[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.

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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-
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