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, 40015-40018 [2021-15875]

Download as PDF Federal Register / Vol. 86, No. 140 / Monday, July 26, 2021 / Notices function and entering either the title of the collection or the OMB Control Number 0648–0456. Sheleen Dumas, Department PRA Clearance Officer, Office of the Chief Information Officer, Commerce Department. [FR Doc. 2021–15781 Filed 7–23–21; 8:45 am] BILLING CODE 3510–22–P 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 Notice of information collection; request for comment. ACTION: 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. • Email: InformationCollection@ uspto.gov. Include ‘‘0651–0064 comment’’ in the subject line of the message. • Federal Rulemaking Portal: http:// 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, 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 Parikha.Mehta@uspto.gov with ‘‘0651–0064 comment’’ in the subject jbell on DSKJLSW7X2PROD with NOTICES SUMMARY: VerDate Sep<11>2014 17:10 Jul 23, 2021 Jkt 253001 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 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 40015 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 postpatent 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). • PTO/SB/42 (Information Disclosure Citation in a Patent). • PTO/SB/57 (Request for Ex Parte Reexamination Transmittal Form). • 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 E:\FR\FM\26JYN1.SGM 26JYN1 40016 Federal Register / Vol. 86, No. 140 / Monday, July 26, 2021 / Notices 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: $9,429,600. TABLE 1—TOTAL HOURLY BURDEN FOR PRIVATE SECTOR RESPONDENTS Item No. 1 ......................... 2 ......................... 3 ......................... 4 ......................... 5 ......................... 6 ......................... 7 ......................... 8 ......................... 9 ......................... 10 ....................... 11 ....................... 12 ....................... Total ........... Estimated annual respondents Item Request for Supplemental Examination— PTO/SB/59. Request for Ex Parte Reexamination— PTO/SB/57. Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d)). Patent Owner’s 37 CFR 1.530 Statement Third Party Requester’s 37 CFR 1.535 Reply. Amendment in Ex Parte or Inter Partes Reexamination. Third Party Requester’s 37 CFR 1.947 Comments in Inter Partes Reexamination. Response to Final Rejection in Ex Parte Reexamination. Patent Owner’s 37 CFR 1.951 Response in Inter Partes Reexamination. Third Party Requester’s 37 CFR 1.951 Comments in Inter Partes Reexamination. Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination. Information Disclosure Citation in a Patent—PTO/SB/42. .................................................................... Estimated annual responses (year) Estimated time for response (hour) Estimated annual burden (hour/year) Rate 1 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) 31 31 25 775 400 $310,000 177 177 55 9,735 400 3,894,000 68 68 23 1,564 400 625,600 53 9 53 9 8 8 424 72 400 400 169,600 28,800 230 230 33 7,590 400 3,036,000 1 1 41 41 400 16,400 118 118 17 2,006 400 802,400 2 2 41 82 400 32,800 2 2 41 82 400 32,800 116 116 0.5 58 400 23,200 32 48 10 480 400 192,000 839 855 ........................ 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 $145 from data published in the 2018 Utilization and Compensation Survey by the National Association of Legal Assistants (NALA). TABLE 2—TOTAL HOURLY BURDEN FOR INDIVIDUALS OR HOUSEHOLDS RESPONDENTS Item No. 1 ......................... 2 ......................... 3 ......................... 4 ......................... 6 ......................... 8 ......................... 11 ....................... 12 ....................... Total ........... Estimated annual respondents Item Request for Supplemental Examination— PTO/SB/59. Request for Ex Parte Reexamination— PTO/SB/57. Petition in a Reexamination Proceeding (except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d)). Patent Owner’s 37 CFR 1.530 Statement Amendment in Ex Parte or Inter Partes Reexamination. Response to Final Rejection in Ex Parte Reexamination. Petition to Request Extension of Time in Ex Parte or Inter Partes Reexamination. Information Disclosure Citation in a Patent—PTO/SB/42. .................................................................... Estimated annual responses (year) Estimated time for response (hour) Estimated annual burden (hour/year) Rate 2 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) 1 1 25 25 400 $10,000 5 5 55 275 400 110,000 2 2 23 46 400 18,400 1 7 1 7 8 33 8 231 400 400 3,200 92,400 4 4 17 68 400 27,200 4 4 0.5 2 400 800 1 1 10 10 400 4,000 25 25 ........................ 665 ........................ 266,000 jbell on DSKJLSW7X2PROD with NOTICES 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, VerDate Sep<11>2014 17:10 Jul 23, 2021 Jkt 253001 recordkeeping, or maintenance costs associated with this information collection. However, this information PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 collection does have annual (non-hour) costs in the form of postage costs and filing fees. Therefore, the USPTO E:\FR\FM\26JYN1.SGM 26JYN1 40017 Federal Register / Vol. 86, No. 140 / Monday, July 26, 2021 / Notices estimates that the total annual (nonhour) cost burden for this information collection, in the form of filing fees ($2,439,195) and postage costs ($140) is approximately $2,439,335. Filing Fees There are nine filing fees associated with this information collection, which are broken down by undiscounted entity, small entity, and micro entity. These fees are listed in the table below. TABLE 3—FILING FEES (NON-HOUR) COST BURDEN Item No. 1 1 1 1 1 1 1 Item ...................... ...................... ...................... ...................... ...................... ...................... ...................... 