0651-0032_Just_2010_final

0651-0032_Just_2010_final.pdf

Initial Patent Applications

OMB: 0651-0032

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SUPPORTING STATEMENT
United States Patent and Trademark Office
Initial Patent Applications
OMB CONTROL NO. 0651-0032
(September 2010)

JUSTIFICATION

Necessity of Information Collection

The USPTO is required by Title 35 of the United States Code, including 35 U.S.C. 131,
to examine applications for patents. The USPTO administers the patent statutes
through various rules in Chapter 37 of the Code of Federal Regulations, such as, for
example, 37 CFR 1.16 through 1.84. Each patent applicant must provide sufficient
information to allow the USPTO to properly examine the application to determine
whether it meets the criteria set forth in the patent statutes and regulations for issuance
as a patent. For example, the patent statutes and regulations require that an
application for patent include the following information:
(1) a specification containing a description of the invention and at least one claim
defining the property right sought by the applicant;
(2) a drawing(s) or photographs, where necessary, for an understanding of the
invention;
(3) an oath or declaration signed by the applicant; and
(4) a filing fee.
Various types of patent applications are covered under the instant information
collection:
•

New original utility, plant, design, and provisional applications,

•

Continuation/divisional applications of international applications,

•

Continued prosecution applications (design), and

•

Continuations/divisionals and continuation-in-part applications of utility, plant, and
design applications

In addition to the foregoing types of patent applications, the instant collection also
covers petitions to accept a filing by other than all of the inventors or a person not the
inventor, and petitions requesting that applications filed under 37 CFR 1.495(b) be
accorded a receipt date

Most applications for patent, including new utility, design, and provisional applications,
can be submitted to the USPTO through EFS-Web. EFS-Web is the USPTO’s system
for electronic filing of patent correspondence and is accessible via the Internet on the
USPTO Web site.
The Legal Framework for EFS-Web, available at
http://www.uspto.gov/patents/process/file/efs/guidance/Newlegalframework.jsp,
provides a listing of patent applications and documents permitted to be filed via EFSWeb and those that cannot be filed via EFS-Web.
Since the last renewal of this collection, the USPTO has identified additional
applications that can be filed electronically in addition to the electronic submission of the
new original utility, new original design, and provisional applications already covered in
this collection. The USPTO is taking this opportunity to add the following applications
into this collection: continuations/divisionals of international applications, utility
continuations/divisional, design continuations/divisional, continued prosecution
applications (design), utility continuations-in-part, and design continuations-in-part.
In addition, the USPTO has determined that the papers filed under 37 CFR 1.41, 1.48,
and 1.53 (c)(2), which have been overlooked in previous submissions, should be
submitted for OMB review. To this end, the USPTO is including these papers – papers
filed under 37 CFR 1.41 to supply the name or names of the inventor or inventors after
the filing date without a cover sheet as prescribed by 37 CFR 1.51(c)(1) in a provisional
application, under 37 CFR 1.48 for correction of inventorship in a provisional
application, and under 37 CFR 1.53(c)(2) to convert a nonprovisional application filed
under 37 CFR 1.53(b) to a provisional application under 37 CFR 1.53(c) – in the
renewal of this collection.
The papers filed under 37 CFR 1.41, 1.48 and 1.53(c)(2) have a $50 processing fee
associated with them. The $50 processing fee is being added into this renewal request
as part of the annualized, non-hour cost calculations.
In order to get a more specific accounting of the additional fees and surcharges that can
be applied to the various applications, additional application subcategories have been
created in this renewal request beyond the subcategories presented in the previous
renewal. The USPTO determined that while the previous subcategories of the utility,
design, and plant application groupings helped in the calculation of the filing, search,
and examination fees, they did not help in calculating the additional fees and
surcharges. The USPTO has created subcategories for some of the application
groupings under the additional fee and surcharge burden calculations in this renewal to
aid in the calculations.
Table 1 provides the specific statutes and regulations requiring the USPTO to collect
the patent application and petition information covered by the instant collection:

Table 1: Information Requirements to Determine Patentability
Requirement

Statute

Rule

35 U.S.C. 111 and 112

37 CFR 1.51 through 1.53, 1.57 and
1.58, and 1.71 through 1.78

Drawing(s)

35 U.S.C. 113

37 CFR 1.51 through 1.53, 1.58, and
1.81 through 1.84

Declaration

35 U.S.C. 25, 115, 117, and
118

37 CFR 1.41 through 1.43, 1.45
through 1.48, 1.51 through 1.53, and
1.63 through 1.69

35 U.S.C. 41 and 111

37 CFR 1.16 and 1.53

Continued Prosecution Application – Design (Request
Transmittal and Receipt)

