Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Patent Review and Derivation Proceedings, 69228-69232 [2021-26441]

Download as PDF 69228 Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Notices DEPARTMENT OF COMMERCE National Institute of Standards and Technology Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Generic Clearance for Usability Data Collections National Institute of Standards and Technology (NIST), Commerce. ACTION: Notice of information collection, request for comment. AGENCY: The Department of Commerce, in accordance with the Paperwork Reduction Act of 1995 (PRA), invites the general public and other Federal agencies to comment on proposed, and continuing information collections, which helps us assess the impact of our information collection requirements and minimize the public’s reporting burden. The purpose of this notice is to allow for 60 days of public comment preceding submission of the collection to OMB. DATES: To ensure consideration, comments regarding this proposed information collection must be received on or before February 7, 2022. ADDRESSES: Interested persons are invited to submit written comments by mail to Maureen O’Reilly, Management Analyst, NIST by email to PRAcomments@doc.gov. Please reference OMB Control Number 0693– 0043 in the subject line of your comments. Do not submit Confidential Business Information or otherwise sensitive or protected information. FOR FURTHER INFORMATION CONTACT: Requests for additional information or specific questions related to collection activities should be directed to Maureen O’Reilly, Management Analyst, NIST, 100 Bureau Drive, MS 1710, Gaithersburg, MD 20899, 301–975–3189, maureen.oreilly@nist.gov. SUPPLEMENTARY INFORMATION: lotter on DSK11XQN23PROD with NOTICES1 SUMMARY: I. Abstract In accordance with the Executive Order 12862, the National Institute of Standards and Technology (NIST), a non-regulatory agency of the Department of Commerce, proposes to conduct both quantitative and qualitative data collections. The data collections will be designed to determine requirements and evaluate the usability and utility of NIST research for measurement and standardization work. These data collections efforts may include, but may not be limited to electronic VerDate Sep<11>2014 17:30 Dec 06, 2021 Jkt 256001 methodologies, empirical studies, video and audio collections, interviews, and questionnaires. For example, data collection efforts may include the public safety communications survey and the smart home devices study. NIST will limit its inquiries to data collections that solicit strictly voluntary opinions or responses. NIST will not conduct individual data collections under this generic clearance that are mandatory, required, or regulated. The data collected will be used to guide NIST research. II. Method of Collection NIST will collect this information by electronic means, when possible, as well as by mail, fax, telephone and person-to-person interviews. If an information collection is conducted in person, NIST will provide the respondent with a paper copy of the collection instrument that displays the ‘‘public burden statement’’, OMB Control # and current Expiration date. III. Data OMB Control Number: 0693–0043. Form Number(s): None. Type of Review: Regular submission, extension of a current information collection. Affected Public: Individuals or households, State, local or tribal government, Federal government. Estimated Number of Respondents: 150,000. Estimated Time per Response: Varied, dependent upon the data collection method used. The estimated response time to complete a questionnaire is 15 minutes or 2 hours to participate in an empirical study. Estimated Total Annual Burden Hours: 100,000. Estimated Total Annual Cost to Public: $0. Respondent’s Obligation: Voluntary. IV. Request for Comments We are soliciting public comments to permit the Department/Bureau to: (a) Evaluate whether the proposed information collection is necessary for the proper functions of the Department, including whether the information will have practical utility; (b) Evaluate the accuracy of our estimate of the time and cost burden for this proposed collection, including the validity of the methodology and assumptions used; (c) Evaluate ways to enhance the quality, utility, and clarity of the information to be collected; and (d) Minimize the reporting burden on those who are to respond, including the use of automated collection techniques or other forms of information technology. PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 Comments that you submit in response to this notice are a matter of public record. We will include or summarize each comment in our request to OMB to approve this ICR. Before including your address, phone number, email address, or other personal identifying information in your comment, you should be aware that your entire comment—including your personal identifying information—may be made publicly available at any time. While you may ask us in your comment to withhold your personal identifying information from public review, we cannot guarantee that we will be able to do so. Sheleen Dumas, Department PRA Clearance Officer, Office of the Chief Information Officer, Commerce Department. [FR Doc. 2021–26514 Filed 12–6–21; 8:45 am] BILLING CODE 3510–13–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 Review and Derivation Proceedings United States Patent and Trademark Office, Department of Commerce. ACTION: Notice of information collection; request for comment. AGENCY: 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: 0651–0069 (Patent Review and Derivation Proceedings). 