Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Third-Party Submissions and Protests, 22939-22942 [2021-09037]
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22939
Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
TABLE 3—FILING FEES—NON-HOUR COST BURDEN FOR RULES FOR PATENT MAINTENANCE FEES
Item No.
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
3
Item
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
............................
Filing fee
Burden $
(a)
(b)
(a) × (b) = (c)
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (small entity) ..............
For Maintaining an Original or Any Reissue Patent, Due at 3.5 Years (micro entity) .............
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (small entity) ..............
For Maintaining an Original or Any Reissue Patent, Due at 7.5 Years (micro entity) .............
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (undiscounted entity)
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (small entity) ............
For Maintaining an Original or Any Reissue Patent, Due at 11.5 Years (micro entity) ...........
Surcharge—3.5 year—Late Payment Within 6 Months (undiscounted entity) .........................
Surcharge—3.5 year—Late Payment Within 6 Months (small entity) ......................................
Surcharge—3.5 year—Late Payment Within 6 Months (micro entity) ......................................
Surcharge—7.5 year—Late Payment Within 6 Months (undiscounted entity) .........................
Surcharge—7.5 year—Late Payment Within 6 Months (small entity) ......................................
Surcharge—7.5 year—Late Payment Within 6 Months (micro entity) ......................................
Surcharge—11.5 year—Late Payment Within 6 Months (undiscounted entity) .......................
Surcharge—11.5 year—Late Payment Within 6 Months (small entity) ....................................
Surcharge—11.5 year—Late Payment Within 6 Months (micro entity) ....................................
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force
(undiscounted entity).
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force (small entity)
Petition for the Delayed Payment of the Fee for Maintaining a Patent in Force (micro entity)
220,200
49,000
4,500
134,500
26,600
1,500
63,800
9,200
600
3,600
6,450
1,200
2,550
3,550
450
1,450
1,500
250
650
$2,000
1,000
500
3,760
1,880
940
7,700
3,850
1,925
500
250
125
500
250
125
500
250
125
2,100
$440,400,000
49,000,000
2,250,000
505,720,000
50,008,000
1,410,000
491,260,000
35,420,000
1,155,000
1,800,000
1,612,500
150,000
1,275,000
887,500
56,250
725,000
375,000
31,250
1,365,000
1,500
300
1,050
525
1,575,000
157,500
Totals .............................................................................................................................................................................
........................
........................
1,586,633,000
3 ............................
3 ............................
The public may submit the forms and
petitions in this information collection
to the USPTO by mail through the
United States Postal Service. The
USPTO estimates that the average
postage cost for a mailed submission,
using a Priority Mail 2-day flat rate legal
envelope, will be $8.05. The USPTO
estimates approximately 129
submissions per year may be mailed to
the USPTO, for a total postage cost of
$1,038 per year.
Respondent’s Obligation: Required to
obtain or retain benefits.
IV. Request for Comments
jbell on DSKJLSW7X2PROD with NOTICES
Responses
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 will have
practical utility;
(b) Evaluate the accuracy of the
Agency’s estimate of the burden of the
proposed collection of information,
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 of information 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.
VerDate Sep<11>2014
19:58 Apr 29, 2021
Jkt 253001
All comments submitted in response
to this notice are a matter of public
record. 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, 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. 2021–09035 Filed 4–29–21; 8:45 am]
BILLING CODE 3510–16–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
Agency Information Collection
Activities; Submission to the Office of
Management and Budget (OMB) for
Review and Approval; Comment
Request; Third-Party Submissions and
Protests
Notice of information collection;
request for comment.
ACTION:
The United States Patent and
Trademark Office (USPTO), in
accordance with the Paperwork
Reduction Act of 1995, invites
SUMMARY:
PO 00000
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comments on the extension and revision
of an existing information collection:
0651–0062 (Third-Party Submissions
and Protests). 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
June 29, 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.
• Email: InformationCollection@
uspto.gov. Include ‘‘0651–0062
comment’’ in the subject line of the
message.
