Form PTO-1390 Transmittal Letter to the United States Designated/Elect

PTO-1390 (Rev. 09-08)
Approved for use through 2/28/2010. OMB 0651-0021
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

TRANSMITTAL LETTER TO THE UNITED STATES
DESIGNATED/ELECTED OFFICE (DO/EO/US)
CONCERNING A SUBMISSION UNDER 35 U.S.C. 371
INTERNATIONAL APPLICATION NO.

INTERNATIONAL FILING DATE

ATTORNEY’S DOCKET NUMBER
U.S. APPLICATION NO. (If known, see 37 CFR 1.5)
PRIORITY DATE CLAIMED

TITLE OF INVENTION
APPLICANT(S) FOR DO/EO/US

Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information:
1.

This is a FIRST submission of items concerning a submission under 35 U.S.C. 371.

2.

This is a SECOND or SUBSEQUENT submission of items concerning a submission under 35 U.S.C. 371.

3.

This is an express request to begin national examination procedures (35 U.S.C. 371(f)). The submission must include items
(5), (6), (9) and (21) indicated below.

4.

The US has been elected (Article 31).

5.

6.

7.

A copy of the International Application as filed (35 U.S.C. 371(c)(2))
a.

is attached hereto (required only if not communicated by the International Bureau).

b.

has been communicated by the International Bureau.

c.

is not required, as the application was filed in the United States Receiving Office (RO/US).

An English language translation of the International Application as filed (35 U.S.C. 371(c)(2)).
a.

is attached hereto.

b.

has been previously submitted under 35 U.S.C. 154(d)(4).

Amendments to the claims of the International Application under PCT Article 19 (35 U.S.C. 371(c)(3))
a.

are attached hereto (required only if not communicated by the International Bureau).

b.

have been communicated by the International Bureau.

c.

have not been made; however, the time limit for making such amendments has NOT expired.

d.

have not been made and will not be made.

8.

An English language translation of the amendments to the claims under PCT Article 19 (35 U.S.C. 371(c)(3)).

9.

An oath or declaration of the inventor(s) (35 U.S.C. 371(c)(4)).

10.

An English language translation of the annexes of the International Preliminary Examination Report under PCT
Article 36 (35 U.S.C. 371(c)(5)).
Items 11 to 20 below concern document(s) or information included:

11.

An Information Disclosure Statement under 37 CFR 1.97 and 1.98.

12.

An assignment document for recording. A separate cover sheet in compliance with 37 CFR 3.28 and 3.31 is included.

13.

A preliminary amendment.

14.

An Application Data Sheet under 37 CFR 1.76.

15.

A substitute specification.

16.

A power of attorney and/or change of address letter.

17.

A computer-readable form of the sequence listing in accordance with PCT Rule 13ter.3 and 37 CFR 1.821- 1.825.

18.

A second copy of the published International Application under 35 U.S.C. 154(d)(4).

19.

A second copy of the English language translation of the international application under 35 U.S.C. 154(d)(4).

This collection of information is re quired by 37 CFR 1.414 and 1.491-1 .492. The information is r equired to ob tain or retain a b enefit by the public, w hich is to file (and by the
USPTO to pro cess) an application . C onfidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. Th is co llection i s e stimated to take 15 minutes to complete,
including gathering information, preparing, and submitting the completed form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount
of time you require to complete this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S.
Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEE S OR COMPLE TED FORMS TO THIS ADDRESS. SEND TO: Mail Stop PCT,
Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
Page 1 of 3

PTO-1390 (Rev. 09-08)

Approved for use through 2/28/2010. OMB 0651-0021

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

U.S. APPLICATION NO. (if known, see 37 CFR 1.5)

20.

INTERNATIONAL APPLICATION NO.

ATTORNEY’S DOCKET NUMBER

Other items or information:

The following fees have been submitted
21.

Basic national fee (37 CFR 1.492(a))…………………………………......….….... $330

22.

Examination fee (37 CFR 1.492(c))

If the written opinion prepared by ISA/US or the international preliminary examination report prepared
by IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)……..….. $0
All other situations….………………………………………………………………………………..$220
23.
Search fee (37 CFR 1.492(b))
If the written opinion of the ISA/US or the International preliminary examination report prepared by
IPEA/US indicates all claims satisfy provisions of PCT Article 33(1)-(4)…….…….... $0
Search fee (37 CFR 1.445(a)(2)) has been paid on the international application to the USPTO as an
International Searching Authority…………………………………..……………...….….$100
International Search Report prepared by an ISA other than the US and provided to the Office or
previously communicated to the US by the IB………..……………..…..…………..….. $430
All other situations……………………………………………………………………………………$540