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 February 7, 2022. 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 ‘‘0651–0069 comment’’ in the subject line of the message. • Federal Rulemaking Portal: http:// www.regulations.gov. SUMMARY: E:\FR\FM\07DEN1.SGM 07DEN1 69229 Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Notices • 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 Michael P. Tierney, Vice Chief Administrative Patent Judge, Patent Trial and Appeals Board, United States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313–1450; by telephone at 571–272–4676; or by email to Michael.Tierney@uspto.gov with ‘‘0651–0069 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 Leahy-Smith America Invents Act, which was enacted into law on September 16, 2011, provided for many changes to the procedures of the Patent Trial and Appeal Board (‘‘PTAB’’ or ‘‘Board’’, formerly the Board of Patent Appeals and Interferences) procedures. These changes included the introduction of inter partes review, post-grant review, derivation proceedings, and the transitional program for covered business method patents. Under these administrative trial proceedings, third parties may file a petition with the PTAB challenging the validity of issued patents, with each proceeding having different requirements regarding timing restrictions, grounds for challenging validity, and who may request review. Inter partes review is a trial proceeding conducted at the Board to review the patentability of one or more claims in a patent only on a ground that could be raised under §§ 102 or 103, and only on the basis of prior art consisting of patents or printed publications. Post grant review is a trial proceeding conducted at the Board to review the patentability of one or more claims in a patent on any ground that could be raised under § 282(b)(2) or (3). A derivation proceeding is a trial proceeding conducted at the Board to determine whether (1) an inventor named in an earlier application derived the claimed invention from an inventor named in the petitioner’s application, and (2) the earlier application claiming such invention was filed without authorization. The transitional program for covered business method patents is a trial proceeding conducted at the Board to review the patentability of one or more claims in a covered business method patent. The covered business method program expired on September 16, 2020 and the Board no longer accepts new petitions related to this program, but continues to accept papers in previously-instituted proceedings. This information collection covers information submitted by the public to petition the Board to initiate an inter partes review, post-grant review, derivation proceeding, and the transitional program for covered business method patents, as well as any responses to such petitions, and the filing of any motions, replies, oppositions, and other actions, after a review/proceeding has been instituted. II. Method of Collection Applicants submit the information electronically using the PTAB End-toEnd (PTAB E2E) filing system. Parties may seek authorization to submit a filing by means other than electronic filing pursuant to 42 CFR 42.6(b)(2). III. Data OMB Control Number: 0651–0069. Form Numbers: None. Type of Review: Extension and revision of a currently approved information collection. Affected Public: Private sector; individuals or households. Estimated Number of Respondents: 9,138 respondents per year. Estimated Number of Responses: 12,238 responses per year. Estimated Time per Response: The USPTO estimates that the responses in this information collection will take the public between 30 minutes (0.5 hours) and 165 hours to complete. This includes the time to gather the necessary information, create the document, and submit the completed request to the USPTO. Estimated Total Annual Respondent Burden Hours: 1,360,058 hours. Estimated Total Annual Respondent (Hourly) Cost Burden: $591,625,230. TABLE 1—BURDEN HOUR/BURDEN COST TO PRIVATE SECTOR RESPONDENTS Item No. 1 ............... 2 ............... 3 ............... 4 ............... lotter on DSK11XQN23PROD with NOTICES1 5 ............... 6 ............... 