83 FR 31379 - Patent Reexaminations and Supplemental Examinations
DEPARTMENT OF COMMERCE
Patent and Trademark Office Federal Register Volume 83, Issue 129 (July 5, 2018)
Patent and Trademark Office
Federal Register Volume 83, Issue 129 (July 5, 2018)
| Page Range | 31379-31381 | |
| FR Document | 2018-14385 |
[Federal Register Volume 83, Number 129 (Thursday, July 5, 2018)] [Notices] [Pages 31379-31381] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-14385] ----------------------------------------------------------------------- DEPARTMENT OF COMMERCE Patent and Trademark Office Patent Reexaminations and Supplemental Examinations ACTION: Proposed collection; comment request. ----------------------------------------------------------------------- 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
![Federal Register / Vol. 83, No. 129 / Thursday, July 5, 2018 / Notices 31379
support workers as found in the May U.S Bureau pf Labor Statistics estimates that the total respondent cost
2017 National Occupational (occupation code 43–1011). Using this burden for this collection is
Employment and Wage Estimates of the blended hourly rate, the USPTO $2,716,133.33 per year.
Estimated
Information Estimated Estimated
time for Rate
IC No. collection annual annual
response (S/hr)
item responses burden hours
(minutes)
(a) (b) (a) × (b) = (c)
1 ......................................................................................... Surveys ........ 8 100,000 13,333.33 $203.71
Total (Three-Year Period) .......................................... ...................... ................ 100,000 13,333.33 $2,716,133.33
(300,000) (40,000) ($8,148,400.00)
Estimated Total Annual (Non-hour) invites comments on a proposed and do not permit input from third
Respondent Cost Burden: $0. There are extension of an existing information parties. The rules outlining ex parte
no capital start-up, maintenance, collection: 0651–0064 (Patent reexaminations are found at 37 CFR
postage, or recordkeeping costs Reexaminations and Supplemental 1.510–1.570.
associated with this information Examinations). 35 U.S.C. 257 permits a patent owner
collection. DATES: Written comments must be to request supplemental examination of
IV. Request for Comments submitted on or before September 4, a patent by the USPTO to consider,
2018. reconsider, or correct information
Comments are invited on:
(a) Whether the proposed collection of ADDRESSES: You may submit comments believed to be relevant to the patent.
information is necessary for the proper by any of the following methods: The rules outlining supplemental
performance of the functions of the • Email: InformationCollection@ examination are found at 37 CFR 1.601–
agency, including whether the uspto.gov. Include ‘‘0651–0064 1.625.
information shall have practical utility; comment’’ in the subject line of the The Leahy-Smith America Invents Act
(b) the accuracy of the agency’s message. terminated inter partes reexamination
estimate of the burden (including hours • Federal Rulemaking Portal: http:// effective September 16, 2012. However,
and cost) of the proposed collection of www.regulations.gov. inter partes reexamination proceedings
information; • Mail: Marcie Lovett, Director, based on inter partes reexamination
(c) ways to enhance the quality, Records and Information Governance requests filed before September 16,
utility, and clarity of the information to Division, Office of the Chief Technology 2012, continue to be prosecuted.
be collected; and Officer, United States Patent and Therefore, this collection continues to
(d) ways to minimize the burden of Trademark Office, P.O. Box 1450, include items related to the prosecution
the collection of information on Alexandria, VA 22313–1450. of inter partes reexamination
respondents, e.g., the use of automated FOR FURTHER INFORMATION CONTACT: proceedings. The rules outlining inter
collection techniques or other forms of Requests for additional information partes reexamination are found at 37
information technology. should be directed to Raul Tamayo, CFR 1.903–1.931.
Comments submitted in response to Senior Legal Advisor, Office of the
this notice will be summarized or Thus, the items included in this
Patent Legal Administration, United
included in the request for OMB collection cover: (1) Requests for ex
States Patent and Trademark Office,
approval of this information collection; parte reexamination, (2) requests for
P.O. Box 1450, Alexandria, VA 22313–
they also will become a matter of public 1450; by telephone at 571–272–7728; or supplemental examination, and (3)
record. by email to Raul.Tamayo@uspto.gov information that may be submitted by
with ‘‘0651–0064 comment’’ in the patent owners and third-party
Marcie Lovett, requesters in relation to the prosecution
Director, Records and Information subject line. Additional information
about this collection is also available at of an ex parte or inter partes
Governance Division, Office of the Chief reexamination proceeding. The
Information Officer, United States Patent and http://www.reginfor.gov under
Trademark Office. ‘‘Information Collection Review.’’ transmittal forms are used by a requester
(patent owner or third party) as a
[FR Doc. 2018–14383 Filed 7–3–18; 8:45 am] SUPPLEMENTARY INFORMATION:
checklist to ensure compliance with the
BILLING CODE 3510–16–P
I. Abstract requirements of the statutes and rules
The United States Patent and for ex parte reexaminations and
DEPARTMENT OF COMMERCE Trademark Office (USPTO) is required supplemental examinations. The public
by 35 U.S.C. 131 and 151 to examine uses this information collection to
Patent and Trademark Office applications and, when appropriate, request ex parte reexamination and
allow applications and issue them as supplemental examination, to prosecute
Patent Reexaminations and patents. Chapter 30 of Title 35 U.S.C. reexamination proceedings, and to
amozie on DSK3GDR082PROD with NOTICES1
Supplemental Examinations provides that any person at any time ensure that the associated
may file a request for reexamination by documentation is submitted to the
ACTION: Proposed collection; comment USPTO.
request. the USPTO of any claim of a patent on
the basis of prior art patents or printed II. Method of Collection
SUMMARY: The United States Patent and publications. Once initiated, the
Trademark Office (USPTO), as required reexamination proceedings under By mail, facsimile, hand delivery, or
by the Paperwork Reduction Act of 1995 Chapter 30 are substantially ex parte electronically to the USPTO.