35 U.S.C. 111,120, and 121

37 CFR 1.53(d) and 1.78

Petition to Accept Unintentionally Delayed Priority/Benefit
Claim

35 U.S.C. 119(b)(2), 119(e),
and 120

37 CFR 1.55 and 1.78

Petition to Accept a Filing by Other Than All the Inventors
or a Person Not the Inventor

35 U.S.C. 116 through 118

37 CFR 1.42, 1.43, and 1.47

Petition under 37 CFR 1.6(g) to Accord National Stage
Correspondence Required by 37 CFR 1.495(b) a Receipt
Date

35 U.S.C. 371

37 CFR 1.6(g) and 1.495(b)

Papers Filed Under 37 CFR 1.41 to Supply the Name or
Names of the Inventor or Inventors after the Filing Date
Without a Cover Sheet as Prescribed by 37 CFR
1.51(c)(1) in a Provisional Application

35 U.S.C. 111(b) and 116

37 CFR 1.41(a)(2)

Papers Filed Under 37 CFR 1.48 for Correction of
Inventorship in a Provisional Application

35 U.S.C. 111(b) and 116

37 CFR 1.48

Papers Filed Under 37 CFR 1.53(c)(2) to Convert a
Nonprovisional Application Filed Under 1.53(b) to a
Provisional Application Filed Under 1.53(c)

35 U.S.C. 111(a) and (b)

37 CFR 1.53(b) and 1.53(c)(2)

Specification and claim

Filing Fee

Needs and Uses

The public uses this information collection to: apply for utility, plant, and design patents;
provide patent application data; request continuation, continuation-in-part, and divisional
applications of international and nonprovisional patent applications; request continued
prosecution of design patent applications; submit provisional patent applications; file
certain petitions; identify and correct the inventorship of provisional patent applications;
and convert nonprovisional applications to provisional applications.
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 collection and comply with all applicable information quality guidelines, i.e.,
the 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.
(See Ref. A, the USPTO Information Quality
Guidelines.)

Table 2 outlines how these collections of information are used by the public and by the
USPTO:
Table 2: Needs and Uses of Information Collected to Determine Patentability
Form and Function
Specification (includes at least one
claim) and Drawing(s)

Form #
No Form
Associated

Needs and Uses
•

Used by the applicant to provide a description of the invention
and of the property right sought by the applicant (the claim(s)).
Used by the USPTO to examine an application for patent, and
when appropriate, issue the application as a patent.

•
•

Used by the USPTO to determine the appropriate fees for small
and non-small entities and for applications containing multiple
dependent claims. NOTE: These forms are seldom used by
applicants, but in the event that an applicant obtained these
forms, their use would reduce fee calculation errors, especially in
those applications containing multiple dependent claims.

PTO/SB/17

•
•

Used by applicants to determine fees.
Used by the USPTO to verify applicant fee determination and to
process the fee.

Utility Patent Application Transmittal
(Ref. F )

PTO/SB/05

•

Design Patent Application Transmittal
(Ref. G )

PTO/SB/18

Plant Patent Application Transmittal
(Ref. H)

PTO/SB/19

Used by the applicant as a checklist to highlight information
which may otherwise have been overlooked at the time of filing.
Used by the applicant to provide identifying information about
the submitted papers and himself/herself.
Used by the USPTO to determine whether the submitted papers
constitute an application for patent, whether it is a utility, plant, or
design application.

Declaration for Utility or Design Patent
Application (37 CFR 1.63)
(Ref. I)

PTO/SB/01

Patent Application Fee Determination
Record (Substitute for Form PTO-875)
(Ref. C )

PTO/SB/06

Multiple Dependent Claim Fee
Calculation Sheet (Substitute for Form
PTO-1360; For Use with Form
PTO/SB/06)
(Ref. D )

PTO/SB/07

Fee Transmittal Form
(Ref. E)

•
•

•

Assures that an applicant meets all of the requirements of 37
CFR 1.63 by providing the prerequisite language.
Used by applicants to easily claim the benefit of an earlier
application under 35 U.S.C. 119 or 365.
Enables the legal representative of a deceased inventor to file a
patent application by signing the declaration on the behalf of a
deceased or incapacitated inventor.
Assures that an applicant will provide necessary information
(most often overlooked).
Used by the USPTO to determine whether the required
information has been set forth in the declaration.

