[Federal Register Volume 83, Number 129 (Thursday, July 5, 2018)]
[Notices]
[Pages 31379-31381]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-14385]


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DEPARTMENT OF COMMERCE

 Patent and Trademark Office


Patent Reexaminations and Supplemental Examinations

ACTION: Proposed collection; comment request.

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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 a 
proposed extension of an existing information collection: 0651-0064 
(Patent Reexaminations and Supplemental Examinations).

DATES: Written comments must be submitted on or before September 4, 
2018.

ADDRESSES: You may submit comments by any of the following methods:
     Email: [email protected]. Include ``0651-
0064 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Marcie Lovett, Director, Records and Information 
Governance Division, Office of the Chief Technology 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 Raul Tamayo, Senior Legal Advisor, Office of the 
Patent Legal Administration, United States Patent and Trademark Office, 
P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-7728; 
or by email to [email protected] with ``0651-0064 comment'' in the 
subject line. Additional information about this collection is also 
available at http://www.reginfor.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 patents or printed publications. Once initiated, the 
reexamination proceedings under Chapter 30 are substantially ex parte 
and do not permit input from third parties. The rules outlining ex 
parte reexaminations are found at 37 CFR 1.510-1.570.
    35 U.S.C. 257 permits a patent owner to request supplemental 
examination of a patent by the USPTO to consider, reconsider, or 
correct information believed to be relevant to the patent. The rules 
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 rules outlining inter 
partes reexamination are found at 37 CFR 1.903-1.931.
    Thus, the items included in this collection cover: (1) Requests for 
ex parte reexamination, (2) requests for supplemental examination, and 
(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. The transmittal forms are used by a 
requester (patent owner or third party) as a checklist to ensure 
compliance with the requirements of the statutes and rules for ex parte 
reexaminations and supplemental examinations. The public uses this 
information collection to request ex parte reexamination and 
supplemental examination, to prosecute reexamination proceedings, and 
to ensure that the associated documentation is submitted to the USPTO.

II. Method of Collection

    By mail, facsimile, hand delivery, or electronically to the USPTO.

[[Page 31380]]

III. Data

    OMB Number: 0651-0064.
    IC Instruments and Forms: PTO/SB/57 and PTO/SB/59.
    Type of Review: Renewal of an existing collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; and not-for-profit institutions.
    Estimated Number of Respondents: 1,540 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public approximately between 18 minutes (0.30 hours) to 55 hours to 
gather the necessary information, prepare the appropriate form or other 
document, and submit the information to the USPTO.
    Estimated Total Annual Hour Burden: 32,962.50 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: 
$14,437,575.00 per year. The USPTO expects that the information in this 
collection will be prepared by intellectual property attorneys. The 
professional hourly rate for intellectual property attorneys in private 
firms is $438, as estimated in the 2017 Report on the Economic Survey, 
published by the Committee on Economics of Legal Practice of the 
American Intellectual Property Law Association. Using this hourly rate, 
the USPTO estimates that the total respondent cost burden for this 
collection is $14,437,575.00.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                Estimated
          IC No.                       Item               Estimated time for  response  (hours)    Estimated      burden        Rate        Total cost
                                                                                                  respondents     hours
                           ............................  (a)....................................          (b)          (c)          (d)              (e)
                                                                                                                 (a) x (b)                     (c) x (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1........................  Request for Supplemental      0.30 (18 minutes)......................           75        22.50      $438.00        $9,855.00
                            Examination Transmittal
                            Form.
2........................  Request for Supplemental      25.....................................           75     1,875.00       438.00       821,250.00
                            Examination.
3........................  Request for Ex Parte          0.30 (18 minutes)......................          200        60.00       438.00        26,280.00
                            Reexamination Transmittal
                            Form.
4........................  Request for Ex Parte          55.....................................          200    11,000.00       438.00     4,818,000.00
                            Reexamination.
5........................  Petition in a Reexamination   23.....................................          200     4,600.00       438.00     2,014,800.00
                            Proceeding (except for
                            those specifically
                            enumerated in 37 CFR
                            1.550(i) and 1.937(d)).
6........................  Patent Owner's 37 CFR 1.530   8......................................           85       680.00       438.00       297,840.00
                            Statement.
7........................  Third Party Requester's 37    8......................................           25       200.00       438.00        84,600.00
                            CFR 1.535 Reply.
8........................  Amendment in Ex Parte or      33.....................................          310    10,230.00       438.00     4,480,740.00
                            Inter Partes Reexamination.
9........................  Third Party Requester's 37    41.....................................            5       205.00       438.00        89,790.00
                            CFR 1.947 Comments in Inter
                            Partes Reexamination.
10.......................  Response to Final Rejection   17.....................................          200     3,400.00       438.00     1,489,200.00
                            in Ex Parte Reexamination.
11.......................  Patent Owner's 37 CFR 1.951   41.....................................           10       410,00       438.00       179,580.00
                            Resposne in Inter Partes
                            Reexamination.
12.......................  Third Party Requester's 37    41.....................................            5       205.00       438.00        89,790.00
                            CFR 1.951 Comments in Inter
                            Partes Reexamination.
13.......................  Petition to Request           0.50 (30 minutes)......................          150        75.00       438.00        32,520.00
                            Extension of Time in Ex
                            Parte or Inter Partes
                            Reexamination.
                                                                                                 -------------------------------------------------------
    Total................  ............................  .......................................        1,540    32,962.50  ...........    14,437,575.00
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Estimated Total Annual Respondent (Non-Hourly) Cost Burden: 
$2,750,186.50 per year. There are no capital start-up, recordkeeping, 
or maintenance costs associated with this collection. However, the 
collection does have annual (non-hour) costs in the form of postage 
costs and filing fees.