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![Federal Register / Vol. 83, No. 129 / Thursday, July 5, 2018 / Notices 31381
Estimated
IC No. Item annual Filing fee Total cost
responses
(a) (b) (c)
(a) × (b)
2 .............. Supplemental examination document size fees, each additional 50 documents 1 70.00 70.00
(micro entity).
2 .............. Reexamination independent claims in excess of three and also in excess of the 35 460.00 16,100.00
number of such claims in the patent under reexamination (large entity).
2 .............. Reexamination independent claims in excess of three and also in excess of the 10 230.00 2,300.00
number of such claims in the patent under reexamination (small entity).
2 .............. Reexamination independent claims in excess of three and also in excess of the 5 115.00 575.00
number of such claims in the patent under reexamination (micro entity).
2 .............. Reexamination claims in excess of 20 and also in excess of the number of 55 100.00 5,500.00
claims in the patent under reexamination (large entity).
2 .............. Reexamination claims in excess of 20 and also in excess of the number of 20 50.00 1,000.00
claims in the patent under reexamination (small entity).
2 .............. Reexamination claims in excess of 20 and also in excess of the number of 5 25.00 125.00
claims in the patent under reexamination (micro entity).
4 .............. Ex Parte Reexamination (§ 1.510(a)) Streamlined (large entity) ........................... 42 6,000.00 252,000.00
4 .............. Ex Parte Reexamination (§ 1.510(a)) Streamlined (small entity) ........................... 27 3,000.00 81,000.00
4 .............. Ex Parte Reexamination (§ 1.510(a)) Streamlined (micro entity) ........................... 1 1,500.00 1,500.00
4 .............. Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (large entity) .................... 78 12,000.00 936.00
4 .............. Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (small entity) ................... 51 6,000.00 306,000.00
4 .............. Ex Parte Reexamination (§ 1.510(a)) Non-Streamlined (micro entity) ................... 1 3,000.00 3,000.00
5 .............. Petitions in a reexamination proceeding, except for those specifically enumer- 180 1,940.00 349,200.00
ated in 37 CFR 1.550(i) and 1.937(d) (large entity).
5 .............. Petitions in a reexamination proceeding, except for those specifically enumer- 20 970.00 19,400.00
ated in 37 CFR 1.550(i) and 1.937(d) (small entity).
5 .............. Petitions in a reexamination proceeding, except for those specifically enumer- 1 485.00 485.00
ated in 37 CFR 1.550(i) and 1.937(d) (micro entity).
Total ................................................................................................................................. 680 ........................ 2,747,015.00
Therefore, the USPTO estimates that collection techniques or other forms of approximately between 35 minutes
the total annual (non-hour) cost burden information technology. (0.58 hours) to 75 minutes (1.25 hours)
for this collection, in the form of postage to complete the items in this collection.
Marcie Lovett,
costs ($3,171.5) and filing fees This includes the time to gather the
Director, Records and Information necessary information, create the
($2,747,015), is $2,750,186.50 per year. Governance Division, OCTO, United States
Patent and Trademark Office.
documents, and submit the completed
IV. Request for Comment request to the USPTO.
[FR Doc. 2018–14385 Filed 7–3–18; 8:45 am]
Comments submitted in response to BILLING CODE 3510–16–P
Burden Hours: 4,333.63 hours per
this notice will be summarized or year.
included in the request for OMB Cost Burden: $53,507.84 per year.
approval of this information collection. DEPARTMENT OF COMMERCE Needs and Uses: The public uses this
They also will become a matter of information collection for a variety of
public record. Patent and Trademark Office
private business purposes related to
Comments are invited on: Submission for OMB Review; establishing and enforcing trademark
Comment Request; ‘‘Trademark rights. The USPTO uses the information
(a) Whether the proposed collection of described in this collection to process
information is necessary for the proper Petitions’’
letters of protest, requests to make
performance of the functions of the The United States Patent and special, responses to petition inquiry
agency, including whether the Trademark Office (USPTO) will submit letters, petitions to make special,
information shall have practical utility; to the Office of Management and Budget requests to restore a filing date, and
(b) The accuracy of the agency’s (OMB) for clearance the following requests for reinstatement. Information
estimate of the burden (including hours proposal for collection of information relating to the registration of a
and cost) of the proposed collection of under the provisions of the 1995 trademark is made publicly available by
information; Paperwork Reduction Act. the USPTO. The release of information
Agency: United States Patent and in a letter of protest is controlled and
(c) Ways to enhance the quality, Trademark Office, Commerce. may be available upon request only.
utility, and clarity of the information to Title: Trademark Petitions.
amozie on DSK3GDR082PROD with NOTICES1
be collected; and Affected Public: Individuals or
OMB Control Number: 0651–0061. households; business or other for-profit
(d) Ways to minimize the burden of Form Number(s): N/A.
organizations; not-for-profit
the collection of information on Type of Request: Regular.
organizations.
respondents, e.g., the use of automated Number of Respondents: 4,768
responses per year. Frequency: On occasion.
Average Hours per Response: The Respondent’s Obligation: Required to
USPTO estimates that it will take Obtain or Retain Benefits.
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Document Created: 2018-07-03 23:40:00
Document Modified: 2018-07-03 23:40:00
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Proposed collection; comment request. | |
| Dates | Written comments must be submitted on or before September 4, 2018. | |
| 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.'' | |
| FR Citation | 83 FR 31379 |
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