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
<![CDATA[
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: 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,
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 https://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: https://
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]
-----------------------------------------------------------------------
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: 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, 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 https://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
