Agency Information Collection Activities; Submission to the Office of Management and Budget (OMB) for Review and Approval; Comment Request; Patent Review and Derivation Proceedings

CourtPatent And Trademark Office
Citation86 FR 69228
Publication Date07 December 2021
Record Number2021-26441
Federal Register, Volume 86 Issue 232 (Tuesday, December 7, 2021)
[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]
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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 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
                

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