Postage Costs

    The USPTO expects that most of the responses in this collection 
will be submitted electronically. However, it is estimated that roughly 
18 mailed submissions will be submitted for Petitions to Request 
Extension of Time. In addition, the documentation for requests for 
supplemental examination and requests for ex parte reexamination will 
typically be mailed to the USPTO with the appropriate transmittal form, 
resulting in 550 unique mailings. The USPTO estimates that the average 
postage cost for a mailed submission will be $0.50 for Petitions to 
Request Extension of Time and $5.75 for all other mailed submissions. 
Therefore, the USPTO estimates that the total postage costs is 
approximately $3,171.50 per year.

Filing Fees

    There are nine filing fees associated with this collection, which 
are broken down by large entity, small entity, and micro entity. These 
fees are listed in the table below:

----------------------------------------------------------------------------------------------------------------
                                                                     Estimated
           IC No.                            Item                     annual        Filing fee      Total cost
                                                                     responses
                             ...................................             (a)             (b)             (c)
                                                                                                       (a) x (b)
----------------------------------------------------------------------------------------------------------------
2..........................  Supplemental Examination Request                 55       $4,400.00     $242,000.00
                              (large entity).
2..........................  Supplemental Examination Request                 15        2,200.00       33,000.00
                              (small entity).
2..........................  Supplemental Examination Request                  5        1,100.00        5,500.00
                              (micro entity).
2..........................  Supplemental Examination                         35       12,100.00      423,500.00
                              Reexamination (large entity).
2..........................  Supplemental Examination                         10        6,050.00       60,500.00
                              Reexamination (small entity).
2..........................  Supplemental Examination                          1        3,025.00        3,025.00
                              Reexamination (micro entity).
2..........................  Supplemental Examination document                10          180.00        1,800.00
                              size fees, 21-50 documents (large
                              entity).
2..........................  Supplemental Examination document                 5           90.00          450.00
                              size fees, 21-50 documents (small
                              entity).
2..........................  Supplemental Examination document                 1           45.00           45.00
                              size fees, 21-50 documents (micro
                              entity).
2..........................  Supplemental examination document                10          280.00        2,800.00
                              size fees, each additional 50
                              documents (large entity).
2..........................  Supplemental examination document                 1          140.00          140.00
                              size fees, each additional 50
                              documents (small entity).

