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pdfSUPPORTING STATEMENT
United States Patent and Trademark Office
Patent Cooperation Treaty
OMB CONTROL NUMBER 0651-0021
(February 2010)
A.
JUSTIFICATION
1.
Necessity of Information Collection
This collection of information is required by the provisions of the Patent Cooperation Treaty
(PCT), which became operational in June 1978 and is administered by the International
Bureau (IB) of the World Intellectual Property Organization (WIPO) in Geneva, Switzerland.
The provisions of the PCT have been implemented by the United States in Part IV of Title
35 of the U.S. Code (Chapters 35-37) and Subpart C of Title 37 of the Code of Federal
Regulations (37 CFR 1.401-1.499). The purpose of the PCT is to provide a standardized
filing format and procedure that allows an applicant to seek protection for an invention in
several countries by filing one international application in one location, in one language,
and paying one initial set of fees.
The information in this collection is used by the public to submit a patent application under
the PCT and by the United States Patent and Trademark Office (USPTO) to fulfill its
obligation to process, search, and examine the application as directed by the treaty. The
filing, search, written opinion, and publication procedures are provided for in Chapter I of
the PCT. Additional procedures for a preliminary examination of PCT international
applications are provided for in optional PCT Chapter II. Under Chapter I, an applicant can
file an international application in the national or home office (Receiving Office (RO)) or the
IB. The USPTO acts as the United States Receiving Office (RO/US) for international
applications filed by residents and nationals of the United States. These applicants send
most of their correspondence directly to the USPTO, but they may also file certain
documents directly with the IB. The USPTO also serves as an International Searching
Authority (ISA) to perform searches and issue a written opinion on international applications
as well as an International Preliminary Examining Authority (IPEA).
The RO reviews the application and, if it contains all of the necessary information, assigns
a filing date to the application. The RO maintains the home copy of the international
application and forwards the record copy of the application to the IB and the search copy to
the ISA. The IB maintains the record copy of all international applications and publishes
them 18 months after the earliest priority date, which is the earliest date for which a benefit
is claimed. The ISA performs a search to determine whether there is any prior art relevant
to the claims of the international application and will issue a written opinion as to whether
each claim is Anovel,@ involves an @inventive step,@ and is Aindustrially applicable.@ The ISA
then creates a search report and forwards the search report along with copies of the cited
prior art to the applicant and the IB. The IB will normally publish the application and search
report 18 months after the priority date, unless early publication is requested by the
applicant. Until international publication, no third person or national or regional office is
allowed access to the international patent application unless so requested or authorized by
the applicant. If the applicant wishes to withdraw the application (and does so before
international publication), international publication does not take place.
Under Chapter II of the Treaty, an applicant who has filed an international application in an
RO can demand an international preliminary examination of the application by an IPEA,
such as the USPTO. The Demand is made separately from the international application
and contains prescribed particulars, language, and form. Under this type of examination,
the IPEA presents the examiner=s final position as to whether each claim is Anovel,@
involves an Ainventive step,@ and is Aindustrially applicable.@ A copy of the examination
report is sent to the applicant and to the IB. The IB then forwards a copy of the
examination report to each Office elected by the applicant.
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. A form is being
added to this collection for the previously approved information requirement for the
withdrawal of an international application. This form (PCT/IB/372) is developed and
maintained by the WIPO.
Table 1 provides the specific sections of the PCT along with the associated U.S. statutes
and USPTO rules requiring the USPTO to collect the information discussed above:
Table 1: Information Requirements for Patent Cooperation Treaty
Requirement
Statute
Rule
Request and Fee Calculation
PCT Articles 3 and 4, 35 U.S.C.
361 and 376
PCT Rules 3, 4, 14-16, 37
CFR 1.431-1.434, 1.445
Description/claims/drawings/abstracts
PCT Articles 3.2, 5-7
PCT Rules 5-12, 37 CFR
1.431(a), 1.435-1.438
Application Data Sheet
PCT Article 8
PCT Rule 26 , 37 CFR 1.76,
1.497(g)
Transmittal Letter to the RO/US
35 U.S.C. 184 and 361
37 CFR 1.10, 1.412
Transmittal Letter to the DO/EO/US
35 U.S.C. 363 and 371
37 CFR 1.414, 1.491-1.492
PCT/Model of Power of Attorney
PCT Article 49
PCT Rules 90.4 and 90.5, 37
CFR 1.455
PCT/Model of General Power of Attorney
PCT Article 49
PCT Rules 90.4 and 90.5, 37
CFR 1.455
Extensions of time
None
PCT Rules 16, 22.3 and 61.1
Priority documents
PCT Article 8(b), 35 U.S.C. 365
PCT Rule 17, 37 CFR 1.451
Indications Relating to a Deposited Microorganism
None
PCT Rule 13
Response to invitation to correct defects
PCT Article 14
PCT Rules 26, 53 and 60
Response for rectification of obvious errors
None
PCT Rule 91
2
bis
bis
Demand and Fee Calculation
PCT Article 31, 35 U.S.C. 362 and
376
PCT Rules 53-61, 37 CFR
1.480-1.482
Amendments
PCT Articles 14, 19, 34(2)(b) and
41, 35 U.S.C. 371(c)(3)
PCT Rules 10, 11, 46 and 66,
37 CFR 1.471-1.472, 1.485,
1.495
Fee Authorization
35 U.S.C. 376
37 CFR 1.25
Requests to transmit copies of international application
None
PCT Rule 22
Withdrawal of international application
PCT Administrative Sections 326
and 414, PCT Article 37, 35
U.S.C. 366
PCT Rules 90 .1-.4
Translations
PCT Articles 36 and 46, 35 U.S.C.
371(c)
PCT Rule 72, 37 CFR 1.484,
1.492(f), 1.495
Petition for Revival of an International Application for
Patent Designating the U.S. Abandoned Unavoidably
35 U.S.C. 371(c)-(d)
37 CFR 1.137(a), 37 CFR
1.17(l)
Petition for Revival of an International Application for
Patent Designating the U.S. Abandoned Unintentionally
35 U.S.C. 371(c)-(d)
37 CFR 1.137(b), 37 CFR
1.17(m)
Petitions to the Commissioner for international
applications
35 U.S.C. 371
37 CFR 1.10, 37 CFR 1.181,
37 CFR 1.182
Petitions to the Commissioner in national stage
examination
35 U.S.C. 111, 35 U.S.C. 116-118,
35 U.S.C. 371
37 CFR 1.42, 37 CFR 1.47, 37
CFR 1.181, 37 CFR 1.182
Acceptance of an unintentionally delayed claim for
priority (37 CFR 1.78(a)(3))
35 U.S.C. 119(e) and 35 U.S.C.
120
37 CFR 1.78
Request for the restoration of the right of priority
PCT Article 8
PCT Rule 26 .3
2.
bis
bis
Needs and Uses
The information requested in this collection is necessary for respondents to file an
international patent application and for the USPTO to process, search, and examine
international applications and related correspondence under the PCT. If this information
were not collected, the USPTO would not be able to fulfill its obligations under the PCT as
an RO, ISA, or IPEA. The IB also uses this information to administer international
applications as required by the PCT.
