[Federal Register Volume 89, Number 130 (Monday, July 8, 2024)]
[Notices]
[Pages 55927-55930]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-14917]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comment 
Request; Patent Reexaminations, Supplemental Examinations, and Post 
Patent Submissions

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

ACTION: Notice of information collection; request for comment.

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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 6, 2024.

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 eRulemaking Portal: http://www.regulations.gov.
     Mail: Justin Isaac, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450.

FOR FURTHER INFORMATION CONTACT: Request for additional information 
should be directed to Jeffrey West, Senior Legal Advisor, Office of 
Patent Legal Administration, United States Patent and Trademark Office, 
P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-2226; 
or by email at [email protected] with ``0651-0064 comment'' in the 
subject line. Additional information about this information collection 
is also available at http://www.reginfo.gov under ``Information 
Collection Review.''

SUPPLEMENTARY INFORMATION:

I. Abstract

    The United States Patent and Trademark Office (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. The 
purpose of this information collection is to facilitate requests for ex 
parte reexamination and supplemental examination, to facilitate 
prosecution of reexamination 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.
    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.

[[Page 55928]]

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 collection continues to include items related to the prosecution 
of inter partes reexamination proceedings. The regulations outlining 
inter partes reexaminations are found at 37 CFR 1.902-1.959.
    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.
    Thus, the items included in this collection cover (1) requests for 
ex parte reexamination, (2) requests for supplemental examination, (3) 
information that may be submitted by patent owners and third-party 
requesters in relation 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.

II. Method of Collection

    The items in this information collection may be submitted 
electronically, or on paper by either mail or hand delivery.

III. Data

    OMB Control Number: 0651-0064.
    Forms: (SB = Specimen Book)
 PTO/SB/42 (37 CFR 1.501 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.
    Respondent's Obligation: Required to obtain or retain benefits.
    Estimated Number of Annual Respondents: 874 respondents.
    Estimated Number of Annual Responses: 890 responses.
    Frequency: On occasion.
    Estimated Time per Response: The USPTO estimates that the responses 
in this information collection will take the public approximately 
between 30 minutes (0.50 hours) and 55 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: 25,714 hours.
    Estimated Total Annual Respondent Hourly Cost Burden: $11,494,158.

                                       Table 1--Total Burden Hours and Hourly Costs to Private Sector Respondents
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                                                                                                                                             Estimated
                                            Estimated     Responses per      Estimated    Estimated time     Estimated     Rate \1\ ($/       annual
     Item No.               Item             annual         respondent        annual       for response    burden (hour/       hour)        respondent
                                           respondents                       responses        (hours)          year)                        cost burden
                                                    (a)              (b)     (a) x (b) =             (d)     (c) x (d) =             (f)     (e) x (f) =
                                                                                     (c)                             (e)                             (g)
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1.................  Request for                      30                1              30              25             750            $447        $335,250
                     Supplemental
                     Examination PTO/SB/
                     59.
2.................  Request for Ex                  332                1             332              55          18,260             447       8,162,220
                     Parte
                     Reexamination PTO/
                     SB/57.
3.................  Petition in a                   117                1             117              23           2,691             447       1,202,877
                     Reexamination
                     Proceeding (except
                     for those
                     specifically
                     enumerated in 37
                     CFR 1.550(i) and
                     1.937(d)).
4.................  Patent Owner's 37                25                1              25               8             200             447          89,400
                     CFR 1.530
                     Statement.
5.................  Third Party                      15                1              15               8             120             447          53,640
                     Requester's 37 CFR
                     1.535 Reply.
6.................  Amendment in Ex                  15                1              15              33             495             447         221,265
                     Parte or Inter
                     Partes
                     Reexamination.
7.................  Third Party                       1                1               1              41              41             447          18,327
                     Requester's 37 CFR
                     1.947 Comments in
                     Inter Partes
                     Reexamination.
8.................  Response to Final               148                1             148              17           2,516             447       1,124,652
                     Rejection in Ex
                     Parte
                     Reexamination.
9.................  Patent Owner's 37                 1                1               1              41              41             447          18,327
                     CFR 1.951 Comments
                     in Inter Partes
                     Reexamination.
10................  Third Party                       1                1               1              41              41             447          18,327
                     Requester's 37 CFR
                     1.951 Response in
                     Inter Partes
                     Reexamination.
11................  Petition to Request             157                1             157             0.5              79             447          35,313
                     Extension of Time
                     in Ex Parte or
                     Inter Partes
                     Reexamination.

[[Page 55929]]

 
12................  37 CFR 1.501                     32              1.5              48              10             480             447         214,560
                     Information
                     Disclosure
                     Citation in a
                     Patent PTO/SB/42.
                                        ----------------------------------------------------------------------------------------------------------------
    Totals........  ...................             874  ...............             890  ..............          25,714  ..............      11,494,158
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\1\ 2023 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association
  (AIPLA); pg. F-41. The USPTO uses the average billing rate for intellectual property work in all firms which is $447 per hour (https://www.aipla.org/home/news-publications/economic-survey).

    Estimated Total Annual Respondent Non-hourly Cost Burden: 
$3,680,879. There are no capital start-up, maintenance costs, or 
recordkeeping costs associated with this information collection. 
However, the USPTO estimates that the total annual non-hour cost burden 
for this information collection, in the form of filing fees and 
postage, is $3,680,879.

Filing Fees

    There are filing fees associated with this information collection, 
which are listed in the table below.