CALCULATIONS
$

PTO USE ONLY

$

$

TOTAL OF 21, 22 and 23 =
Additional fee for specification and drawings filed in paper over 100 sheets (excluding sequence
listing in compliance with 37 CFR 1.821(c) or (e) in an electronic medium or computer
program listing in an electronic medium) (37 CFR 1.492(j)).
The fee is $270 for each additional 50 sheets of paper or fraction thereof.
Total Sheets

Extra Sheets

- 100 =

Number of each additional 50 or fraction
thereof (round up to a whole number)

/50 =

RATE
x $270

Surcharge of $130.00 for furnishing any of the search fee, examination fee, or the oath or declaration
after the date of commencement of the national stage (37 CFR 1.492(h)).
CLAIMS
Total claims
Independent claims

NUMBER FILED

NUMBER EXTRA

$
$

RATE

$

- 20 =

x

$ 52

$

-3=

x

$220

$

+

$390

MULTIPLE DEPENDENT CLAIM(S) (if applicable)

TOTAL OF ABOVE CALCULATIONS =

$
$

Applicant claims small entity status. See 37 CFR 1.27. Fees above are reduced by ½.
SUBTOTAL =
Processing fee of $130.00 for furnishing the English translation later than 30 months from the earliest
claimed priority date (37 CFR 1.492(i)).
+
TOTAL NATIONAL FEE =
Fee for recording the enclosed assignment (37 CFR 1.21(h)). The assignment must be accompanied
+
by an appropriate cover sheet (37 CFR 3.28, 3.31). $40.00 per property
TOTAL FEES ENCLOSED =

$
$
$
$
$
Amount to be
refunded:
Amount to be
charged

Page 2 of 3

$
$

PTO-1390 (Rev. 09-08)
Approved for use through 2/28/2010. OMB 0651-0021
U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

a.

A check in the amount of $ ______________________ to cover the above fees is enclosed.

b.

Please charge my Deposit Account No. ___________ in the amount of $ ____________ to cover the above fees.

c.

The Commissioner is hereby authorized to charge any additional fees which may be required, or credit any overpayment to Deposit
Account No. ___________.

d.

Fees are to be charged to a credit card. WARNING: Information on this form may become public. Credit card information should not
be included on this form. Provide credit card information and authorization on PTO-2038. The PTO-2038 should only be mailed or faxed
to the USPTO. However, when paying the basic national fee, the PTO-2038 may NOT be faxed to the USPTO.
ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please be
advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your
information, it is recommended paying fees online by using the electronic payment method.

NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (b)) must be filed
and granted to restore the International Application to pending status.

SEND ALL CORRESPONDENCE TO:

_________________________________________________
SIGNATURE
_________________________________________________
NAME
_________________________________________________
REGISTRATION NUMBER

Page 3 of 3

Privacy Act Statement
The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection
with your submission of the attached form related to a patent application or patent. Accordingly,
pursuant to the requirements of the Act, please be advised that: (1) the general authority for the
collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary;
and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark
Office is to process and/or examine your submission related to a patent application or patent. If you do
not furnish the requested information, the U.S. Patent and Trademark Office may not be able to
process and/or examine your submission, which may result in termination of proceedings or
abandonment of the application or expiration of the patent.
The information provided by you in this form will be subject to the following routine uses:
1. The information on this form will be treated confidentially to the extent allowed under the
Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from
this system of records may be disclosed to the Department of Justice to determine whether
disclosure of these records is required by the Freedom of Information Act.
2. A record from this system of records may be disclosed, as a routine use, in the course of
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3. A record in this system of records may be disclosed, as a routine use, to a Member of
Congress submitting a request involving an individual, to whom the record pertains, when the
individual has requested assistance from the Member with respect to the subject matter of the
record.
4. A record in this system of records may be disclosed, as a routine use, to a contractor of the
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information shall be required to comply with the requirements of the Privacy Act of 1974, as
amended, pursuant to 5 U.S.C. 552a(m).
5. A record related to an International Application filed under the Patent Cooperation Treaty in
this system of records may be disclosed, as a routine use, to the International Bureau of the
World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.
6. A record in this system of records may be disclosed, as a routine use, to another federal
agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to
the Atomic Energy Act (42 U.S.C. 218(c)).
7. A record from this system of records may be disclosed, as a routine use, to the Administrator,
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8. A record from this system of records may be disclosed, as a routine use, to the public after
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pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37
CFR 1.14, as a routine use, to the public if the record was filed in an application which
became abandoned or in which the proceedings were terminated and which application is
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