[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