.550(i) and 1.937(d)
                                 (small entity).
3.............................  Petitions in a reexamination                   1             510             510
                                 proceeding, except for those
                                 specifically enumerated in 37
                                 CFR 1.550(i) and 1.937(d)
                                 (micro entity).
                               ---------------------------------------------------------------------------------
  Total.......................  ................................  ..............  ..............       2,439,195
----------------------------------------------------------------------------------------------------------------

Postage Costs

    The USPTO expects that at most 2% of the responses in this 
information collection will be submitted by mail. The USPTO estimates 
that the average postage cost for a mailed submission, using a Priority 
Mail 2-day flat rate legal envelope, will be $8.25. The USPTO estimates 
approximately 17 submissions per year may be mailed to the USPTO, for a 
total postage cost of $140 per year.
    Respondent's Obligation: Required to obtain or retain benefits.

IV. Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate 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) Evaluate the accuracy of the Agency's estimate of the burden of 
the proposed collection of information,

[[Page 40018]]

including the validity of the methodology and assumptions used;
    (c) Enhance the quality, utility, and clarity of the information to 
be collected; and
    (d) Minimize the burden of the collection on those who are to 
respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses.
    All comments submitted in response to this notice are a matter of 
public record. The USPTO will include or summarize each comment in the 
request to OMB to approve this information collection. Before including 
an address, phone number, email address, or other personal identifying 
information (PII) in a comment, be aware that the entire comment--
including PII--may be made publicly available at any time. While you 
may ask in your comment to withhold PII from public view, the USPTO 
cannot guarantee that it will be able to do so.

Kimberly Hardy,
Information Collections Officer, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2021-15875 Filed 7-23-21; 8:45 am]
BILLING CODE 3510-16-P


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