Some of the information in this collection has associated forms as indicated in Table 2
below. Use of the forms is not mandatory, but the USPTO advises applicants to use these
forms to ensure that all of the necessary information is provided and to assist the USPTO in
processing the international applications quickly and efficiently. The Request and Demand
forms include Annexes (Fee Calculation Sheets) and Notes with instructions on completing
these forms. The WIPO also furnishes the APCT Applicant=s Guide@ and other documents
to give the public additional guidance on preparing the international application.
The Information Quality Guidelines from Section 515 of Public Law 106-554, Treasury and
General Government Appropriations Act for Fiscal Year 2001, apply to this information
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collection and comply with all applicable information quality guidelines, i.e. OMB and
specific operating unit guidelines.
This proposed collection of information will result in information that will be collected,
maintained, and used in a way consistent with all applicable OMB and USPTO Information
Quality Guidelines.
Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses of Information Collected for Patent Cooperation Treaty
Item
Form #
Needs and Uses
Request and Fee Calculation Sheet
(Annex and Notes)
PCT/RO/101
C
C
C
C
C
Description/claims/drawings/abstracts
C
No Form Associated
C
Application Data Sheet
C
No Form Associated
C
Transmittal Letter to the United States
Receiving Office (RO/US)
C
PTO-1382
C
C
C
4
Used by the public to supply the information required for
an international patent application.
The optional Fee Calculation Sheet may be used by the
public to indicate the amount of money being submitted
and how the money is to be applied.
The public uses the Fee Calculation Sheet or Annex as
an attachment to the PCT Request.
Used by the USPTO to process the international
application according to the PCT.
Used by the USPTO to verify the calculations and to
identify any errors in them.
Used by the public as part of the international application.
In most instances, the description, claims, drawings, and
abstract are identical to the corresponding elements in the
previously filed U.S. application, and the papers
submitted for the international application are a photocopy
of the papers in the national application.
Used by the USPTO to process the international
application according to the PCT.
Used by the public as an optional way to submit
bibliographic data with identifying information for an
application, including information about each applicant,
correspondence address, application contents,
representatives, priority, and assignees.
Used by the USPTO to process applications and to
correctly identify applications for which priority is claimed.
Used by the public as a cover letter to supply a
certification if the application was submitted via Express
Mail and entitles an applicant to obtain a filing date as of
the date of deposit with the postal authorities.
Used by the public for security clearance purposes to
supply information concerning the similarity or differences
between the subject matter disclosed in the international
application and any national application filed earlier in the
USPTO.
Used by the public as a transmittal letter for extensions of
time, power of attorney, general power of attorney,
substitute sheets, priority documents, fee payments,
obvious error rectification, and other items.
Used by the USPTO to screen and certify the
accompanying international application for the purpose of
determining whether a license for foreign transmittal
should and could be granted and for other purposes.
Transmittal Letter to the United States
Designated/Elected Office
(DO/EO/US) Concerning a Filing
Under 35 U.S.C. 371
PTO-1390
PCT/Model of Power of Attorney
No Form Number
C
C
C
PCT/Model of General Power of
Attorney
C
C
Extensions of time
C
No Form Associated
C
Priority documents
C
No Form Associated
C
C
Indications Relating to a Deposited
Microorganism
C
PCT/RO/134
C
Response to invitation to correct
defects
C
No Form Associated
C
Request for rectification of obvious
errors
C
No Form Associated
C
5
Used by the public to submit the required materials and
fees for examination of an international application to the
USPTO as the U.S. Designated Office or Elected Office.
Used by the USPTO to fulfill its role as the U.S.
Designated Office or Elected Office to process and
examine international patent applications entering the
national stage.
Used by the public to allow for the appointment of an
agent to represent an applicant for a given international
application or multiple international applications filed
under the PCT.
Used by the public to provide the information needed to
permit attorneys or agents registered to practice before
the USPTO to represent an applicant filing an
international application with the US/RO and to prosecute
an international application on behalf of the applicant.
Used by the USPTO to accept the appointment of an
attorney or agent to represent an applicant for a given
international application filed under the PCT.
Used by the public to allow an applicant to request an
extension of time to respond to an outstanding invitation
to make corrections/changes to the international
application, the request, or the demand.
Used by the USPTO to grant an applicant a requested
extension of time to respond to an outstanding invitation
to make corrections/changes to the international
application, the request or the demand.
Used by the public to certify a copy of the priority of an
earlier application claimed in the international application.
Used by the public to request that the US/RO prepare and
transmit the certified copy to the IB or other RO if the
earlier application is a U.S. application.
Used by the USPTO to prepare and transmit a certified
copy of the priority application to the IB or other RO if the
earlier application is a U.S. application.
Used by the public to provide a sample of the
microorganism to a recognized depository institution and
notify the US/RO of this action in writing.
Used by the USPTO to confirm that a sample of the
microorganism was provided to a recognized depository
institution.
Used by the public to correct defects noted by the RO.
There is no required form for supplying the corrections.
Used by the USPTO to determine if noted defects have
been corrected.
Used by the public to request that the appropriate RO,
ISA, IPEA, or the IB correct obvious errors in the
international application, as filed.
Used by the USPTO to grant the request that the
appropriate RO, ISA, IPEA, or the IB correct obvious
errors in the international application, as filed.
Demand and Fee Calculation Sheet
(Annex and Notes)
C
PCT/IPEA/401
C
C
C
Amendments
C
No Form Associated
C
Fee Authorization
C
No Form Associated
C
Requests to transmit copies of
international application
C
No Form Associated
C
Withdrawal of international application
C
PCT/IB/372
C
Translations
C
No Form Associated
C
C
C
Petition for Revival of an International
Application for Patent Designating the
U.S. Abandoned Unavoidably Under
37 CFR 1.137(a)
C
PTO/SB/61/PCT
C
6
Used by the public to request examination of the
international application under Chapter II of the PCT.
The PCT Fee Calculation Sheet or Annex is used by the
public to calculate the fees that are due and being
submitted.
Used by the USPTO to conduct an international
preliminary examination of an international application
under Chapter II of the PCT.
The PCT Fee Calculation Sheet is used by the USPTO to
properly credit the fees that are due and submitted.
Used by the public to modify the international application
in response to the findings in the international search
report or in the written report.
Used by the USPTO to approve the modification of the
international application in response to the findings in the
international search report or in the written report.
Used by the public to charge the applicant=s deposit
account along with instructions concerning how much to
charge and for what purpose.
Used by the USPTO Finance Branch to apply the charged
fees to the applicant=s deposit account.
Used by the public to pay for the cost of preparing and
mailing copies of the international application where at 14
months the RO has failed to transmit the record copy to
the IB.
Used by the USPTO to ensure that the transmittal of the
international application is identical to the application filed
with the RO.
Used by the public to request withdrawal of the
international application, designations of the state,
demands, elections, and priority claims by a notice
addressed to the IB or the RO.
Used by the USPTO to withdraw the international
application, designations of the state, demands, elections,
and priority claims by accepting a notice addressed to the
RO.