• Federal Rulemaking Portal: https://
www.regulations.gov.
• 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,
Patent Examination Policy 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 Parikha.Mehta@
uspto.gov with ‘‘0651–0062 comment’’
in the subject line. Additional
information about this information
collection is also available at https://
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22940
Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
www.reginfo.gov under ‘‘Information
Collection Review.’’
SUPPLEMENTARY INFORMATION:
I. Abstract
The United States Patent and
Trademark Office (USPTO) is required
by 35 U.S.C. 131 et seq. to examine an
application for patent and, when
appropriate, issue a patent. The
provisions of 35 U.S.C. 122(c), 122(e),
131, and 151, as well as 37 CFR 1.290
and 1.291, limit the ability of a thirdparty to have information entered and
considered in, or to protest, a patent
application pending before the USPTO.
37 CFR 1.290 provides a mechanism
for third parties to submit to the
USPTO, for consideration and inclusion
in the record of a patent application,
any patents, published patent
applications, or other printed
publications of potential relevance to
the examination of the application.
A third-party submission under 37
CFR 1.290 may be made in any
nonprovisional utility, design, and plant
application, as well as in any continuing
application. A third-party submission
under 37 CFR 1.290 must include a
concise description of the asserted
relevance of each document submitted,
and must be submitted within a certain
statutorily specified time period.
37 CFR 1.291 permits a member of the
public to file a protest against a pending
application. Protests pursuant to 37 CFR
1.291 are supported by a separated
statutory provision from third-party
submissions under 37 CFR 1.290. As a
result, there are several differences
between protests and third-party
submissions, as explained in the table
below.
TABLE 1—COMPARISON OF THIRD-PARTY SUBMISSION AND PROTESTS
Comparison
Third-party submission
Protest
Statute/Regulation ................
Content .................................
35 U.S.C. 122(e), 37 CFR 1.290 ....................................
Printed publications .........................................................
Remarks ...............................
Concise description of relevance (limited to a concise
description of each document’s relevance).
Prior to Allowance and prior to later of: 6 months after
Pre-Grant Publication or first rejection of any claim.
35 U.S.C. 122(c), 37 CFR 1.291.
Printing publications and any facts or information adverse to patentability.
Concise explanation of the relevance (allows for arguments against patentability).
Prior to Allowance and prior to Pre-Grant Publication
OR Prior to Allowance and after and after Pre-Grant
Publication with application consent.
Timing ..................................
This information collection covers the
items needed to provide the public the
means to submit information and
protests regarding patent applications to
the USPTO. This information collection
is necessary so that the public may
contribute to the quality of issued
patents. The USPTO will use this
information, as appropriate, to assist in
evaluating the patent application as it
moves through the patent examination
process.
II. Method of Collection
OMB Control Number: 0651–0062.
Form Number:
• PTO/SB/429 (Third-Party Submission
Under 37 CFR 1.290)
Type of Review: Extension and
revision of a currently approved
information collection.
Affected Public: Private sector;
individuals or households.
Estimated Number of Respondents:
880 per year.
Estimated Number of Responses: 880
per year.
Estimated Time per Response: The
USPTO estimates that it takes the public
approximately 10 hours to complete this
information, depending upon the
application. This includes the time to
gather the necessary information,
prepare and maintain the documents,
and submit the items to the USPTO.
Estimated Total Annual Hour Burden:
8,800 hours.
Estimated Total Annual Cost Burden
(Hourly): $3,520,000.
TABLE 2—BURDEN HOUR/BURDEN COST TO RESPONDENTS FOR PRIVATE SECTOR
Item No.
Estimated
annual
respondents
Item
1 ............................
2 ............................
Total ..............
Estimated
annual
responses
(year)
Estimated
time for
response
(hours)
Estimated
annual
burden
(hour/year)
Rate 1
($/hour)
Estimated
annual
respondent
cost burden
(a)
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
Third-Party Submissions in Nonissued
Applications.