7 ............... Item Estimated annual respondents Responses per respondent Estimated annual responses Estimated time for response (hours) Estimated burden (hour/year) Rate1 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) Petition for Inter Partes Review. Petition for Post-Grant Review or Covered Business Method Patent Review. Petition for Derivation ... Patent Owner Preliminary Response to Petition for Initial Inter Partes Review. Patent Owner Preliminary Response to Petition for Initial PostGrant Review or Covered Business Method Patent Review. Request for Rehearing Other Motions, Replies, Surreplies, and Oppositions in Inter Partes Review. VerDate Sep<11>2014 17:30 Dec 06, 2021 Jkt 256001 1,450 1 1,450 124 179,800 $435 $78,213,000 100 1 100 165 16,500 435 7,177,500 10 1,175 1 1 10 1,175 165 91 1,650 106,925 435 435 717,750 46,512,375 100 1 100 91 9,100 435 3,958,500 250 2,900 1 2 250 5,800 80 158 20,000 916,400 435 435 8,700,000 398,634,000 PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\07DEN1.SGM 07DEN1 69230 Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Notices TABLE 1—BURDEN HOUR/BURDEN COST TO PRIVATE SECTOR RESPONDENTS—Continued Item No. 8 ............... 9 ............... 10 ............. 11 ............. 12 ............. 13 ............. 14 ............. 15 ............. 16 ............. Item Estimated annual respondents Responses per respondent Estimated annual responses Estimated time for response (hours) Estimated burden (hour/year) Rate1 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) Other Motions, Replies, Surreplies, and Oppositions in Post-Grant Review or Covered Business Method Review. Other Motions, Replies, Surreplies, and Oppositions in Derivation Proceedings. Pro Hac Vice Admission Motion. Request for Oral Hearing. Request to Treat a Settlement as Business Confidential. Settlement .................... Arbitration Agreement and Award. Request to Make a Settlement Agreement Available. Notice of Judicial Review of a Board Decision (e.g. Notice of Appeal Under 35 U.S.C. § 142). Total ...................... 200 2 400 148 59,200 435 25,752,000 10 1 10 120 1,200 435 522,000 950 1 950 *0.5 475 435 206,625 575 1 575 2 1,150 435 500,250 450 1 450 2 900 435 391,500 450 1 1 1 450 1 100 4 45,000 4 435 435 19,575,000 1,740 1 1 1 1 1 435 435 500 1 500 1 500 435 217,500 9,222 ........................ 12,222 ........................ 1,358,805 ................ 591,080,175 * (30 minutes). 1 2021 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); pg. F–27. The USPTO uses the average billing rate for intellectual property attorneys in private firms which is $435 per hour. TABLE 2—BURDEN HOUR/BURDEN COST TO INDIVIDUALS OR HOUSEHOLDS RESPONDENTS Item No. 1 ............... 2 ............... 3 ............... 4 ............... 5 ............... 6 ............... 7 ............... lotter on DSK11XQN23PROD with NOTICES1 8 ............... 9 ............... 10 ............. Item Estimated annual respondents Responses per respondent Estimated annual responses Estimated time for response (hours) Estimated burden (hour/year) Rate 2 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) Petition for Inter Partes Review. Petition for Post-Grant Review or Covered Business Method Patent Review. Petition for Derivation ... Patent Owner Preliminary Response to Petition for Initial Inter Partes Review. Patent Owner Preliminary Response to Petition for Initial PostGrant Review or Covered Business Method Patent Review. Request for Rehearing Other Motions, Replies, Surreplies, and Oppositions in Inter Partes Review. Other Motions, Replies, Surreplies, and Oppositions in Post-Grant Review or Covered Business Method Review. Other Motions, Replies, Surreplies, and Oppositions in Derivation Proceedings. Pro Hac Vice Motion .... VerDate Sep<11>2014 17:30 Dec 06, 2021 Jkt 256001 1 1 1 124 124 $435 $53,940 1 1 1 165 165 435 71,775 1 1 1 1 1 1 165 91 165 91 435 435 71,775 39,585 1 1 1 91 91 435 39,585 1 1 1 1 1 1 80 158 80 158 435 435 34,800 68,730 1 1 1 148 148 435 64,380 1 1 1 120 120 435 52,200 1 1 1 *0.5 1 435 435 PO 00000 Frm 00012 Fmt 4703 Sfmt 4703 E:\FR\FM\07DEN1.SGM 07DEN1 69231 Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Notices TABLE 2—BURDEN HOUR/BURDEN COST TO INDIVIDUALS OR HOUSEHOLDS RESPONDENTS—Continued Item No. 11 ............. 12 ............. 13 ............. 14 ............. 15 ............. 16 ............. Item Estimated annual respondents Responses per respondent Estimated annual responses Estimated time for response (hours) Estimated burden (hour/year) Rate 2 ($/hour) Estimated annual respondent cost burden (a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) Request for Oral Hearing. Request to Treat a Settlement as Business Confidential. Settlement .................... Arbitration Agreement and Award. Request to Make a Settlement Agreement Available. Notice of Judicial Review of a Board Decision (e.g., Notice of Appeal Under 35 U.S.C. § 142). 