Used by the public in the event any Elected Office
requires a translation of annexes to the international
preliminary examination report.
Used by the public to make written observations on any
errors of translation in the international preliminary
examination report and send such copies to the interested
parties.
Used by the USPTO to transmit a copy of the translation
of the international preliminary examination report to the
applicant at the same time it is transmitted to the
interested Elected Office(s).
Used by the USPTO to cancel the final international
preliminary examination report and the annexes if they
are not in English.
Used by the public to request revival of an application that
was abandoned unavoidably.
Used by the USPTO to consider requests for revival of an
unavoidably abandoned application and ensure all the
proper documentation and fees are included.
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
Petitions to the Commissioner for
international applications
No Form Associated
C
C
C
C
Petitions to the Commissioner in
national stage examination
C
No Form Associated
C
Acceptance of an unintentionally
delayed claim for priority (37 CFR
1.78(a)(3))
C
No Form Associated
C
Request for the restoration of the right
of priority
C
No Form Associated
C
3.
Used by the public to request revival of an application that
was abandoned unintentionally.
Used by the USPTO to consider requests for revival of an
unintentionally abandoned application and ensure all the
proper documentation and fees are included.
Used by the public to petition or Aappeal@ for relief in
exceptional circumstances.
Used by the USPTO to grant relief in exceptional
circumstances.
Used by the public to petition or Aappeal@ for relief in
exceptional circumstances.
Used by the USPTO to grant relief in exceptional
circumstances.
Used by the public to claim benefit of the filing date of a
prior filed application which has at least one common
inventor if filed outside the time period.
Used by the USPTO to grant relief if the conditions are
met.
Used by the public to allow a priority claim to an earlier
application even if the international application is filed
outside the priority period.
Used by the USPTO to grant relief if the conditions are
met.
Use of Information Technology
The PCT provides for electronic filing of international applications, as long as the
confidentiality requirements are met. In 1999, the Trilateral Offices B the European Patent
Office (EPO), the Japanese Patent Office (JPO), and the USPTO B began developing a
draft standard for online electronic filing of international applications. This standard
specifies the content, format, and protocol for submitting electronic patent applications over
the Internet. WIPO became involved and adopted the project as a PCT effort for
international applications that would also become a standard for national applications
through the Patent Law Treaty. This standard resulted in the promulgation in December
2001 of a new Part 7 of the PCT Administrative Instructions (AIs) and an associated Annex
F, AStandard for the Electronic Filing and Processing of International Applications.@ These
documents specify in detail the necessary electronic formats, signatures, signal protocols,
electronic records management, packaging, and security to establish the admissibility of the
electronic records submitted and processed under the PCT. Offices that are able to comply
with these requirements submit a notice to the IB that they are prepared to receive (and
optionally process) international applications in electronic form.
Customers may submit PCT materials to the USPTO electronically through EFS-Web, the
USPTO’s online filing system for patent applications and related documents. EFS-Web is a
web-based document submission system that allows customers to file applications and
associated documents through their standard web browser without downloading special
software, changing their documentation preparation tools, or altering their workflow
processes. Customers may create their patent applications and associated documents
using the tools and processes that they already use and then convert those documents into
7
standard PDF files that are submitted through EFS-Web to the USPTO. The fillable PDF
forms that can be submitted through EFS-Web may be downloaded from the USPTO Web
site and do not require special PDF creation software.
Registered and unregistered users can file documents securely through EFS-Web, which is
hosted on secure servers. The documents of registered users are protected using a Public
Key Infrastructure (PKI) system and digital certificates which provide authentication and
encryption security. For filers who are not registered, the documents are submitted to EFSWeb using Transport Layer Security (TLS) or Secure Socket Layer (SSL) protocol.
EFS-Web offers many benefits to filers, including immediate notification that a submission
has been received by the USPTO, automated processing of requests, and avoidance of
postage and other paper delivery costs. After the document has been successfully
submitted through EFS-Web, customers will receive an acknowledgement receipt that lists
the time and date stamp stating when the document was submitted to the USPTO, an
application number, a confirmation number, and other critical information, such as the EFS
ID, a listing of the files and documents associated with the submission, and page counts for
the files and documents. This receipt is the legal equivalent of a postcard in the postcard
receipt practice used for patent application documents that are filed in paper. The USPTO
recommends that customers print the electronic acknowledgement receipt to keep with
their records.
There are many additional benefits to filing through EFS-Web that were not available
previously. Users can access EFS-Web from any computer with an Internet connection.
Since EFS-Web is hosted on the USPTO’s secure servers and not on the individual’s
personal computer, USPTO staff can update EFS-Web without requiring any action from
the user. Customers can submit fee payments and other requests in real time. The PDF
forms can be passed around to multiple users for collaboration.
EFS-Web integrates with the Patent Application Information Retrieval (PAIR) system, the
USPTO’s online database that provides authorized individuals with immediate and secure
access to non-published patent application information. PAIR uses digital certificates to
permit only applicants and their designated representatives to access information about
their pending patent applications and to maintain the confidentiality and integrity of the
information as it is transmitted over the Internet. The USPTO does not intend to
disseminate any confidential application information to the general public electronically
through PAIR or any other means. However, the general public may use PAIR to access
public information regarding granted patents, published applications, and reexamination
proceedings. PAIR is available through the USPTO Web site.
The USPTO also automates the processing of PCT applications electronically through the
PCT Operations Workflow and Electronic Review (POWER) system.
8
4.
Efforts to Identify Duplication
This information is collected only when an applicant or representative submits an
international application and is not collected elsewhere. Duplication of identifying
information is required on subsequent correspondence to ensure that the correspondence
can be associated with the correct application. In general, the PCT is designed to minimize
the need for duplication by allowing an applicant to file a single application that has the
effect of a national application filed in multiple countries.
5.
Minimizing Burden to Small Entities
The information in this collection is necessary in order to process requests related to PCT
applications. The same information is required from every applicant and is not available
from any other source. Pursuant to 35 U.S.C. 41(h), the USPTO provides a 50% reduction
in the fees charged under 35 U.S.C. 41(a)-(b) for small entity applicants, such as
independent inventors, small businesses, and nonprofit organizations. The USPTO=s
regulations concerning the payment of reduced patent fees by small entities are at 37 CFR
1.27 and 1.28, and reduced patent fees for small entity applicants are shown in 37 CFR
1.16, 1.17, 1.18, and 1.20. No significant burden is placed on small entities, in that small
entities must only identify themselves as such in order to obtain these benefits. An
assertion of small entity status only needs to be filed once in an application or patent.
6.
Consequences of Less Frequent Collection
This information is collected only when an applicant or representative submits an
international application. This collection of information is necessary to process an
international application under the PCT and could not be conducted less frequently. If this
information were not collected, the USPTO would not be able to process the application as
required by 35 U.S.C. 364(a).
7.
Special Circumstances in the Conduct of Information Collection
There are no special circumstances associated with this collection of information.
8.
Consultation Outside the Agency
The 60-Day Notice was published in the Federal Register on October 26, 2009 (74 Fed.