Protests by the Public Against Pending
Applications Under 37 CFR 1.291.
800
800
10
8,000
$400
$3,200,000
19
19
10
190
400
76,000
................................................................
819
819
........................
8,190
........................
3,276,000
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 $400 per hour.
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TABLE 3—BURDEN HOUR/BURDEN COST TO RESPONDENTS FOR INDIVIDUALS OR HOUSEHOLDS
Item No.
1 ............................
VerDate Sep<11>2014
Estimated
annual
respondents
Item
Third-Party Submissions in Nonissued
Applications.
19:58 Apr 29, 2021
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Estimated
annual
responses
(year)
Estimated
time for
response
(hours)
Estimated
annual
burden
(hour/year)
Rate 2
($/hour)
Estimated
annual
respondent
cost burden
(a)
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
60
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60
Sfmt 4703
10
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600
30APN1
$400
$240,000
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Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
TABLE 3—BURDEN HOUR/BURDEN COST TO RESPONDENTS FOR INDIVIDUALS OR HOUSEHOLDS—Continued
Item No.
Estimated
annual
respondents
Item
Estimated
annual
responses
(year)
Estimated
time for
response
(hours)
Estimated
annual
burden
(hour/year)
Rate 2
($/hour)
Estimated
annual
respondent
cost burden
(a)
(b)
(a) × (b) = (c)
(d)
(c) × (d) = (e)
2 ............................
Protests by the Public Against Pending
Applications Under 37 CFR 1.291.
1
1
10
10
400
4,000
Total ..............
................................................................
61
61
........................
610
........................
244,000
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.
Estimated Total Annual (Non-hour)
Respondent Cost Burden: $80,456. This
information collection has no capital
start-up, maintenance, or operating fees.
However, there are postage costs and
filing fees. The total non-hour
respondent cost burden for this
information collection in the form of
filing fees ($80,335) and postage costs
($121) is approximately $80,456.
In particular, 37 CFR 1.290 requires
payment of the fee set forth in 37 CFR
1.17(o) for every ten documents, or
fraction thereof, listed in each thirdparty submission.
The USPTO provides an exemption
from the 1.17(o) fee requirement where
a third-party submission listing three or
fewer total documents is the first thirdparty submission submitted in an
application by the third-party, or a party
in privity with the third-party. The
effect of this is that the first three
documents submitted by a third-party
are exempt from the fee requirement.
However, the submission of four or
more documents by a third-party
triggers the collection of the fee.
There is no fee for filing protests
under 37 CFR 1.291 unless the filed
protest is the second or subsequent
protest by the same real party in
interest, in which case the 37 CFR
1.17(i) fee must be included. The
USPTO estimates that only 1 out of
every 10 protests filed per year will
require this fee.
TABLE 4—FILING FEES
Item No.
Item
1 ........................
1 ........................
2 ........................
2 ........................
2 ........................
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Total ...........
Filing fee
($)
Total
non-hour
cost burden
($)
(a)
(b)
(a) × (b) = (c)
Third-Party Submissions in Nonissued Applications (undiscounted entities).
Third-Party Submissions in Nonissued Applications (small and micro entities).
Protests by the Public Against Pending Applications Under 37 CFR
1.291—second or subsequent protest by the same real party in interest
(undiscounted entities).
Protests by the Public Against Pending Applications Under 37 CFR
1.291—second or subsequent protest by the same real party in interest
(small entities).
Protests by the Public Against Pending Applications Under 37 CFR
1.291—second or subsequent protest by the same real party in interest
(micro entities).
390
$180
$70,200
110
90
9,900
1
130
130
1
70
70
1
35
35
.......................................................................................................................
........................
........................
80,335
Although the USPTO prefers that the
items in this information collection be
submitted electronically, responses may
be submitted by mail through the
United States Postal Service (USPS).