•
•
•
•

Declaration – Additional Inventors –
Supplemental Sheet
(Ref. J)

PTO/SB/02A

•

•
•
•
•

Form and Function

Form #

Declaration – Supplemental Priority Data
Sheet
(Attachment J)

PTO/SB/02B

Needs and Uses
•

•

Declaration (Additional Inventors) and
Supplemental Priority Data Sheets [2
pages] (Chinese Language Declaration
for Additional Inventors)
(Ref. K )

PTO/SB/02CN

Declaration (Additional Inventors) and
Supplemental Priority Data Sheets [2
pages] (German Language Declaration
for Additional Inventors)
(Ref. L )

PTO/SB/02DE

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Spanish Language Declaration
for Additional Inventors)
(Ref. M )

PTO/SB/02ES

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (French Language Declaration for
Additional Inventors)
(Ref. N )

PTO/SB/02FR

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Italian Language Declaration for
Additional Inventors)
(Ref. O )

PTO/SB/02IT

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Japanese Language Declaration
for Additional Inventors)
(Ref. P )

PTO/SB/02JP

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Korean Language Declaration
for Additional Inventors)
(Ref. Q )

PTO/SB/02KR

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Dutch Language Declaration for
Additional Inventors)
(Ref. R )

PTO/SB/02NL

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Russian Language Declaration
for Additional Inventors)
(Ref. S )

PTO/SB/02RU

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Swedish Language Declaration
for Additional Inventors)
(Ref. T )

PTO/SB/02SE

•
•
•

Form and Function
Declaration Supplemental Sheet for
Legal Representatives (35 U.S.C. 117)
on Behalf of a Deceased or
Incapacitated Inventor
(Ref. U )

Form #
PTO/SB/02LR

Needs and Uses
•

•
•

Plant Patent Application (35 U.S. C. 161)
Declaration (37 CFR 1.63)
(Ref. V )

PTO/SB/03

Supplemental Declaration for Utility or
Design Patent Application (37 CFR 1.67)
(Ref. W )

PTO/SB/04

Declaration and Power of Attorney for
Patent Application (in various foreign
languages)
(Ref. X )

PTO/SB/101
through 110

•
•

Perform the same functions as SB/01, 03, and 04.
Provide the applicant with a native (to the applicant) language
version with English translation of the required declaration.
Chinese, Dutch, German, Italian, French, Japanese, Russian,
Swedish, Spanish, and Korean language declarations are
available.

Application Data Sheet Form (Ref. Y )

PTO/SB/14
and EFS-Web

•

Provides applicant with a convenient manner to provide
bibliographic information concerning the applicant and
application that the applicant is either required, or desires, to
provide to the USPTO.
Used by the USPTO to autoload data directly into USPTO
databases, which reduces information capture errors caused by
hand keying.
Used by the USPTO to provide a quick acknowledgment of the
application and the information in USPTO records concerning
the applicant and application.

•
•

Declaration (37 CFR 1.63) for Utility or
Design Application Using an Application
Data Sheet (37 CFR 1.76)
(Ref. Z )

PTO/SB/01A

Declaration (37 CFR 1.63) for Plant
Application Using an Application Data
Sheet (37 CFR 1.76)
(Ref. AA )

PTO/SB/03A

Request for Filing a Continuation or
Division of an International Application
(Ref. BB )

PTO/SB/13/P
CT

•

Provides applicant with a convenient manner to provide a
declaration containing the minimal information that must be in
the oath or declaration if the application also contains an
application data sheet.
Used by the USPTO to process the declaration.

•

Used by applicant to file a continuation or divisional of an
international application.
Used by the USPTO to process a continuation or divisional of an
international application.

•

For Design Applications Only: Continued
Prosecution Application (CPA) Request
Transmittal
(Ref. CC )

PTO/SB/29

For Design Applications Only: Receipt
for Facsimile Transmitted CPA (Ref. DD)

PTO/SB/29A

Provisional Application for Patent Cover
Sheet – Paper and Electronic Filing (Ref.
EE )

PTO/SB/16
and EFS-Web

•

Used by the applicant to request additional examination of a
previously submitted design application.
Used by the USPTO to process and initiate an additional
examination of a previously submitted design application.

•

Used by the applicant to file a provisional application with the
USPTO.
Used by the applicant to include filing fees.
Used by the USPTO to identify provisional applications in order
to promptly and properly process them.
Used by the USPTO to prepare the filing receipt.
Used by the USPTO to identify provisional applications that may
require foreign filing licenses.

•
•
•
•

Form and Function
Petition to Accept Unintentionally
Delayed Priority/Benefit Claim

Form #
No Form
Associated

Needs and Uses
•

Used by the applicant to submit an unintentionally delayed
priority claim to the USPTO.
Used by the USPTO to determine whether the applicant has
included the documentation and fees necessary for the USPTO
to accept unintentionally delayed priority /benefit claim under 35
U.S.C. 119, 120, or 365.