Reg. 54952). The comment period ended on December 28, 2009. No public comments
were received.
The development of the Patent Cooperation Treaty involved over five years of intensive
dialogue among 300 delegates from over 77 states or countries, 22 international
organizations, 11 intergovernmental organizations, and 11 non-governmental
organizations.
9
The USPTO has long-standing relationships with groups from whom patent application data
is collected, such as the American Intellectual Property Law Association, as well as patent
bar associations, independent inventor groups, and users of our public facilities. Their
views are expressed in regularly scheduled meetings and considered in developing
proposals for information collection requirements. There have been no comments or
concerns expressed by these or similar organizations concerning the time to provide the
information required under this program.
9.
Payments or Gifts to Respondents
This information collection does not involve a payment or gift to any respondent.
10.
Assurance of Confidentiality
The confidentiality of international patent applications is governed by PCT Article 30, 35
U.S.C. 122, and 37 CFR 1.11 and 1.14. The USPTO has a legal obligation to maintain the
confidentiality of the contents of unpublished patent applications and related documents.
Until international publication (18 months after the priority date), no third party or authority
is allowed access to the international patent application unless such access is requested or
authorized by the applicant. If the applicant withdraws the application before international
publication, such publication does not take place. Upon publication of an application or
issuance of a patent, the patent application file is made available to the public, subject to
the provisions for providing only a redacted copy of the file contents.
11.
Justification for Sensitive Questions
None of the required information in this collection is considered to be of a sensitive nature.
12.
Estimate of Hour and Cost Burden to Respondents
Table 3 calculates the burden hours and costs of this information collection to the public,
based on the following factors:
$
Respondent Calculation Factors
The USPTO estimates that it will receive 363,809 responses per year for this
collection. The USPTO also estimates that approximately 85% (309,238) of the total
responses for this collection will be submitted electronically through EFS-Web.
$
Burden Hour Calculation Factors
The USPTO estimates that it will take the public from 15 minutes (0.25 hours) to 8
hours to gather the necessary information, prepare the appropriate form or
documents, and submit the information to the USPTO.
10
$
Cost Burden Calculation Factors
In 2009 the Committee on Economics of Legal Practice of the American Intellectual
Property Law Association published a report that summarized the results of a survey
with data on hourly billing rates. The professional rate of $325 per hour used in this
submission is the median rate for attorneys in private firms as published in that
report. This is a fully-loaded hourly rate. The USPTO expects that the information
in this collection will be prepared by attorneys.
Table 3: Burden Hour/Burden Cost to Respondents for Patent Cooperation Treaty
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(a) x (b)
Rate
($/yr)
(d)
Total Cost
($/yr)
(e)
(c) x (d)
Request and Fee Calculation Sheet (Annex
and Notes) (PCT/RO/101)
1.0
53,527
53,527
$325.00
$17,396,275.00
Description/claims/drawings/abstracts
3.0
53,527
160,581
$325.00
$52,188,825.00
Application Data Sheet
0.38
39,592
15,045
$325.00
$4,889,625.00
Transmittal Letter to the RO/US (PTO-1382)
0.25
48,174
12,044
$325.00
$3,914,300.00
Transmittal Letter to the DO/EO/US
Concerning a Submission Under 35 U.S.C. 371
(PTO-1390)
0.25
58,794
14,699
$325.00
$4,777,175.00
PCT/Model of Power of Attorney
0.25
5,353
1,338
$325.00
$434,850.00
PCT/Model of General Power of Attorney
0.25
536
134
$325.00
$43,550.00
Extensions of time
0.25
21,000
5,250
$325.00
$1,706,250.00
Priority documents
0.25
20
5
$325.00
$1,625.00
Indications Relating to a Deposited
Microorganism (PCT/RO/134)
0.25
20
5
$325.00
$1,625.00
Response to invitation to correct defects
2.0
18,524
37,048
$325.00
$12,040,600.00
Request for rectification of obvious errors
0.5
589
295
$325.00
$95,875.00
Demand and Fee Calculation Sheet (Annex
and Notes) (PCT/IPEA/401)
1.0
3,365
3,365
$325.00
$1,093,625.00
Amendments
1.0
3,365
3,365
$325.00
$1,093,625.00
Fee Authorization
0.25
48,174
12,044
$325.00
$3,914,300.00
Requests to transmit copies of international
application
0.25
501
125
$325.00
$40,625.00
Withdrawal of international application
(PCT/IB/372)
0.25
1,306
327
$325.00
$106,275.00
Translations
2.0
1,655
3,310
$325.00
$1,075,750.00
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)
8.0
55
440
$325.00
$143,000.00
11
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)
1.0
1,027
1,027
$325.00
$333,775.00
Petitions to the Commissioner for international
applications
4.0
581
2,324
$325.00
$755,300.00
Petitions to the Commissioner in national stage
examination
4.0
3,287
13,148
$325.00
$4,273,100.00
Acceptance of an unintentionally delayed claim
for priority (37 CFR 1.78(a)(3))
2.0
117
234
$325.00
$76,050.00
Request for the restoration of the right of
priority
3.0
720
2,160
$325.00
$702,000.00
. . .
363,809
341,840
Totals
13.
. . .
$111,098,000.00
Total Annualized Cost Burden
There are no capital start-up or maintenance costs associated with this information
collection. However, this collection does have annual (non-hour) costs in the form of
translations, drawings, fees, recordkeeping costs, and postage costs.
Under the terms of the PCT, the USPTO may require documents submitted for a PCT
application to be translated into English when necessary. This requirement may carry
additional costs for the applicant to contract for a translation of the documents in question.
The cost of translating a document is dependent upon the length of the document, the
complexity of the document, whether the document is technical, and the languages that the
document has to be translated to and from. Due to these variables, the USPTO cannot
precisely estimate the costs that parties may incur for these translations. The USPTO
believes that the average length of the documents to be translated will be 10 pages and
that it will cost $150 per page for the translation, for an average translation cost of $1,500
per document. The USPTO estimates that it receives approximately 1,655 English
translations annually, for a total cost of $2,482,500 per year for English translations
of non-English language documents for PCT applications.
Applicants may also incur costs for drawings that are submitted as part of PCT applications.
It is difficult to calculate the actual costs for drawings with certainty because some
applicants may produce their own drawings, while others may contract out the work to
various patent illustration firms. For the purpose of estimating burden for this collection, the
USPTO will consider all applicants to have their drawings prepared by these firms.
Estimates for these drawings can vary greatly, depending on the number of figures that
need to be produced, the total number of pages for the drawings, and the complexity of the
drawings. The USPTO estimates that drawings may cost an average of $58 per sheet to
produce and that on average 11 sheets of drawings are submitted per application, for an
average total cost of $638 to produce a set of drawings for an application. The USPTO
expects that approximately 91% of the estimated 53,527 applications per year will
12
have drawings filed with them, for a total of 48,710 sets of drawings at a total cost of
$31,076,980 per year.
