Patent Cooperation Treaty

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PCT/RO/101 Request and Fee Calculation Sheet (Annex and Notes)	Form and Instruction	Modified	Available
Form PTO/SB/64/PCT Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	Form	New	Available
Form PTO/SB/61/PCT Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	Form	New	Available
Form PCT/IB/372 Notice of Withdrawal	Form	New	Available
Form PCT/IPEA/401 Demand and Fee Calculation Sheet	Form and Instruction	New	Available
Form PCT/RO/134 Indications Relating to Deposited Microorganism or Other Biological Material	Form	New	Available
Form PTO-1390 Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371	Form	New	Available
Form PTO-1382 Transmittal Letter to the United States Receiving Office	Form	New	Available
0651-0021-JustStmt-Feb2010-final.pdf	Supporting Statement A	Uploaded 2010-02-25	Available
0651-USPTO-InfoQualityGuidelines-02-13-2008.pdf	Supplementary Document	Uploaded 2010-02-23	Available
pct_regs.pdf	Supplementary Document	Uploaded 2006-12-08	Available
pct.pdf	Supplementary Document	Uploaded 2006-12-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4689	Request and Fee Calculation Sheet	Form and Instruction	Modified	Request and Fee Calculation Sheet (Annex and Notes)
46337	Petition under 37 CFR 1.6(g) to Accord the Application under 37 CFR 1.495(b) a National Stage Entry Date		Removed
191415	Request for the restoration of the right of priority		New
191414	Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))		New
191413	Petitions to the Commissioner in national stage examination		New
191412	Petitions to the Commissioner for international applications		New
191411	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	Form	New	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)
191410	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	Form	New	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)
191409	Translations		New
191408	Withdrawal of international application	Form	New	Notice of Withdrawal
191407	Requests to transmit copies of international application		New
191406	Fee Authorization		New
191405	Amendments		New
191404	Demand and Fee Calculation Sheet	Form and Instruction	New	Demand and Fee Calculation Sheet
191403	Request for rectification of obvious errors		New
191402	Response to invitation to correct defects		New
191401	Indications Relating to a Deposited Microorganism	Form	New	Indications Relating to Deposited Microorganism or Other Biological Material
191400	Priority documents		New
191399	Extensions of time		New
191398	PCT/Model of General Power of Attorney		New
191397	PCT/Model of Power of Attorney		New
191396	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371	Form	New	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371
191395	Transmittal Letter to the United States Receiving Office (RO/US)	Form	New	Transmittal Letter to the United States Receiving Office
191394	Application Data Sheet		New
191393	Description/claims/drawings/abstracts		New

ICR Details

OMB Control No: 0651-0021	ICR Reference No: 200911-0651-001
Status: Historical Active	Previous ICR Reference No: 200612-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Cooperation Treaty
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 04/08/2010
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/25/2010
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2013	36 Months From Approved	04/30/2010
Responses	363,809	0	355,658
Time Burden (Hours)	341,840	0	347,891
Cost Burden (Dollars)	282,024,234	0	171,866,001

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Abstract: The general purpose of the Patent Cooperation Treaty (PCT) is to standardize the format and filing procedures so that applicants may file one international application in one location, in one language, and pay one initial set of fees to seek protection for an invention in more than 100 designated countries. This collection of information is necessary so that respondents can apply for an international patent and so that the USPTO can fulfill its duties to process, search, and examine international patent applications under the provisions of the PCT.

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Authorizing Statute(s): US Code: 35 USC 351-376
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	74 FR 54952	10/26/2009
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 8038	02/23/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 24

table that charts list of burden

IC Title	Form No.	Form Name
Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))
Amendments
Application Data Sheet
Demand and Fee Calculation Sheet	PCT/IPEA/401	Demand and Fee Calculation Sheet
Description/claims/drawings/abstracts
Extensions of time
Fee Authorization
Indications Relating to a Deposited Microorganism	PCT/RO/134	Indications Relating to Deposited Microorganism or Other Biological Material
PCT/Model of General Power of Attorney
PCT/Model of Power of Attorney
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	PTO/SB/61/PCT	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	PTO/SB/64/PCT	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)
Petition under 37 CFR 1.6(g) to Accord the Application under 37 CFR 1.495(b) a National Stage Entry Date
Petitions to the Commissioner for international applications
Petitions to the Commissioner in national stage examination
Priority documents
Request and Fee Calculation Sheet	PCT/RO/101	Request and Fee Calculation Sheet (Annex and Notes)
Request for rectification of obvious errors
Request for the restoration of the right of priority
Requests to transmit copies of international application
Response to invitation to correct defects
Translations
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371	PTO-1390	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371
Transmittal Letter to the United States Receiving Office (RO/US)	PTO-1382	Transmittal Letter to the United States Receiving Office
Withdrawal of international application	PCT/IB/372	Notice of Withdrawal

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	363,809	355,658	0	234	7,917	0
Annual Time Burden (Hours)	341,840	347,891	0	2,242	-8,293	0
Annual Cost Burden (Dollars)	282,024,234	171,866,001	0	86,167,568	23,990,665	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The USPTO is updating this information collection to reflect the current practice and fee structure for PCT applications entering the national stage at the USPTO. The net decrease of 6,051 burden hours is due to both program changes from requirements being added and deleted from this collection to match the current PCT practice and administrative adjustments due to revised estimates of the number of expected filings for this collection. This collection also has a net increase in annual (non-hour) cost burden of $110,158,233 due to several factors, including changes in the estimated number of filings, updates to the fee structure for PCT-related requests, and the availability of electronic filing for PCT submissions.

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Annual Cost to Federal Government: $6,651,212

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 02/25/2010

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