1 1 1 2 2 435 870 1 1 1 2 2 435 870 1 1 1 1 1 1 100 4 100 4 435 435 43,500 1,740 1 1 1 1 1 435 435 1 1 1 1 1 435 435 Total ...................... 16 ........................ 16 ........................ 1,253 ................ 545,055 * (30 minutes). 2 2021 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); pg. F–27. The USPTO uses the average billing rate for intellectual property attorneys in private firms which is $435 per hour. Estimated Total Annual Respondent (Non-hourly) Cost Burden: $69,638,370. There are no capital start-up, maintenance, or postage associated with this information collection. However, this information collection does have annual (non-hour) costs in the form of filing fees which are listed in the table below. TABLE 3—FILING FEES (NON-HOUR) COST BURDEN PATENT REVIEW AND DERIVATION PROCEEDINGS Item No. 1 1 1 1 2 ............. ............. ............. ............. ............. 2 ............. 2 ............. 2 ............. 3 ............. 10 ........... 14 ........... Item Filing fee ($) Estimated cost burden ($) (a) (d) (a) × (b) = (c) Inter Partes Review Request Fee—Up to 20 Claims ....................................... Inter Partes Post-Institution Fee—Up to 20 Claims .......................................... Inter Partes Review Request of Each Claim in Excess of 20 .......................... Inter Partes Post-Institution Request of Each Claim in Excess of 20 .............. Post-Grant or Covered Business Method Review Request Fee—Up to 20 Claims. Post-Grant or Covered Business Method Review Post-Institution Fee—Up to 20 Claims. Post-Grant or Covered Business Method Review Request of Each Claim in Excess of 20. Post-Grant or Covered Business Method Review Post-Institution Fee of Each Claim in Excess of 20. Petition for Derivation ........................................................................................ Pro Hac Vice Admission Fee ............................................................................ Request to Make a Settlement Agreement Available ....................................... 1,450 1,450 3,500 3,500 100 19,000 22,500 375 750 20,000 27,550,000 32,625,000 1,312,500 2,625,000 2,000,000 100 27,500 2,750,000 350 475 166,250 350 1,050 367,500 10 950 1 420 250 420 4,200 237,500 420 Total ........................................................................................................... ........................ ........................ 69,638,370 Respondent’s Obligation: Required to obtain or retain benefits. Request for Comments lotter on DSK11XQN23PROD with NOTICES1 Estimated annual responses The USPTO is soliciting public comments to: (a) Evaluate whether the 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 collection of information, including the VerDate Sep<11>2014 17:30 Dec 06, 2021 Jkt 256001 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. PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 All comments submitted in response to this notice are a matter of public record. USPTO will include or summarize each comment in the request to OMB to approve this information collection. Before including an address, phone number, email address, or other personally identifiable information (PII) in a comment, be aware that the entire comment—including PII—may be made publicly available at any time. While you may ask in your comment to withhold PII from public view, USPTO E:\FR\FM\07DEN1.SGM 07DEN1 69232 Federal Register / Vol. 86, No. 232 / Tuesday, December 7, 2021 / Notices 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. 2021–26441 Filed 12–6–21; 8:45 am] BILLING CODE 3510–16–P BUREAU OF CONSUMER FINANCIAL PROTECTION [Docket No. CFPB–2021–0017] Notice and Request for Comment Regarding the CFPB’s Inquiry Into Big Tech Payment Platforms Bureau of Consumer Financial Protection. ACTION: Notice; request for comment; reopening of comment period. AGENCY: On October 21, 2021, the Consumer Financial Protection (Bureau or CFPB) ordered six large technology companies operating payments systems in the United States to provide information about certain of their business practices. Accompanying the orders, the Director of the Bureau issued a statement and invited interested parties to comment on the inquiry. The statement and request for comment was published in the Federal Register on November 5, 2021, in a document titled, ‘‘Notice and Request for Comment Regarding the CFPB’s Inquiry Into Big Tech Payment Platforms.’’ The Bureau has determined that a re-opening of the comment period until December 21, 2021, is appropriate. DATES: The end of the comment period for the document titled, ‘‘Notice and Request for Comment Regarding the CFPB’s Inquiry Into Big Tech Payment Platforms,’’ published on November 5, 2021 (86 FR 61182), is reopened from December 6, 2021, until December 21, 2021. SUMMARY: You may submit comments by any of the methods identified in the notice.1 FOR FURTHER INFORMATION CONTACT: Amy Zirkle, Program Manager for Payments & Deposits, (202) 435–7505. If you require this document in an alternative electronic format, please contact CFPB_Accessibility@cfpb.gov. SUPPLEMENTARY INFORMATION: On October 21, 2021, the Bureau ordered six large technology companies operating payments systems in the United States to provide information about certain of their business practices. lotter on DSK11XQN23PROD with NOTICES1 ADDRESSES: 1 See 86 FR 61182 (Nov. 5, 2021). VerDate Sep<11>2014 17:30 Dec 06, 2021 Jkt 256001 The information will help the CFPB better understand how these firms use personal payments data and manage data access to users so the Bureau can ensure adequate consumer protection. Accompanying the orders, the Director of the Bureau issued a statement and invited interested parties to comment on the inquiry. The statement and request for comment that published in the Federal Register stated that the comment period would close on December 6, 2021. Allowing an additional comment period will provide additional opportunity for the public to prepare comments related to this inquiry. Therefore, the Bureau is reopening the comment period for this request until December 21, 2021. The Bureau will also accept any comments that arrive between the time the original comment period closed on December 6, 2021, and December 7, 2021. Rohit Chopra, Director, Bureau of Consumer Financial Protection. [FR Doc. 2021–26562 Filed 12–3–21; 4:15 pm] BILLING CODE 4810–AM–P DEPARTMENT OF ENERGY Agency Information Collection Extension Department of Energy. Submission for Office of Management and Budget (OMB) review; comment request. AGENCY: ACTION: The Department of Energy (DOE) has submitted an information collection request to the OMB for extension under the provisions of the Paperwork Reduction Act of 1995. The information collection requests a threeyear extension of its collection for Superior Energy Performance 50001 (SEP 50001) Certification and 50001 Ready Recognition, OMB Control Number 1910–5177. The proposed collection will relate to tracking partner participation and calculating the energy efficiency impact of DOE’s Superior Energy Performance certification and 50001 Ready recognition programs. DATES: Comments regarding this collection must be received on or before January 6, 2022. If you anticipate that you will be submitting comments, but find it difficult to do so within the period of time allowed by this notice, please advise the OMB Desk Officer of your intention to make a submission as soon as possible. The Desk Officer may be telephoned at (202) 395–4718. ADDRESSES: Written comments and recommendations for the proposed SUMMARY: PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 information collection should be sent within 30 days of publication of this notice to www.reginfo.gov/public/do/ PRAMain. Find this particular information collection by selecting ‘‘Currently under 30-day Review—Open for Public Comments’’ or by using the search function. FOR FURTHER INFORMATION CONTACT: Ethan Rogers, EE–5A/Forrestal Building, 1000 Independence Avenue SW, Washington, DC 20585, by fax at 202– 287–6093, or by email at ethan.rogers@ ee.doe.gov. SUPPLEMENTARY INFORMATION: This information collection request contains: (1) OMB No.: 1910–5177; (2) Information Collection Request Title: Superior Energy Performance 50001 (SEP 50001) Certification and 50001 Ready Recognition; (3) Type of Request: Renewal; (4) Purpose: This Information Collection Request applies to the Department of Energy (DOE) voluntary ISO 50001 programs for industrial facilities: Superior Energy Performance® (SEP®) and 50001 ReadyTM recognition. SEP is an energy efficiency certification and recognition program for commercial, institutional, and industrial facilities demonstrating excellence in energy management as well as continual improvement in energy efficiency through third-party verified energy performance. 50001 Ready recognition is a self-attestation of the implementation of an ISO 50001 energy management system without the need for external audits. Respondents include commercial, institutional, and industrial facilities. For SEP 50001, additional respondents include SEP 50001 Verification Bodies. (5) Annual Estimated Number of Respondents: 450; (6) Annual Estimated Number of Total Responses: 450; (7) Annual Estimated Number of Burden Hours: 450; (8) Annual Estimated Reporting and Recordkeeping Cost Burden: $31,452. Statutory Authority: Accelerating Investment in Industrial Energy Efficiency. Executive Order 13624, 77 FR 54779 (Aug. 30, 2012); 42 U.S.C. 16191. Signing Authority This document of the Department of Energy was signed on November 24, 2021, by Rebecca Jones-Albertus, Acting Director, Advanced Manufacturing Office, Office of Energy Efficiency and Renewable Energy, pursuant to delegated authority from the Secretary of Energy. That document with the original signature and date is E:\FR\FM\07DEN1.SGM 07DEN1