The USPTO estimates that the average
postage cost for a mailed submission,
using a Priority Mail 2-day flat rate legal
envelope, will be $8.05. The USPTO
estimates that 15 submissions may be
mailed to the USPTO, for a total postage
cost of $121 per year.
Respondent’s Obligation: Required to
obtain or retain benefits.
VerDate Sep<11>2014
Estimated
annual
responses
19:58 Apr 29, 2021
Jkt 253001
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 will have
practical utility;
(b) Evaluate the accuracy of the
Agency’s estimate of the burden of the
proposed collection of information,
including the validity of the
methodology and assumptions used;
PO 00000
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Fmt 4703
Sfmt 4703
(c) Enhance the quality, utility, and
clarity of the information to be
collected; and
(d) Minimize the burden of the
collection of information 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. USPTO will include or
summarize each comment in the request
to OMB to approve this information
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30APN1
22942
Federal Register / Vol. 86, No. 82 / Friday, April 30, 2021 / Notices
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, 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. 2021–09037 Filed 4–29–21; 8:45 am]
BILLING CODE 3510–16–P
Procurement List; Proposed Additions
and Deletions
Committee for Purchase From
People Who Are Blind or Severely
Disabled.
ACTION: Proposed Additions to and
Deletions from the Procurement List.
AGENCY:
The Committee is proposing
to add product(s) to the Procurement
List that will be furnished by nonprofit
agencies employing persons who are
blind or have other severe disabilities,
and deletes product(s) previously
furnished by such agencies.
DATES: Comments must be received on
or before: May 30, 2021.
ADDRESSES: Committee for Purchase
From People Who Are Blind or Severely
Disabled, 1401 S Clark Street, Suite 715,
Arlington, Virginia 22202–4149.
FOR FURTHER INFORMATION CONTACT: For
further information or to submit
comments contact: Michael R.
Jurkowski, Telephone: (703) 603–2117,
Fax: (703) 603–0655, or email
CMTEFedReg@AbilityOne.gov.
SUPPLEMENTARY INFORMATION: This
notice is published pursuant to 41
U.S.C. 8503 (a)(2) and 41 CFR 51–2.3. Its
purpose is to provide interested persons
an opportunity to submit comments on
the proposed actions.
SUMMARY:
jbell on DSKJLSW7X2PROD with NOTICES
Additions
If the Committee approves the
proposed additions, the entities of the
Federal Government identified in this
notice will be required to procure the
product(s) listed below from nonprofit
agencies employing persons who are
blind or have other severe disabilities.
The following product(s) are proposed
for addition to the Procurement List for
19:58 Apr 29, 2021
Product(s)
NSN(s)—Product Name(s): MR 1194—
Cleaning Cloth, DuraFresh, 2 Pack
Designated Source of Supply: Alphapointe,
Kansas City, MO
Contracting Activity: Military Resale-Defense
Commissary Agency
NSN(s)—Product Name(s): 1095–01–577–
1801—Knife, Combat, Tanto Point,
Automatic, 3.6’’ Blade
Designated Source of Supply: DePaul
Industries, Portland, OR
Contracting Activity: DEFENSE LOGISTICS
AGENCY, DLA LAND AND MARITIME
Deletions
COMMITTEE FOR PURCHASE FROM
PEOPLE WHO ARE BLIND OR
SEVERELY DISABLED
VerDate Sep<11>2014
production by the nonprofit agencies
listed:
Jkt 253001
The following product(s) are proposed
for deletion from the Procurement List:
Product(s)
NSN(s)—Product Name(s): 8530–00–080–
7630—Toothbrush, Child
Contracting Activity: DLA TROOP SUPPORT,
PHILADELPHIA, PA
NSN(s)—Product Name(s):
8530–01–293–1388—Toothbrush, Child’s
(Multituft)
8520–01–303–6438—Toothpaste, 1.4 oz.,
Non-Fluoride
Contracting Activity: GSA/FSS GREATER
SOUTHWEST ACQUISITI, FORT
WORTH, TX
Michael R. Jurkowski,
Deputy Director, Business & PL Operations.