1 ...................... 1 ...................... 1 ...................... 1 ...................... 1 ...................... 2 ...................... 2 ...................... 2 ...................... 2 ...................... 2 ...................... 2 ...................... 2 2 2 2 ...................... ...................... ...................... ...................... 2 ...................... 2 ...................... 3 ...................... 3 ...................... 3 ...................... jbell on DSKJLSW7X2PROD with NOTICES Total ............ Filing fee ($) Total non-hour cost burden (yr) (a) (b) (a) × (b) = (c) Supplemental Examination Request (undiscounted entity) ............................ Supplemental Examination Request (small entity) ......................................... Supplemental Examination Request (micro entity) ........................................ Supplemental Examination Reexamination (undiscounted entity) ................. Supplemental Examination Reexamination (small entity) .............................. Supplemental Examination Reexamination (micro entity) .............................. Supplemental Examination document size fees, 21–50 documents (undiscounted entity). Supplemental Examination document size fees, 21–50 documents (small entity). Supplemental Examination document size fees, 21–50 documents (micro entity). Supplemental examination document size fees, each additional 50 documents (undiscounted entity). Supplemental examination document size fees, each additional 50 documents (small entity). Supplemental examination document size fees, each additional 50 documents (micro entity). Reexamination independent claims in excess of three and also in excess of the number of such claims in the patent under reexamination (undiscounted entity). Reexamination independent claims in excess of three and also in excess of the number of such claims in the patent under reexamination (small entity). Reexamination independent claims in excess of three and also in excess of the number of such claims in the patent under reexamination (micro entity). Reexamination claims in excess of 20 and also in excess of the number of claims in the patent under reexamination (undiscounted entity). Reexamination claims in excess of 20 and also in excess of the number of claims in the patent under reexamination (small entity). Reexamination claims in excess of 20 and also in excess of the number of claims in the patent under reexamination (micro entity). Ex Parte Reexamination (§ 1.510(a)) Streamlined (undiscounted entity) ...... Ex Parte Reexamination (§ 1.510(a)) Streamlined (small entity) ................... Ex Parte Reexamination (§ 1.510(a)) Streamlined (micro entity) ................... Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (undiscounted entity). Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (small entity) ........... Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (micro entity) ........... Petitions in a reexamination proceeding, except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d) (undiscounted entity). Petitions in a reexamination proceeding, except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d) (small entity). Petitions in a reexamination proceeding, except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d) (micro entity). ......................................................................................................................... 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 VerDate Sep<11>2014 Estimated annual responses 17:10 Jul 23, 2021 Jkt 253001 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: PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 22 14 1 28 15 1 3 4,620 2,310 1,155 12,700 6,350 3,175 180 $101,640 32,340 1,155 355,600 95,250 3,175 540 3 90 270 1 45 45 3 300 900 1 150 150 1 75 75 23 480 11,040 12 240 2,880 1 120 120 38 100 3,800 17 50 850 1 25 25 22 40 2 86 6,300 3,150 1,575 12,600 138,600 126,000 3,150 1,083,600 56 14 34 6,300 3,150 2,040 352,800 44,100 69,360 11 1,020 11,220 1 510 510 ........................ ........................ 2,439,195 (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, E:\FR\FM\26JYN1.SGM 26JYN1 40018 Federal Register / Vol. 86, No. 140 / Monday, July 26, 2021 / Notices 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 CONSUMER PRODUCT SAFETY COMMISSION [Docket No. CPSC–2021–0020] Agency Information Collection Activities; Proposed Collection; Comment Request; Hazard Warning Communication Survey Consumer Product Safety Commission. ACTION: Notice. AGENCY: The Consumer Product Safety Commission (CPSC) is announcing an opportunity for public comment on a new proposed collection of information by the agency. Under the Paperwork Reduction Act of 1995 (PRA), federal agencies are required to publish notice in the Federal Register for each proposed collection of information, and to allow 60 days for public comment in response to the notice. This notice solicits comments on a proposed survey to assess how hazard warnings are communicated to consumers. The Commission