•

Petition to Accept a Filing by Other Than
All the Inventors or a Person Not the
Inventor

No Form
Associated

•

Enables inventors or assignees who cannot locate or obtain
signatures from an inventor or a legal representative of a
deceased inventor to submit a patent application.
Used by the USPTO to ensure that the necessary information
has been provided in support of the oath or declaration.

•

Petition under 37 CFR 1.6(g) to Accord
the Application under 37 CFR 1.495(b) a
Receipt Date

No Form
Associated

Electronic New Utility Patent Application

EFS-Web

•

Used by applicants to request a receipt date for applications filed
under 37 CFR 1.495(b).
Used by the USPTO to assign applications filed under 37 CFR
1.495(b) a receipt date.

•
•

Used by filers to electronically file a new original utility
application with the USPTO and to include the necessary filing
fees.
Used by the USPTO to examine an application for patent, and
when appropriate, issue the application as a patent.

•

Electronic New Design Application

EFS-Web

•

Used by filers to electronically file a new original design
application with the USPTO and to include the necessary filing
fees.
Used by the USPTO to examine an application for patent, and
when appropriate, issue the application as a patent.

•

Papers Filed under 37 CFR 1.41 to
Supply the Name or Names of the
Inventor or Inventors After the Filing Date
Without a Cover Sheet as Prescribed by
37 CFR 1.51(c)(1) in a Provisional
Application

No Form
Associated

Papers Filed Under 37 CFR 1.48 for
Correction of Inventorship in a
Provisional Application

No Form
Associated

Papers Filed Under 37 CFR 1.53(c)(2) to
Convert a NonProvisional Application
Filed Under 1.53(b) to a Provisional
Application Filed Under 1.53(c)

No Form
Associated

•

Used by filers to supply or change the name or names of the
inventor or inventors of a provisional application filed without a
cover sheet after the provisional application filing date.
Used by the USPTO to change the name or names of the
inventor or inventors of a provisional applications filed without a
cover sheet after the provisional application filing date.

•

Used by filers to request a correction of the inventorship of a
provisional application.
Used by the USPTO to determine whether the inventorship of a
provisional application should be corrected.

•
•

Used by filers to request that a nonprovisional application filed
under 1.53(b) be converted to a provisional application filed
under 1.53(c).
Used by the USPTO to determine whether to convert a
nonprovisional application filed under 1.53(b) to a provisional
application filed under 1.53(c).

•

Use of Information Technology

In addition to paper submissions, the USPTO can collect some of the information in this
collection electronically via EFS-Web or by facsimile submission. The Legal Framework
for EFS-Web, available at http://www.uspto.gov/patents/process/file/efs/guidance/New
legal framework.jsp outlines which types of patent applications and associated
documents can and cannot be submitted electronically. Facsimile submission is limited
to the petitions and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2). The
USPTO does not use any other automated, mechanical, or other technological
collection techniques to collect the information in this collection.

EFS-Web is a web-based document submission system that allows customers to file
nearly all of the documents covered under this information collection through their
standard web browser without downloading special software, changing their
documentation preparation tools, or altering their workflow processes. Customers may
create their documents using the tools and processes that they already use and then
convert those documents into standard PDF files that are submitted through EFS-Web
to the USPTO. The fillable PDF forms, including the Application Data Sheet form
(PTO/SB/14) and the Provisional Application for Patent Cover Sheet (PTO/SB/16), that
can be submitted through EFS-Web may be downloaded from the USPTO website 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 user 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 EFS-Web 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 acknowledgment
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. Users can access EFSWeb 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 trusted filers with controlled access to nonpublished patent application information. PAIR uses digital certificates to permit only
authorized individuals to access information about unpublished patent applications and
to maintain the confidentiality and integrity of the information as it is transmitted over the
Internet. Information for published patent applications, issued patents, certificates of
correction, and reissue applications is made available to the general public. PAIR is
available through the USPTO web site.

In May 2010, the USPTO introduced EFS-Web Contingency Option, which permits
users to file their patent documents even when the primary portal to EFS-Web is
unavailable. EFS-Web Contingency Option has the same functionality as EFS-Web for
unregistered users and provides an electronic acknowledgment receipt, performs file
validation, and encrypts the applications using TLS. Of the documents covered under
this information collection, EFS-Web Contingency Option can be used only to file
provisional patent applications, nonprovisional utility an design patent applications, and
national stage applications under 35 U.S.C. 371.
4.