The estimated filing fees for this collection are calculated in Table 4 below. The fees listed
for Requests and Demands represent an estimate of the average fees for filing the
appropriate items associated with those requirements for an international application. The
basic national fee under 37 CFR 1.492(a) for an international application entering the
national stage is fixed at $330 ($165 for small entities). The search and examination fees
under 37 CFR 1.492(b)-(c) vary depending on the outcome of the written opinion prepared
by the ISA/US, the international preliminary examination report prepared by the IPEA/US,
and other related factors as noted in the accompanying table. The basic national fee,
search fee, examination fee, and the fees for petitions to revive unavoidably or
unintentionally abandoned international applications are discounted for small entities.
Table 4: Filing costs for Respondents for Patent Cooperation Treaty
Item
Estimated
annual
responses
Fee
Amount
Estimated
annual
filing costs
Request and Fee Calculation Sheet (Annex and Notes) (PCT/RO/101)
53,527
$3,504.00
$187,558,608.00
Description/claims/drawings/abstracts
53,527
$0.00
$0.00
Application Data Sheet
39,592
$0.00
$0.00
Transmittal Letter to the United States Receiving Office (RO/US) (PTO1382)
48,174
$0.00
$0.00
Transmittal Letter to the United States Designated/Elected Office
(DO/EO/US) (PTO-1390) B US was the ISA or IPEA and all claims satisfy
PCT Article 33(1)-(4); includes $330 basic fee, $0 search fee, and $0
examination fee
808
$330.00
$266,640.00
Transmittal Letter to the DO/EO/US (PTO-1390) B US was the ISA or IPEA
and all claims satisfy PCT Article 33(1)-(4); includes $165 basic fee, $0
search fee, and $0 examination fee for small entity
202
$165.00
$33,330.00
Transmittal Letter to the DO/EO/US (PTO-1390) B US was the ISA;
includes $330 basic fee, $100 search fee, and $220 examination fee
1,935
$650.00
$1,257,750.00
Transmittal Letter to the DO/EO/US (PTO-1390) B US was the ISA;
includes $165 basic fee, $50 search fee, and $110 examination fee for
small entity
2,604
$325.00
$846,300.00
Transmittal Letter to the DO/EO/US (PTO-1390) B International search
report prepared by other than the US and provided to the USPTO or
previously communicated to the US by the IB; includes $330 basic fee,
$430 search fee, and $220 examination fee
40,994
$980.00
$40,174,120.00
Transmittal Letter to the DO/EO/US (PTO-1390) B International search
report prepared by other than the US and provided to the USPTO or
previously communicated to the US by the IB; includes $165 basic fee,
$215 search fee, and $110 examination fee for small entity
9,667
$490.00
$4,736,830.00
Transmittal Letter to the DO/EO/US (PTO-1390) B All other situations;
includes $330 basic fee, $540 search fee, and $220 examination fee
1,669
$1,090.00
$1,819,210.00
13
Transmittal Letter to the DO/EO/US (PTO-1390) B All other situations;
includes $165 basic fee, $270 search fee, and $110 examination fee for
small entity
915
$545.00
$498,675.00
5,353
$0.00
$0.00
536
$0.00
$0.00
Extensions of time
21,000
$0.00
$0.00
Priority documents
20
$0.00
$0.00
Indications Relating to a Deposited Microorganism (PCT/RO/134)
20
$0.00
$0.00
18,524
$0.00
$0.00
589
$0.00
$0.00
Demand and Fee Calculation Sheet (Annex and Notes) (PCT/IPEA/401)
3,365
$771.00
$2,594,415.00
Amendments
3,365
$0.00
$0.00
48,174
$0.00
$0.00
501
$0.00
$0.00
Withdrawal of international application (PCT/IB/372)
1,306
$0.00
$0.00
Translations
1,655
$0.00
$0.00
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)
25
$540.00
$13,500.00
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) - small entity
30
$270.00
$8,100.00
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)
565
$1,620.00
$915,300.00
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) - small entity
462
$810.00
$374,220.00
Petitions to the Commissioner for international applications
581
$130.00
$75,530.00
3,287
$200.00
$657,400.00
Acceptance of an unintentionally delayed claim for priority (37 CFR
1.78(a)(3))
117
$1,410.00
$164,970.00
Request for the restoration of the right of priority
720
$1,410.00
$1,015,200.00
363,809
. . . .
$243,010,098.00
PCT/Model of Power of Attorney
PCT/Model of General Power of Attorney
Response to invitation to correct defects
Request for rectification of obvious errors
Fee Authorization
Requests to transmit copies of international application
Petitions to the Commissioner in national stage examination
Totals
In addition to the filing fees listed in Table 4 above, applicants may also incur fees for late
filings, multiple dependent claims, and lengthy applications. The fee for the late filing of
search or examination fees under 37 CFR 1.492(h) is $130 for large entities and $65 for
small entities. The USPTO estimates that it will receive approximately 20,053 of these late
payment fees for large entities and 7,632 for small entities per year, for a total of
14
$3,102,970. The fee for the late filing of an English translation of an international
application under 37 CFR 1.492(i) is $130. The USPTO estimates that it will receive
approximately 116 of these late translation fees per year, for a total of $15,080. The fee for
applications containing a multiple dependent claim is $390 for large entities and $195 for
small entities. The USPTO estimates that it will receive approximately 3,530 of these
multiple dependent claim fees for large entities and 1,158 for small entities per year, for a
total of $1,602,510. Applications with specifications and drawings that exceed 100 pages
may be subject to an application size fee of $270 ($135 for small entities) for each
additional 50 pages or fraction thereof. The USPTO estimates that it will receive
approximately 2,205 of the $270 size fees from large entities and approximately 621 of the
$135 size fees from small entities per year, for a total of $679,185. The total estimated
fees for this collection, including filing fees and other additional fees, will be
approximately $248,409,843 per year.
There are recordkeeping costs associated with filing PCT submissions online using EFSWeb. The USPTO recommends that customers print and retain a copy of the
acknowledgment receipt after a successful online submission. The USPTO estimates that
it will take five seconds (0.001 hours) to print a copy of the acknowledgment receipt and
that approximately 309,238 PCT-related items per year will be submitted via EFS-Web, for
a total of approximately 309 hours per year for printing this receipt. The USPTO expects
that these receipts will be printed by paraprofessionals at an estimated rate of $100
per hour, for an estimated recordkeeping cost of $30,900 per year.
Customers may incur postage costs when submitting the information in this collection to the
USPTO by mail. The USPTO estimates that the average first-class postage cost for a
mailed submission will be 44 cents and that up to 54,571 submissions will be mailed to the
USPTO per year. The total estimated postage cost for this collection is $24,011 per
year.
The total annual (non-hour) respondent cost burden for this collection associated
with translations ($2,482,500), drawings ($31,076,980), fees ($248,409,843),
recordkeeping ($30,900), and postage ($24,011) is estimated to be $282,024,234 per
year.
14.