will consider all comments received in response to this notice before submitting this collection of information to the Office of jbell on DSKJLSW7X2PROD with NOTICES SUMMARY: VerDate Sep<11>2014 17:10 Jul 23, 2021 Jkt 253001 Management and Budget (OMB) for approval. Submit written or electronic comments on the collection of information by September 24, 2021. ADDRESSES: You may submit comments, identified by Docket No. CPSC–2021– 0020, by any of the following methods: Electronic Submissions: Submit electronic comments to the Federal eRulemaking Portal at: https:// www.regulations.gov. Follow the instructions for submitting comments. CPSC does not accept comments submitted by electronic mail (email), except through https:// www.regulations.gov and as described below. CPSC encourages you to submit electronic comments by using the Federal eRulemaking Portal. Mail/hand delivery/courier Written Submissions: Submit comments by mail/hand delivery/courier to: Division of the Secretariat, Consumer Product Safety Commission, 4330 East-West Highway, Bethesda, MD 20814; telephone: (301) 504–7479. Alternatively, as a temporary option during the COVID–19 pandemic, you may email such submissions to: cpscos@cpsc.gov. Instructions: All submissions must include the agency name and docket number for this notice. CPSC may post all comments received without change, including any personal identifiers, contact information, or other personal information provided, to: https:// www.regulations.gov. Do not submit electronically: Confidential business information, trade secret information, or other sensitive or protected information that you do not want to be available to the public. If you wish to submit such information, please submit it according to the instructions for mail/hand delivery/courier written submissions. Docket: For access to the docket to read background documents or comments received, go to: https:// www.regulations.gov, insert Docket No. CPSC–2021–0020 into the ‘‘Search’’ box, and follow the prompts. A copy of the proposed survey is available at: http:// www.regulations.gov under Docket No. CPSC–2021–0020, Supporting and Related Material. FOR FURTHER INFORMATION CONTACT: Cynthia Gillham, Consumer Product Safety Commission, 4330 East-West Highway, Bethesda, MD 20814; (301) 504–7991, or by email to: cgillham@ cpsc.gov. DATES: Under the PRA (44 U.S.C. 3501–3520), federal agencies must obtain approval from OMB for each collection of information SUPPLEMENTARY INFORMATION: PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 they conduct or sponsor. ‘‘Collection of information’’ is defined in 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) and includes agency proposed surveys. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) requires federal agencies to provide a 60-day notice in the Federal Register concerning each proposed collection of information before submitting the collection to OMB for approval. Accordingly, CPSC is publishing notice of the proposed collection of information set forth in this document. A. Hazard Warning Communication Survey CPSC is authorized under section 5(a) of the Consumer Product Safety Act (CPSA), 15 U.S.C. 2054(a), to conduct studies and investigations relating to the causes and prevention of deaths, accidents, injuries, illnesses, other health impairments, and economic losses associated with consumer products. Section 5(b) of the CPSA, 15 U.S.C. 2054(b), further provides that CPSC may conduct research, studies, and investigations on the safety of consumer products, and develop product safety test methods and testing devices. CPSC proposes to conduct an online survey to gather data on consumer risk perception and response to hazard communications from 5,000 respondents. The study population will be comprised of individuals age 18 and over from across the United States. In this proposed survey, CPSC seeks information about consumer product use, including, but not limited to, the following topics: • Consumers’ beliefs, experiences, and tendencies regarding product safety; • whether consumers pay attention to instructions that come with products; • whether consumers read safety information and labels; • to what extent consumers comply with safety messages; • how product type influences consumers’ attitude and behavior; • what information resources consumers rely on before buying a product; • how product safety ranks among other factors consumers consider; • reasons consumers comply or do not comply with the safety messages; and • how consumers respond if they encounter a safety recall of the product they own. CPSC has contracted with Carahsoft/ Qualtrics, to develop and execute this project for CPSC. Information obtained through this survey is not intended to be considered nationally representative. E:\FR\FM\26JYN1.SGM 26JYN1

Agencies

[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.

-----------------------------------------------------------------------

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.
     Email: [email protected]. Include ``0651-
0064 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://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, 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 [email protected] 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).
     PTO/SB/42 (Information Disclosure Citation in a Patent).
     PTO/SB/57 (Request for Ex Parte Reexamination Transmittal 
Form).
     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