                                              Table 2--Filing Fees
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                                                                         Estimated                Total non-hour
           Item No.              Fee                 Item                  annual     Filing fee    cost burden
                               code(s)                                   responses       ($)         (yr) ($)
                                        ..............................          (a)          (b)     (a) x (b) =
                                                                                                             (c)
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1............................     1826  Request for supplemental                 17       $4,620         $78,540
                                         examination (undiscounted
                                         entity).
1............................     2826  Request for supplemental                 12        1,848          22,176
                                         examination (small entity).
1............................     3826  Request for supplemental                  1          924             924
                                         examination (micro entity).
1............................     1827  Reexamination ordered as a               10       12,700         127,000
                                         result of supplemental
                                         examination (undiscounted
                                         entity).
1............................     2827  Reexamination ordered as a                1        5,080           5,080
                                         result of supplemental
                                         examination (small entity).
1............................     3827  Reexamination ordered as a                1        2,540           2,540
                                         result of supplemental
                                         examination (micro entity).
1............................     1828  Supplemental examination                 19          180           3,420
                                         document size fee--for
                                         nonpatent document having
                                         between 21 and 50 sheets
                                         (undiscounted entity).
1............................     2828  Supplemental examination                 12           72             864
                                         document size fee--for
                                         nonpatent document having
                                         between 21 and 50 sheets
                                         (small entity).
1............................     3828  Supplemental examination                  1           36              36
                                         document size fee--for
                                         nonpatent document having
                                         between 21 and 50 sheets
                                         (micro entity).
1............................     1829  Supplemental examination                  1          300             300
                                         document size fee--for each
                                         additional 50 sheets or a
                                         fraction thereof in a
                                         nonpatent document
                                         (undiscounted entity).
1............................     2829  Supplemental examination                  3          120             360
                                         document size fee--for each
                                         additional 50 sheets or a
                                         fraction thereof in a
                                         nonpatent document (small
                                         entity).
1............................     3829  Supplemental examination                  1           60              60
                                         document size fee--for each
                                         additional 50 sheets or a
                                         fraction thereof in a
                                         nonpatent document (micro
                                         entity).
2............................     1821  Each reexamination independent          112          480          53,760
                                         claim in excess of three and
                                         also in excess of the number
                                         of such claims in the patent
                                         under reexamination
                                         (undiscounted entity).
2............................     2821  Each reexamination independent           49          192           9,408
                                         claim in excess of three and
                                         also in excess of the number
                                         of such claims in the patent
                                         under reexamination (small
                                         entity).
2............................     3821  Each reexamination independent            1           96              96
                                         claim in excess of three and
                                         also in excess of the number
                                         of such claims in the patent
                                         under reexamination (micro
                                         entity).
2............................     1822  Each reexamination claim in           1,626          100         162,600
                                         excess of 20 and also in
                                         excess of the number of
                                         claims in the patent under
                                         reexamination (undiscounted
                                         entity).
2............................     2822  Each reexamination claim in             298           40          11,920
                                         excess of 20 and also in
                                         excess of the number of
                                         claims in the patent under
                                         reexamination (small entity).
2............................     3822  Each reexamination claim in               1           20              20
                                         excess of 20 and also in
                                         excess of the number of
                                         claims in the patent under
                                         reexamination (micro entity).
2............................     1831  Ex parte reexamination (Sec.             23        6,300         144,900
                                         1.510(a)) streamlined
                                         (undiscounted entity).
2............................     2831  Ex parte reexamination (Sec.             67        2,520         168,840
                                         1.510(a)) streamlined (small
                                         entity).
2............................     3831  Ex parte reexamination (Sec.              2        1,260           2,520
                                         1.510(a)) streamlined (micro
                                         entity).
2............................     1812  Ex parte reexamination (Sec.            195       12,600       2,457,000
                                         1.510(a)) non-streamlined
                                         (undiscounted entity).
2............................     2812  Ex parte reexamination (Sec.             45        5,040         226,800
                                         1.510(a)) non-streamlined
                                         (small entity).
2............................     3812  Ex parte reexamination (Sec.              1        2,520           2,520
                                         1.510(a)) non-streamlined
                                         (micro entity).

[[Page 55930]]

 
3............................     1824  Petitions in a reexamination             87        2,040         177,480
                                         proceeding, except for those
                                         specifically enumerated in 37
                                         CFR 1.550(i) and 1.937(d)
                                         (undiscounted entity).
3............................     2824  Petitions in a reexamination             25          816          20,400
                                         proceeding, except for those
                                         specifically enumerated in 37
                                         CFR 1.550(i) and 1.937(d)
                                         (small entity).
3............................     3824  Petitions in a reexamination              3          408           1,224
                                         proceeding, except for those
                                         specifically enumerated in 37
                                         CFR 1.550(i) and 1.937(d)
                                         (micro entity).
                              ----------------------------------------------------------------------------------
    Totals...................  .......  ..............................        2,614  ...........       3,680,788
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Postage Costs

    Although the USPTO prefers that the items in this information 
collection be submitted electronically, responses may be submitted by 
mail through the United States Postal Service (USPS). The USPTO 
estimates that 1% of the 890 items will be submitted in the mail 
resulting in 9 mailed items. The USPTO estimates that the average 
postage cost for a mailed submission, using a Priority Mail legal flat 
rate envelope, will be $10.15. Therefore, the USPTO estimates the total 
mailing costs for this information collection at $91.

IV. 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 will 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 of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses.
    All comments submitted in response to this notice are a matter of 
public record. 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 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, the 
USPTO cannot guarantee that it will be able to do so.

Justin Isaac,
Information Collections Officer, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office.
[FR Doc. 2024-14917 Filed 7-5-24; 8:45 am]
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