Agencies

[Federal Register Volume 86, Number 232 (Tuesday, December 7, 2021)]
[Notices]
[Pages 69228-69232]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-26441]


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

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 Review and Derivation Proceedings

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

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-
0069 (Patent Review and Derivation Proceedings). 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 February 7, 2022.

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-
0069 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.

[[Page 69229]]

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

SUPPLEMENTARY INFORMATION:

I. Abstract

    The Leahy-Smith America Invents Act, which was enacted into law on 
September 16, 2011, provided for many changes to the procedures of the 
Patent Trial and Appeal Board (``PTAB'' or ``Board'', formerly the 
Board of Patent Appeals and Interferences) procedures. These changes 
included the introduction of inter partes review, post-grant review, 
derivation proceedings, and the transitional program for covered 
business method patents. Under these administrative trial proceedings, 
third parties may file a petition with the PTAB challenging the 
validity of issued patents, with each proceeding having different 
requirements regarding timing restrictions, grounds for challenging 
validity, and who may request review.
    Inter partes review is a trial proceeding conducted at the Board to 
review the patentability of one or more claims in a patent only on a 
ground that could be raised under Sec. Sec.  102 or 103, and only on 
the basis of prior art consisting of patents or printed publications. 
Post grant review is a trial proceeding conducted at the Board to 
review the patentability of one or more claims in a patent on any 
ground that could be raised under Sec.  282(b)(2) or (3). A derivation 
proceeding is a trial proceeding conducted at the Board to determine 
whether (1) an inventor named in an earlier application derived the 
claimed invention from an inventor named in the petitioner's 
application, and (2) the earlier application claiming such invention 
was filed without authorization. The transitional program for covered 
business method patents is a trial proceeding conducted at the Board to 
review the patentability of one or more claims in a covered business 
method patent. The covered business method program expired on September 
16, 2020 and the Board no longer accepts new petitions related to this 
program, but continues to accept papers in previously-instituted 
proceedings.
    This information collection covers information submitted by the 
public to petition the Board to initiate an inter partes review, post-
grant review, derivation proceeding, and the transitional program for 
covered business method patents, as well as any responses to such 
petitions, and the filing of any motions, replies, oppositions, and 
other actions, after a review/proceeding has been instituted.

II. Method of Collection

    Applicants submit the information electronically using the PTAB 
End-to-End (PTAB E2E) filing system. Parties may seek authorization to 
submit a filing by means other than electronic filing pursuant to 42 
CFR 42.6(b)(2).

III. Data

    OMB Control Number: 0651-0069.
    Form Numbers: None.
    Type of Review: Extension and revision of a currently approved 
information collection.
    Affected Public: Private sector; individuals or households.
    Estimated Number of Respondents: 9,138 respondents per year.
    Estimated Number of Responses: 12,238 responses per year.
    Estimated Time per Response: The USPTO estimates that the responses 
in this information collection will take the public between 30 minutes 
(0.5 hours) and 165 hours to complete. This includes the time to gather 
the necessary information, create the document, and submit the 
completed request to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 1,360,058 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: 
$591,625,230.