[[Page 31381]]

 
2..........................  Supplemental examination document                 1           70.00           70.00
                              size fees, each additional 50
                              documents (micro entity).
2..........................  Reexamination independent claims in              35          460.00       16,100.00
                              excess of three and also in excess
                              of the number of such claims in
                              the patent under reexamination
                              (large entity).
2..........................  Reexamination independent claims in              10          230.00        2,300.00
                              excess of three and also in excess
                              of the number of such claims in
                              the patent under reexamination
                              (small entity).
2..........................  Reexamination independent claims in               5          115.00          575.00
                              excess of three and also in excess
                              of the number of such claims in
                              the patent under reexamination
                              (micro entity).
2..........................  Reexamination claims in excess of                55          100.00        5,500.00
                              20 and also in excess of the
                              number of claims in the patent
                              under reexamination (large entity).
2..........................  Reexamination claims in excess of                20           50.00        1,000.00
                              20 and also in excess of the
                              number of claims in the patent
                              under reexamination (small entity).
2..........................  Reexamination claims in excess of                 5           25.00          125.00
                              20 and also in excess of the
                              number of claims in the patent
                              under reexamination (micro entity).
4..........................  Ex Parte Reexamination (Sec.                     42        6,000.00      252,000.00
                              1.510(a)) Streamlined (large
                              entity).
4..........................  Ex Parte Reexamination (Sec.                     27        3,000.00       81,000.00
                              1.510(a)) Streamlined (small
                              entity).
4..........................  Ex Parte Reexamination (Sec.                      1        1,500.00        1,500.00
                              1.510(a)) Streamlined (micro
                              entity).
4..........................  Ex Parte Reexamination (Sec.                     78       12,000.00          936.00
                              1.510(a)) Non-Streamlined (large
                              entity).
4..........................  Ex Parte Reexamination (Sec.                     51        6,000.00      306,000.00
                              1.510(a)) Non-Streamlined (small
                              entity).
4..........................  Ex Parte Reexamination (Sec.                      1        3,000.00        3,000.00
                              1.510(a)) Non-Streamlined (micro
                              entity).
5..........................  Petitions in a reexamination                    180        1,940.00      349,200.00
                              proceeding, except for those
                              specifically enumerated in 37 CFR
                              1.550(i) and 1.937(d) (large
                              entity).
5..........................  Petitions in a reexamination                     20          970.00       19,400.00
                              proceeding, except for those
                              specifically enumerated in 37 CFR
                              1.550(i) and 1.937(d) (small
                              entity).
5..........................  Petitions in a reexamination                      1          485.00          485.00
                              proceeding, except for those
                              specifically enumerated in 37 CFR
                              1.550(i) and 1.937(d) (micro
                              entity).
                                                                 -----------------------------------------------
    Total..................  ...................................             680  ..............    2,747,015.00
----------------------------------------------------------------------------------------------------------------

    Therefore, the USPTO estimates that the total annual (non-hour) 
cost burden for this collection, in the form of postage costs 
($3,171.5) and filing fees ($2,747,015), is $2,750,186.50 per year.

IV. Request for Comment

    Comments submitted in response to this notice will be summarized or 
included in the request for OMB approval of this information 
collection. They also will become a matter of public record.
    Comments are invited on:
    (a) Whether the proposed collection of information is necessary for 
the proper performance of the functions of the agency, including 
whether the information shall have practical utility;
    (b) The accuracy of the agency's estimate of the burden (including 
hours and cost) of the proposed collection of information;
    (c) Ways to enhance the quality, utility, and clarity of the 
information to be collected; and
    (d) Ways to minimize the burden of the collection of information on 
respondents, e.g., the use of automated collection techniques or other 
forms of information technology.

Marcie Lovett,
Director, Records and Information Governance Division, OCTO, United 
States Patent and Trademark Office.
[FR Doc. 2018-14385 Filed 7-3-18; 8:45 am]
 BILLING CODE 3510-16-P