Annual Cost to the Federal Government
The USPTO estimates that most of the items in this collection will be processed by a GS-9,
step 1 employee with an hourly rate of $24.74. The estimated hourly rate for processing an
acceptance of an unintentionally delayed claim for priority or a request for the restoration of
the right of priority is based on the current hourly rate of a GS-12, step 1 employee, which
is $35.88. The estimated hourly rate for processing petitions for revival of an unavoidably
or unintentionally abandoned international application is based on the current hourly rate of
a GS-14, step 6 employee, which is $58.81. The estimated hourly rate for processing the
remaining items in this collection is based on the current hourly rate of a GS-15, step 1
15
employee, which is $59.30. When 30% is added to account for a fully-loaded hourly rate
(benefits and overhead), these hourly rates are as follows:
GS-9, step 1 employee: $24.74 + $7.42 = $32.16
GS-12, step 1 employee: $35.88 + $10.76 = $46.64
GS-14, step 6 employee: $58.81 + $17.64 = $76.45
GS-15, step 1 employee: $59.30 + $17.79 = $77.09
Table 4 calculates the burden hours and costs to the Federal Government for processing
this information collection:
Table 4: Burden Hour/Burden Cost to the Federal Government for Patent Cooperation Treaty
Item
Hours
(a)
Responses
(yr)
(b)
Burden
(hrs/yr)
(c)
(a) x (b)
Rate
($/hr)
(d)
Total Cost
($/yr)
(e)
(c) x (d)
Request and Fee Calculation Sheet
(Annex and Notes) (PCT/RO/101)
0.50
53,527
26,764
$32.16
$860,730.00
Description/claims/drawings/abstracts
0.50
53,527
26,764
$32.16
$860,730.00
Application Data Sheet
0.50
39,592
19,796
$32.16
$636,639.00
Transmittal Letter to the RO/US (PTO1382)
0.15
48,174
7,226
$32.16
$232,388.00
Transmittal Letter to the DO/EO/US
Concerning a Submission Under 35
U.S.C. 371 (PTO-1390)
0.15
58,794
8,819
$32.16
$283,619.00
PCT/Model of Power of Attorney
0.15
5,353
803
$32.16
$25,824.00
PCT/Model of General Power of Attorney
0.15
536
80
$32.16
$2,573.00
Extensions of time
0.15
21,000
3,150
$32.16
$101,304.00
Priority documents
0.15
20
3
$32.16
$96.00
Indications Relating to a Deposited
Microorganism (PCT/RO/134)
0.15
20
3
$32.16
$96.00
Response to invitation to correct defects
1.00
18,524
18,524
$32.16
$595,732.00
Request for rectification of obvious errors
1.50
589
884
$32.16
$28,429.00
Demand and Fee Calculation Sheet
(Annex and Notes) (PCT/IPEA/401)
0.30
3,365
1,010
$32.16
$32,482.00
Amendments
0.75
3,365
2,524
$32.16
$81,172.00
Fee Authorization
0.15
48,174
7,226
$32.16
$232,388.00
Requests to transmit copies of
international application
0.15
501
75
$32.16
$2,412.00
Withdrawal of international application
(PCT/IB/372)
1.00
1,306
1,306
$32.16
$42,001.00
Translations
0.30
1,655
497
$32.16
$15,984.00
16
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)
6.50
55
358
$76.45
$27,369.00
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)
4.50
1,027
4,622
$76.45
$353,352.00
Petitions to the Commissioner for
international applications
6.50
581
3,777
$77.09
$291,169.00
Petitions to the Commissioner in national
stage examination
6.50
3,287
21,366
$77.09
$1,647,105.00
Acceptance of an unintentionally delayed
claim for priority (37 CFR 1.78(a)(3))
2.50
117
293
$46.64
$13,666.00
Request for the restoration of the right of
priority
2.50
720
1,800
$46.64
$83,952.00
. . . . .
363,809
157,670
Totals
. . . .
$6,451,212.00
The USPTO also has an automated information system that supports the processing of
PCT applications, POWER. The cost to support POWER is approximately $200,000 per
year. Therefore, the total annual cost to the federal government for processing this
collection is $6,651,212.
15.
Reason for Change in Burden
Summary of Changes Since the Previous Approval
This information collection was previously approved in February 2007 with a total of
355,658 responses and 347,891 burden hours per year.
For this renewal, the USPTO estimates that the total annual responses will be 363,809 and
the total annual burden hours will be 341,840, which is an increase of 8,151 responses but
a decrease of 6,051 burden hours from the currently approved burden for this collection.
This decrease in burden hours is due to both program changes and administrative
adjustments.
The total annual (non-hour) cost burden for this renewal of $282,024,234 is an increase of
$110,158,233 from the currently approved total of $171,866,001 in annual costs for this
collection. This increase in annual costs is due to both program changes and
administrative adjustments.
Changes from the 60-Day Notice
Since the 60-Day Notice was published, the USPTO has updated the estimated hourly rate
for attorneys preparing the information in this collection from $310 to $325. As a result of
this updated hourly rate for respondents, the total respondent cost burden for this collection
17
has increased from $105,970,400 as reported in the 60-Day Notice to $111,098,000 as set
forth in this Supporting Statement.
Changes in Respondent Cost Burden
When this collection was previously approved in February 2007, the 347,891 total burden
hours for the collection resulted in a total respondent cost burden of $99,496,434. The
estimated hourly rate for attorneys preparing the information in this collection was $286,
with one item (2 total burden hours) using an estimated hourly rate of $90 for
paraprofessionals.
For this renewal, the total burden hours have decreased to 341,840, but the estimated
hourly rate for attorneys preparing the information in this collection has increased to $325
(and all items are expected to be prepared by attorneys). The total respondent cost burden
for this renewal is $111,098,000, which is an increase of $11,601,566 over the previous
submission. Although the total burden hours have decreased from 347,891 to 341,840, this
decrease in hours is offset by the increase in estimated hourly rate for attorneys from $286
to $325, resulting in an increase in total respondent cost burden.
Changes in Responses and Burden Hours
For this renewal, the USPTO estimates that the annual responses for this collection will
increase by 8,151, from 355,658 to 363,809 responses per year. However, the USPTO
estimates that the total annual burden hours for this collection will decrease by 6,051, from
347,891 to 341,840 hours per year. This decrease in burden hours is due to both program
changes and administrative adjustments, as follows:
$
The USPTO is adjusting the estimated annual responses for the Request and Fee
Calculation Sheet (PCT/RO/101) to 53,527, which is an increase of 11,327 from the
previous estimate of 42,200. Therefore, this collection takes a burden increase
of 11,327 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Descriptions, claims,
drawings, and abstracts to 53,527, which is an increase of 11,327 from the previous
estimate of 42,200. Therefore, this collection takes a burden increase of 33,981
hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Application Data
Sheet to 39,592, which is an increase of 36,592 from the previous estimate of 3,000.
Therefore, this collection takes a burden increase of 13,905 hours due to an
administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Transmittal Letter
to the RO/US (PTO-1382) to 48,174, which is an increase of 18,674 from the
18
previous estimate of 29,500. Therefore, this collection takes a burden increase
of 4,669 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Transmittal Letter
to the DO/EO/US (PTO-1390) to 58,794, which is an increase of 36,409 from the
previous estimate of 22,385. Therefore, this collection takes a burden increase
of 9,103 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Model of Power of
Attorney to 5,353, which is a decrease of 19,647 from the previous estimate of
25,000. Therefore, this collection takes a burden decrease of 4,912 hours due
to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Model of General
Power of Attorney to 536, which is a decrease of 1,864 from the previous estimate
of 2,400. Therefore, this collection takes a burden decrease of 466 hours due
to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Extensions of time to
21,000, which is an increase of 2,000 from the previous estimate of 19,000.