                                             Table 1--Burden Hour/Burden Cost to Private Sector Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                         Estimated                                       Estimated time                                 Estimated annual
    Item No.             Item             annual       Responses per   Estimated annual   for response    Estimated burden   Rate\1\    respondent cost
                                        respondents     respondent        responses          (hours)        (hour/year)      ($/hour)        burden
                                                 (a)             (b)    (a) x (b) = (c)             (d)    (c) x (d) = (e)        (f)    (e) x (f) = (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...............  Petition for Inter           1,450               1              1,450             124            179,800       $435        $78,213,000
                   Partes Review.
2...............  Petition for Post-             100               1                100             165             16,500        435          7,177,500
                   Grant Review or
                   Covered Business
                   Method Patent
                   Review.
3...............  Petition for                    10               1                 10             165              1,650        435            717,750
                   Derivation.
4...............  Patent Owner                 1,175               1              1,175              91            106,925        435         46,512,375
                   Preliminary
                   Response to
                   Petition for
                   Initial Inter
                   Partes Review.
5...............  Patent Owner                   100               1                100              91              9,100        435          3,958,500
                   Preliminary
                   Response to
                   Petition for
                   Initial Post-
                   Grant Review or
                   Covered Business
                   Method Patent
                   Review.
6...............  Request for                    250               1                250              80             20,000        435          8,700,000
                   Rehearing.
7...............  Other Motions,               2,900               2              5,800             158            916,400        435        398,634,000
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Inter Partes
                   Review.

[[Page 69230]]

 
8...............  Other Motions,                 200               2                400             148             59,200        435         25,752,000
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Post-Grant Review
                   or Covered
                   Business Method
                   Review.
9...............  Other Motions,                  10               1                 10             120              1,200        435            522,000
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Derivation
                   Proceedings.
10..............  Pro Hac Vice                   950               1                950            *0.5                475        435            206,625
                   Admission Motion.
11..............  Request for Oral               575               1                575               2              1,150        435            500,250
                   Hearing.
12..............  Request to Treat a             450               1                450               2                900        435            391,500
                   Settlement as
                   Business
                   Confidential.
13..............  Settlement........             450               1                450             100             45,000        435         19,575,000
14..............  Arbitration                      1               1                  1               4                  4        435              1,740
                   Agreement and
                   Award.
15..............  Request to Make a                1               1                  1               1                  1        435                435
                   Settlement
                   Agreement
                   Available.
16..............  Notice of Judicial             500               1                500               1                500        435            217,500
                   Review of a Board
                   Decision (e.g.
                   Notice of Appeal
                   Under 35 U.S.C.
                   Sec.   142).
                                     -------------------------------------------------------------------------------------------------------------------
                     Total..........           9,222  ..............             12,222  ..............          1,358,805  .........        591,080,175
--------------------------------------------------------------------------------------------------------------------------------------------------------
* (30 minutes).
\1\ 2021 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); pg. F-27. The USPTO uses the average billing rate for intellectual property attorneys in private firms which is $435 per hour.


                                        Table 2--Burden Hour/Burden Cost to Individuals or Households Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                         Estimated                                       Estimated time                                 Estimated annual
    Item No.             Item             annual       Responses per   Estimated annual   for response    Estimated burden   Rate \2\   respondent cost
                                        respondents     respondent        responses          (hours)        (hour/year)      ($/hour)        burden
                                                 (a)             (b)    (a) x (b) = (c)             (d)    (c) x (d) = (e)        (f)    (e) x (f) = (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...............  Petition for Inter               1               1                  1             124                124       $435            $53,940
                   Partes Review.
2...............  Petition for Post-               1               1                  1             165                165        435             71,775
                   Grant Review or
                   Covered Business
                   Method Patent
                   Review.
3...............  Petition for                     1               1                  1             165                165        435             71,775
                   Derivation.
4...............  Patent Owner                     1               1                  1              91                 91        435             39,585
                   Preliminary
                   Response to
                   Petition for
                   Initial Inter
                   Partes Review.
5...............  Patent Owner                     1               1                  1              91                 91        435             39,585
                   Preliminary
                   Response to
                   Petition for
                   Initial Post-
                   Grant Review or
                   Covered Business
                   Method Patent
                   Review.
6...............  Request for                      1               1                  1              80                 80        435             34,800
                   Rehearing.
7...............  Other Motions,                   1               1                  1             158                158        435             68,730
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Inter Partes
                   Review.
8...............  Other Motions,                   1               1                  1             148                148        435             64,380
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Post-Grant Review
                   or Covered
                   Business Method
                   Review.
9...............  Other Motions,                   1               1                  1             120                120        435             52,200
                   Replies,
                   Surreplies, and
                   Oppositions in
                   Derivation
                   Proceedings.
10..............  Pro Hac Vice                     1               1                  1            *0.5                  1        435                435
                   Motion.