[FR Doc. 2021–09087 Filed 4–29–21; 8:45 am]
BILLING CODE 6353–01–P
COMMITTEE FOR PURCHASE FROM
PEOPLE WHO ARE BLIND OR
SEVERELY DISABLED
Procurement List; Additions and
Deletions
Committee for Purchase From
People Who Are Blind or Severely
Disabled.
ACTION: Additions to and Deletions from
the Procurement List.
AGENCY:
This action adds service(s) to
the Procurement List that will be
furnished by nonprofit agencies
employing persons who are blind or
have other severe disabilities, and
deletes product(s) and service(s) from
the Procurement List previously
furnished by such agencies.
DATES: Date added to and deleted from
the Procurement List: May 30, 2021.
ADDRESSES: Committee for Purchase
From People Who Are Blind or Severely
Disabled, 1401 S Clark Street, Suite 715,
Arlington, Virginia 22202–4149.
FOR FURTHER INFORMATION CONTACT:
Michael R. Jurkowski, Telephone: (703)
SUMMARY:
PO 00000
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Fmt 4703
Sfmt 4703
603–2117, Fax: (703) 603–0655, or email
CMTEFedReg@AbilityOne.gov.
SUPPLEMENTARY INFORMATION:
Additions
On 11/27/2020 and 3/5/2021, the
Committee for Purchase From People
Who Are Blind or Severely Disabled
published notice of proposed additions
to the Procurement List. This notice is
published pursuant to 41 U.S.C. 8503
(a)(2) and 41 CFR 51–2.3.
After consideration of the material
presented to it concerning capability of
qualified nonprofit agencies to provide
the service(s) and impact of the
additions on the current or most recent
contractors, the Committee has
determined that the service(s) listed
below are suitable for procurement by
the Federal Government under 41 U.S.C.
8501–8506 and 41 CFR 51–2.4.
Regulatory Flexibility Act Certification
I certify that the following action will
not have a significant impact on a
substantial number of small entities.
The major factors considered for this
certification were:
1. The action will not result in any
additional reporting, recordkeeping or
other compliance requirements for small
entities other than the small
organizations that will furnish the
service(s) to the Government.
2. The action will result in
authorizing small entities to furnish the
service(s) to the Government.
3. There are no known regulatory
alternatives which would accomplish
the objectives of the Javits-WagnerO’Day Act (41 U.S.C. 8501–8506) in
connection with the service(s) proposed
for addition to the Procurement List.
End of Certification
Accordingly, the following service(s)
are added to the Procurement List:
Service(s)
Service Type: Contractor Operated Civil
Engineer Supply Store
Mandatory for: US Air Force, Whiteman
AFB, MO
Designated Source of Supply: South Texas
Lighthouse for the Blind, Corpus Christi,
TX
Contracting Activity: DEPT OF THE AIR
FORCE, FA4625 509 CONS CC
One (1) public comment was received
in response to the Federal Register
notice of November 27, 2020 (85 FR
229) regarding the proposed addition to
the Procurement List of the requirement
to operate a Contractor Operated Civil
Engineer Supply Store (COCESS) for the
U.S. Air Force at Whiteman AFB, MO.
The commenter stated that the proposed
service was not suitable for performance
under the AbilityOne Program. The
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]]>Agencies
[Federal Register Volume 86, Number 82 (Friday, April 30, 2021)]
[Notices]
[Pages 22939-22942]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-09037]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
Agency Information Collection Activities; Submission to the
Office of Management and Budget (OMB) for Review and Approval; Comment
Request; Third-Party Submissions and Protests
ACTION: Notice of information collection; request for comment.
-----------------------------------------------------------------------
SUMMARY: The United States Patent and Trademark Office (USPTO), in
accordance with the Paperwork Reduction Act of 1995, invites comments
on the extension and revision of an existing information collection:
0651-0062 (Third-Party Submissions and Protests). 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 June 29, 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.