Therefore, this collection takes a burden increase of 500 hours due to an
administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Priority documents to
20, which is a decrease of 62,980 from the previous estimate of 63,000. The
estimate for this requirement has been reduced due to a change in how the USPTO
tracks and handles these requests. Therefore, this collection takes a burden
decrease of 15,745 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Indications Relating to
a Deposited Microorganism (PCT/RO/134) to 20, which is a decrease of 380 from
the previous estimate of 400. Therefore, this collection takes a burden decrease
of 95 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Response to
invitation to correct defects to 18,524, which is a decrease of 5,476 from the
previous estimate of 24,000. Therefore, this collection takes a burden decrease
of 10,952 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for the Request for
rectification of obvious errors to 589, which is a decrease of 1,411 from the previous
estimate of 2,000. Therefore, this collection takes a burden decrease of 705
hours due to an administrative adjustment.
19
$
The USPTO is adjusting the estimated annual responses for Demands and Fee
Calculation Sheets (PCT/IPEA/401) to 3,365, which is a decrease of 15,635 from the
previous estimate of 19,000. Therefore, this collection takes a burden decrease
of 15,635 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Amendments to 3,365,
which is a decrease of 15,635 from the previous estimate of 19,000. Therefore,
this collection takes a burden decrease of 15,635 hours due to an
administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Fee Authorizations to
48,174, which is an increase of 33,174 over the previous estimate of 15,000.
Therefore, this collection takes a burden increase of 8,294 hours due to an
administrative adjustment.
$
The USPTO previously estimated that it would receive 3,000 Petitions per year. For
this renewal, the USPTO has divided these Petitions into two categories, Petitions to
the Commissioner for international applications and Petitions to the Commissioner in
national state examination. The USPTO estimates that it will receive a total of 3,868
of these Petitions per year (581 for international and 3,287 for national stage), which
is an increase of 868 Petitions per year in these categories. Therefore, this
collection takes a burden increase of 3,472 hours due to an administrative
adjustment.
$
The USPTO is adjusting the estimated annual responses for Requests to transmit
copies of an international application to 501, which is a decrease of 1,799 from the
previous estimate of 2,300. Therefore, this collection takes a burden decrease
of 450 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Withdrawals of
international applications to 1,306, which is a decrease of 3,694 from the previous
estimate of 5,000. Therefore, this collection takes a burden decrease of 923
hours due to an administrative adjustment.
$
The Request/authorization to access an international application is being deleted
from this collection. In general, this requirement is no longer necessary due to the
availability of published application information through the WIPO and USPTO Web
sites. Deleting this requirement removes 6,000 responses from this collection.
Therefore, this collection takes a burden decrease of 150 hours due to a
program change.
$
The USPTO is adjusting the estimated annual responses for Translations to 1,655,
which is a decrease of 14,345 from the previous estimate of 16,000. Therefore,
this collection takes a burden decrease of 28,690 hours due to an
administrative adjustment.
20
$
The USPTO is adjusting the estimated annual responses for Petitions for Revival of
an Unavoidably Abandoned International Application (PTO/SB/61/PCT) to 55, which
is an increase of 36 from the previous estimate of 19. Therefore, this collection
takes a burden increase of 288 hours due to an administrative adjustment.
$
The USPTO is adjusting the estimated annual responses for Petitions for Revival of
an Unintentionally Abandoned International Application (PTO/SB/64/PCT) to 1,027,
which is an increase of 376 from the previous estimate of 651. Therefore, this
collection takes a burden increase of 376 hours due to an administrative
adjustment.
$
The Petition under 37 CFR 1.6(g) to Accord the Application under 37 CFR 1.495(b)
a National Stage Entry Date is being deleted from this collection. In general, this
requirement is no longer necessary due to the development of EFS-Web for
electronic PCT filings. Deleting this requirement removes 3 responses from this
collection. Therefore, this collection takes a burden decrease of 2 hours due to
a program change.
$
The USPTO estimates that it will receive 117 responses per year for the Acceptance
of an unintentionally delayed claim for priority, which is being added to this collection
due to a change in the rules implementing the PCT. Therefore, this collection
takes a burden increase of 234 hours due to a program change.
$
The USPTO estimates that it will receive 720 responses per year for the Request for
the restoration of the right of priority, which is being added to this collection due to a
change in the rules implementing the PCT. Therefore, this collection takes a
burden increase of 2,160 hours due to a program change.
In sum, the net decrease of 6,051 burden hours is due to both program changes from
requirements being added and deleted from this collection and administrative adjustments
due to revised estimates of the number of expected filings for this collection. Although
there is a net increase in the number of responses for this renewal, there is a net decrease
in the number of burden hours because the reduction in hours from the requirements that
have a decrease in responses is greater than the increase in burden hours from the
requirements that have an increase in responses for this renewal. Therefore, this
information collection has a total net burden decrease of 6,051 hours, with a net
increase of 2,242 hours due to program changes offset by a net decrease of 8,293
hours due to administrative adjustments.
21
Changes in Annual (Non-hour) Costs
For this renewal, the USPTO estimates that the total annual (non-hour) costs for this
collection will increase by $110,158,233 from $171,866,001 to $282,024,234 per year. This
increase in total annual (non-hour) costs is due to both program changes and
administrative adjustments, as follows:
$
This collection was previously approved with $24,000,000 in costs associated with
translating documents submitted for a PCT application. For this renewal, the
USPTO estimates that translation costs will decrease to $2,482,500, primarily due to
the decrease in the estimated number of translations required. Therefore, this
collection has a decrease of $21,517,500 in translation costs as an
administrative adjustment.
$
This collection was previously approved with $24,500,476 in costs associated with
drawings that are submitted as part of a PCT application. For this renewal, the
USPTO estimates that drawing costs will increase to $31,076,980, primarily due to
the increase in the estimated number of applications filed. Therefore, this
collection has an increase of $6,576,504 in drawing costs as an administrative
adjustment.
$
This collection was previously approved with $123,006,585 in filing fees. For this
renewal, the USPTO estimates that there will be $243,010,098 in filing fees as
outlined in Table 4 of this Supporting Statement. These changes in filing fees are as
follows:
The total estimated filing fees for the Request and Fee Calculation Sheet
(PCT/RO/101) have increased from $85,497,200 to $187,558,608. This increase is
due to both an increase in estimated filings and an increase in the estimated
average fees required per filing based on the current PCT fee structure. Therefore,
the total filing fees for this requirement have increased by $102,061,408, with an
increase of $79,112,906 due to program changes and $22,948,502 due to
administrative adjustments.