[[Page 69231]]

 
11..............  Request for Oral                 1               1                  1               2                  2        435                870
                   Hearing.
12..............  Request to Treat a               1               1                  1               2                  2        435                870
                   Settlement as
                   Business
                   Confidential.
13..............  Settlement........               1               1                  1             100                100        435             43,500
14..............  Arbitration                      1               1                  1               4                  4        435              1,740
                   Agreement and
                   Award.
15..............  Request to Make a                1               1                  1               1                  1        435                435
                   Settlement
                   Agreement
                   Available.
16..............  Notice of Judicial               1               1                  1               1                  1        435                435
                   Review of a Board
                   Decision (e.g.,
                   Notice of Appeal
                   Under 35 U.S.C.
                   Sec.   142).
                                     -------------------------------------------------------------------------------------------------------------------
                     Total..........              16  ..............                 16  ..............              1,253  .........            545,055
--------------------------------------------------------------------------------------------------------------------------------------------------------
* (30 minutes).
\2\ 2021 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); pg. F-27. The USPTO uses the average billing rate for intellectual property attorneys in private firms which is $435 per hour.

    Estimated Total Annual Respondent (Non-hourly) Cost Burden: 
$69,638,370. There are no capital start-up, maintenance, or postage 
associated with this information collection. However, this information 
collection does have annual (non-hour) costs in the form of filing fees 
which are listed in the table below.

              Table 3--Filing Fees (Non-Hour) Cost Burden Patent Review and Derivation Proceedings
----------------------------------------------------------------------------------------------------------------
                                                                  Estimated
          Item No.                          Item                   annual        Filing fee      Estimated cost
                                                                  responses          ($)           burden ($)
                              ...............................             (a)             (d)    (a) x (b) = (c)
----------------------------------------------------------------------------------------------------------------
1...........................  Inter Partes Review Request               1,450          19,000         27,550,000
                               Fee--Up to 20 Claims.
1...........................  Inter Partes Post-Institution             1,450          22,500         32,625,000
                               Fee--Up to 20 Claims.
1...........................  Inter Partes Review Request of            3,500             375          1,312,500
                               Each Claim in Excess of 20.
1...........................  Inter Partes Post-Institution             3,500             750          2,625,000
                               Request of Each Claim in
                               Excess of 20.
2...........................  Post-Grant or Covered Business              100          20,000          2,000,000
                               Method Review Request Fee--Up
                               to 20 Claims.
2...........................  Post-Grant or Covered Business              100          27,500          2,750,000
                               Method Review Post-Institution
                               Fee--Up to 20 Claims.
2...........................  Post-Grant or Covered Business              350             475            166,250
                               Method Review Request of Each
                               Claim in Excess of 20.
2...........................  Post-Grant or Covered Business              350           1,050            367,500
                               Method Review Post-Institution
                               Fee of Each Claim in Excess of
                               20.
3...........................  Petition for Derivation........              10             420              4,200
10..........................  Pro Hac Vice Admission Fee.....             950             250            237,500
14..........................  Request to Make a Settlement                  1             420                420
                               Agreement Available.
                                                              --------------------------------------------------
                                 Total.......................  ..............  ..............         69,638,370
----------------------------------------------------------------------------------------------------------------

    Respondent's Obligation: Required to obtain or retain benefits.

Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate whether the 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 collection of information, including the validity of the 
methodology and assumptions used;
    (c) Enhance the quality, utility, and clarity of the information to 
be collected; and
    (d) Minimize the burden of the collection on those who are to 
respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses.
    All comments submitted in response to this notice are a matter of 
public record. USPTO will include or summarize each comment in the 
request to OMB to approve this information collection. Before including 
an address, phone number, email address, or other personally 
identifiable information (PII) in a comment, be aware that the entire 
comment--including PII--may be made publicly available at any time. 
While you may ask in your comment to withhold PII from public view, 
USPTO

[[Page 69232]]

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. 2021-26441 Filed 12-6-21; 8:45 am]
BILLING CODE 3510-16-P