Email: [email protected]. Include ``0651-
0062 comment'' in the subject line of the message.
Federal Rulemaking Portal: https://www.regulations.gov.
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, Patent Examination Policy 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 [email protected] with
``0651-0062 comment'' in the subject line. Additional information about
this information collection is also available at https://
[[Page 22940]]
www.reginfo.gov under ``Information Collection Review.''
SUPPLEMENTARY INFORMATION:
I. Abstract
The United States Patent and Trademark Office (USPTO) is required
by 35 U.S.C. 131 et seq. to examine an application for patent and, when
appropriate, issue a patent. The provisions of 35 U.S.C. 122(c),
122(e), 131, and 151, as well as 37 CFR 1.290 and 1.291, limit the
ability of a third-party to have information entered and considered in,
or to protest, a patent application pending before the USPTO.
37 CFR 1.290 provides a mechanism for third parties to submit to
the USPTO, for consideration and inclusion in the record of a patent
application, any patents, published patent applications, or other
printed publications of potential relevance to the examination of the
application.
A third-party submission under 37 CFR 1.290 may be made in any
nonprovisional utility, design, and plant application, as well as in
any continuing application. A third-party submission under 37 CFR 1.290
must include a concise description of the asserted relevance of each
document submitted, and must be submitted within a certain statutorily
specified time period.
37 CFR 1.291 permits a member of the public to file a protest
against a pending application. Protests pursuant to 37 CFR 1.291 are
supported by a separated statutory provision from third-party
submissions under 37 CFR 1.290. As a result, there are several
differences between protests and third-party submissions, as explained
in the table below.
Table 1--Comparison of Third-Party Submission and Protests
------------------------------------------------------------------------
Third-party
Comparison submission Protest
------------------------------------------------------------------------
Statute/Regulation.......... 35 U.S.C. 122(e), 37 35 U.S.C. 122(c), 37
CFR 1.290. CFR 1.291.
Content..................... Printed publications Printing
publications and
any facts or
information adverse
to patentability.
Remarks..................... Concise description Concise explanation
of relevance of the relevance
(limited to a (allows for
concise description arguments against
of each document's patentability).
relevance).
Timing...................... Prior to Allowance Prior to Allowance
and prior to later and prior to Pre-
of: 6 months after Grant Publication
Pre-Grant OR Prior to
Publication or Allowance and after
first rejection of and after Pre-Grant
any claim. Publication with
application
consent.
------------------------------------------------------------------------
This information collection covers the items needed to provide the
public the means to submit information and protests regarding patent
applications to the USPTO. This information collection is necessary so
that the public may contribute to the quality of issued patents. The
USPTO will use this information, as appropriate, to assist in
evaluating the patent application as it moves through the patent
examination process.
II. Method of Collection
OMB Control Number: 0651-0062.
Form Number:
PTO/SB/429 (Third-Party Submission Under 37 CFR 1.290)
Type of Review: Extension and revision of a currently approved
information collection.
Affected Public: Private sector; individuals or households.
Estimated Number of Respondents: 880 per year.
Estimated Number of Responses: 880 per year.
Estimated Time per Response: The USPTO estimates that it takes the
public approximately 10 hours to complete this information, depending
upon the application. This includes the time to gather the necessary
information, prepare and maintain the documents, and submit the items
to the USPTO.
Estimated Total Annual Hour Burden: 8,800 hours.
Estimated Total Annual Cost Burden (Hourly): $3,520,000.
Table 2--Burden Hour/Burden Cost to Respondents for Private Sector
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Estimated
Estimated annual Estimated time Estimated Rate \1\ ($/ annual
Item No. Item annual responses for response annual burden hour) respondent
respondents (year) (hours) (hour/year) cost burden
(a) (b) (a) x (b) = (d) (c) x (d) =
(c) (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................. Third-Party Submissions 800 800 10 8,000 $400 $3,200,000
in Nonissued
Applications.