The total estimated filing fees for the Transmittal Letter to the DO/EO/US (PTO1390) have increased from $18,206,025 to $49,632,855. This increase is due to
both an increase in estimated filings and an increase in the estimated average fees
required per filing based on the current PCT fee structure. Therefore, the total filing
fees for this requirement have increased by $31,426,830, with an increase of
$1,826,313 due to program changes and $29,600,517 due to administrative
adjustments.
This collection was previously approved with $1,260,000 in filing fees for Priority
Documents. This fee has been eliminated. Therefore, the total filing fees for this
requirement have decreased by $1,260,000 due to program changes.
22
The total estimated filing fees for the Demand and Fee Calculation Sheet
(PCT/IPEA/401) have decreased from $16,872,000 to $2,594,415. This decrease is
due to both a decrease in estimated filings and a decrease in the estimated average
fees required per filing based on the current PCT fee structure. Therefore, the total
filing fees for this requirement have decreased by $14,277,585, with a decrease of
$393,705 due to program changes and $13,883,880 due to administrative
adjustments.
The total estimated filing fees for the Petition for Revival of an International
Application Abandoned Unavoidably (PTO/SB/61/PCT) have increased from $1,980
to $21,600. This increase is due to both an increase in estimated filings and an
increase in the fee amounts required per filing. Therefore, the total filing fees for this
requirement have increased by $19,620, with an increase of $17,200 due to
program changes and $2,420 due to administrative adjustments.
The total estimated filing fees for the Petition for Revival of an International
Application Abandoned Unintentionally (PTO/SB/64/PCT) have increased from
$779,380 to $1,289,520. This increase is due to both an increase in estimated
filings and an increase in the fee amounts required per filing. Therefore, the total
filing fees for this requirement have increased by $510,140, with an increase of
$230,840 due to program changes and $279,300 due to administrative adjustments.
This collection was previously approved with $390,000 in filing fees for other
Petitions. For this renewal, other Petitions have been split into two types with two
different fee amounts, Petitions for international applications and Petitions for
national stage examination. The total estimated filing fees for both types in this
renewal submission is $732,930. This increase is due to both an increase in
estimated filings and an increase in the fee amount for Petitions for national stage
examination. Therefore, the total filing fees for these Petitions have increased by
$342,930, with an increase of $230,090 due to program changes and $112,840 due
to administrative adjustments.
There are filing fees associated with two items being added to this collection,
Acceptance of an unintentionally delayed claim for priority and Request for
restoration of the right of priority. The total filing fees for these requirements result
in an increase of $1,180,170 due to program changes.
These changes in filing fees result in a net increase of $120,003,513 in annual
cost burden for this collection, with net increases of $80,943,814 due to
program changes and $39,059,699 due to administrative adjustments.
$
This collection was previously approved with $227,359 in additional fees associated
with late payment of examination fees and late transmission of English translations
of PCT applications. For this renewal, the USPTO has updated the estimates for
23
these late fees and has added fees for applications with multiple dependent claims
and for lengthy applications that exceed 100 pages, resulting in an estimate for total
additional fees of $5,399,745. These changes in additional fees are as follows:
This collection was previously approved with $84,229 in additional fees associated
with late payment of preliminary examination fees. The USPTO has updated this
estimate to include late payments of search or examination fees, for a total of
approximately $3,102,970. Therefore, this collection takes an increase of
$3,018,741 as a program change.
This collection was previously approved with $143,130 in additional fees associated
with late transmission of translations. The USPTO has updated this estimate to
$15,080 primarily due to a reduction in the expected number of translations
submitted. Therefore, this collection takes a decrease of $128,050 as an
administrative adjustment.
Fees for applications with multiple dependent claims and for lengthy applications
that exceed 100 pages have been added to this collection. These fees are existing
requirements that were not previously included in this collection. Therefore, this
collection has an increase of $2,281,695 as a program change.
These changes in additional fees result in a net increase of $5,172,386 in
annual cost burden for this collection, with an increase of $5,300,436 due to
program changes offset by a decrease of $128,050 due to administrative
adjustments.
$
Customers may incur recordkeeping costs when submitting the information in this
collection to the USPTO online via EFS-Web. The USPTO estimates that
customers will incur $30,900 in recordkeeping costs associated with printing and
maintaining acknowledgment receipts for online submissions. These costs are
being added to this collection due to the availability of online filing for PCT
applications through EFS-Web. Therefore, this collection has an increase of
$30,900 in recordkeeping costs as a program change.
$
This collection was previously approved with $131,593 in postage costs associated
with submitting the information in this collection to the USPTO by mail. For this
renewal, the USPTO estimates that postage costs will decrease to $24,011 due to
several factors, including the availability of electronic filing through EFS-Web and
the addition and deletion of information requirements. Therefore, this collection
has a decrease in postage costs of $107,582 as a program change.
$
The most recent submission for this collection, approved by OMB in February 2007,
listed total annual costs of $171,866,013 in the Supporting Statement. However, the
current inventory for this collection lists total annual (non-hour) costs as
$171,866,001 because they were calculated based on the total annual costs from a
24
previous submission, which were rounded to the nearest thousand dollars. To
compensate for this difference, this collection takes an increase of $12 as an
administrative adjustment.
In sum, this collection 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, changes in the
fee structure, and the availability of electronic filing for PCT submissions. Therefore, this
collection has an increase in annual (non-hour) cost burden of $110,158,233, with net
increases of $86,167,568 due to program changes and $23,990,665 due to
administrative adjustments.
16.
Project Schedule
The USPTO does not plan to publish this information for statistical use or to have any
special publication for the items discussed in this supporting statement. However, plant
and utility patents granted are published weekly in the Official Gazette of the United States
Patent and Trademark Office, which is available electronically on the USPTO Web site.
17.
Display of Expiration Date of OMB Approval
With the exception of forms PTO-1382, PTO-1390, PTO/SB/61/PCT, and PTO/SB/64/PCT,
the forms in this collection are international in nature and cannot display specific country
information such as the OMB control number and expiration date. WIPO administers the
PCT and created the associated PCT forms. PCT Rules 4.1-4.18 and 53.1, and
Administrative Instructions Sections 102 and 103, specify the forms to be used, and there
are no provisions in the PCT for altering the forms from the WIPO printing. The USPTO
forms listed above will display the OMB control number and the expiration date.
18.
Exceptions to the Certificate Statement
This collection of information does not include any exceptions to the certificate statement.
B.
COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection of information does not employ statistical methods.
25
REFERENCES
A.
B.
C.
D.
E.
F.
G.
H.
I.
J.
K.
The USPTO Information Quality Guidelines
Form PCT/RO/101 Request and Fee Calculation Sheet (Annex and Notes)
Form PTO-1382 Transmittal Letter to the United States Receiving Office (RO/US)
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 PCT/Model of Power of Attorney
Form PCT/Model of General Power of Attorney
Form PCT/RO/134 Indications Relating to a Deposited Microorganism
Form PCT/IPEA/401 Demand and Fee Calculation Sheet (Annex and Notes)
Form PCT/IB/372 Notice of Withdrawal
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 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)
26
| File Type | application/pdf |
| File Title | 0651-0021-JustStmt-Feb2010-final |
| File Modified | 2010-02-25 |
| File Created | 2010-02-25 |