2............................. Protests by the Public 19 19 10 190 400 76,000
Against Pending
Applications Under 37
CFR 1.291.
-----------------------------------------------------------------------------------------------
Total..................... ........................ 819 819 .............. 8,190 .............. 3,276,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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 $400 per hour.
Table 3--Burden Hour/Burden Cost to Respondents for Individuals or Households
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated Estimated
Estimated annual Estimated time Estimated Rate \2\ ($/ annual
Item No. Item annual responses for response annual burden hour) respondent
respondents (year) (hours) (hour/year) cost burden
(a) (b) (a) x (b) = (d) (c) x (d) =
(c) (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1............................. Third-Party Submissions 60 60 10 600 $400 $240,000
in Nonissued
Applications.
[[Page 22941]]
2............................. Protests by the Public 1 1 10 10 400 4,000
Against Pending
Applications Under 37
CFR 1.291.
-----------------------------------------------------------------------------------------------
Total..................... ........................ 61 61 .............. 610 .............. 244,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
\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.
Estimated Total Annual (Non-hour) Respondent Cost Burden: $80,456.
This information collection has no capital start-up, maintenance, or
operating fees. However, there are postage costs and filing fees. The
total non-hour respondent cost burden for this information collection
in the form of filing fees ($80,335) and postage costs ($121) is
approximately $80,456.
In particular, 37 CFR 1.290 requires payment of the fee set forth
in 37 CFR 1.17(o) for every ten documents, or fraction thereof, listed
in each third-party submission.
The USPTO provides an exemption from the 1.17(o) fee requirement
where a third-party submission listing three or fewer total documents
is the first third-party submission submitted in an application by the
third-party, or a party in privity with the third-party. The effect of
this is that the first three documents submitted by a third-party are
exempt from the fee requirement. However, the submission of four or
more documents by a third-party triggers the collection of the fee.
There is no fee for filing protests under 37 CFR 1.291 unless the
filed protest is the second or subsequent protest by the same real
party in interest, in which case the 37 CFR 1.17(i) fee must be
included. The USPTO estimates that only 1 out of every 10 protests
filed per year will require this fee.
Table 4--Filing Fees
----------------------------------------------------------------------------------------------------------------
Estimated Total non-hour
Item No. Item annual Filing fee ($) cost burden
responses ($)
(a) (b) (a) x (b) =
(c)
----------------------------------------------------------------------------------------------------------------
1................................. Third-Party Submissions in 390 $180 $70,200
Nonissued Applications
(undiscounted entities).
1................................. Third-Party Submissions in 110 90 9,900
Nonissued Applications
(small and micro entities).
2................................. Protests by the Public 1 130 130
Against Pending
Applications Under 37 CFR
1.291--second or subsequent
protest by the same real
party in interest
(undiscounted entities).
2................................. Protests by the Public 1 70 70
Against Pending
Applications Under 37 CFR
1.291--second or subsequent
protest by the same real
party in interest (small
entities).
2................................. Protests by the Public 1 35 35
Against Pending
Applications Under 37 CFR
1.291--second or subsequent
protest by the same real
party in interest (micro
entities).
-----------------------------------------------
Total......................... ............................ .............. .............. 80,335
----------------------------------------------------------------------------------------------------------------
Although the USPTO prefers that the items in this information
collection be submitted electronically, responses may be submitted by
mail through the United States Postal Service (USPS). The USPTO
estimates that the average postage cost for a mailed submission, using
a Priority Mail 2-day flat rate legal envelope, will be $8.05. The
USPTO estimates that 15 submissions may be mailed to the USPTO, for a
total postage cost of $121 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 will have practical utility;
(b) Evaluate the accuracy of the Agency's estimate of the burden of
the proposed collection of information, 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 of information 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. USPTO will include or summarize each comment in the
request to OMB to approve this information
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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, 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. 2021-09037 Filed 4-29-21; 8:45 am]
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