Efforts to Identify Duplication

This information is collected only when an applicant (or representative) submits a patent
application, a petition to accept unintentionally delayed priority/benefit claim, a petition
to accept a filing by other than all the inventors or a person not the inventor, a petition
under 37 CFR 1.6(g) to accord the application under 37 CFR 1.495(b) a receipt date,
and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2). This information is not
collected elsewhere. Therefore, this collection does not create a duplication of effort or
collection of data.
5.

Minimizing the Burden to Small Entities

No significant impact is placed on small entities, as the rule (37 CFR 1.27) simply
requires a small entity to identify itself as such to obtain the benefits of small entity
status.
Pursuant to 35 U.S.C. 41 (h)(1), the USPTO provides a fifty percent (50%) reduction in
the fees charged under 35 U.S.C. 41(a) and (b) for small entity applicants. 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. In addition, the provisions of the
Consolidated Appropriations Act of 2005 establish a filing fee of $75 for small entities
filing original utility applications electronically on or after December 8, 2004.
6.

Consequences of Less Frequent Collection

This information is collected only when an applicant (or representative) submits a patent
application, a petition to accept unintentionally delayed priority/benefit claim, a petition
to accept a filing by other than all the inventors or a person not the inventor, a petition
requesting that applications filed under 37 CFR 1.495(b) be assigned a receipt date,
and a paper filed under 37 CFR 1.41, 1.48, and 1.53(c)(2). This information is not
collected elsewhere. Therefore, this collection of information could not be conducted
less frequently and the USPTO could not examine an application or issue a patent as
required by the patent statue (35 U.S.C. 131) if this information was not collected.

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 Federal Register Notice was published on May 3, 2010 (75 Fed Reg.
23227). The public comment period ended on July 2, 2010. Two comments from the
public were received in response to the Notice.
The comments touched on several aspects of the information collection. The two
comments are available on the www.uspto.gov and the www.regulations.gov Web sites,
and as attachments to the 0651-0032 submission to OMB on the www.reginfo.gov site
One comment concerned the need for the USPTO to request an emergency extension.
The USPTO is currently working towards splitting out several of its larger collections into
smaller collections. The agency in the past split out information collections from the
larger 0651-0009 collection, which covered several Trademark information collections.
In doing so, the agency found that the amount of time spent in calculations, preparation,
and formatting of the agency information collection requests submitted to OMB was
reduced. The agency will continue its efforts to split out its patent collections, which
should result in a reduction in the number of future extension requests made to OMB.
Comments identified a need to obtain a more sound objective inventory of the burden.
One comment noted concern about the lack of appropriate small entity treatment,
indicating that application burdens may be highly skewed by entity size. One comment
identified a need to calculate the burden on inventors and in-house counsel. Both
comments raised concern regarding the USPTO carrying out its duties under the PRA.
In compliance with the PRA, USPTO solicits public feedback as part of specific
information collection requests. USPTO values feedback on the time it takes the public
to prepare submissions under the Paperwork Reduction Act. The agency is also
considering other formats for collecting information for burden estimates as well.
The agency is working towards obtaining new data capture and reporting features as
part of the agency’s new “end-to-end” IT project. Several IT systems are currently
undergoing reengineering, which support the effort to improve the entire patent
examination process from the time an application is filed all the way through to the
granting of a patent. Enhanced data sets from these improvements will be available for
use in calculation of burden estimates. As resources permit, the agency is also
considering the use of surveying patent practitioners and inventors, with the goal
towards obtaining more public participation and feedback on the burden inventory,
including from small and large entities.
Additionally, the USPTO consults with the Public Advisory Committees, which were
created by statute in the American Inventors Protection Act of 1999 to advise the Under

Secretary of Commerce for Intellectual Property and Director of the USPTO on the
management of the patent and trademark operations. The Advisory Committees
consist of United States citizens chosen to represent the interests of the diverse users
of the USPTO. The Advisory Committees review the policies, goals, performance,
budget, and user fees of the patent and trademark operations, respectively, and advise
the Director on these matters.
The USPTO has long-standing relationships with patent bar associations, 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. The USPTO also meets regularly with groups from whom patent
application data is collected, such as the American Intellectual Property Law
Association.
9.

Payment or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
Response to this information collection is necessary to obtain a patent.
10.

Assurance of Confidentiality

Confidentiality of patent applications is governed by statute (35 U.S.C. 122) and
regulation (37 CFR 1.14). Upon publication of an application or issuance of an
application as a patent, the entire file contents of the application are available to the
public (subject to the provisions for providing only a redacted copy of the filed contents).
The disclosure of the invention in the application is the quid pro quo for the property
right conferred by the patent grant, and the very means by which the patent statute
achieves its constitutional object of “promot[ing] the progress of science and useful
arts.” The prosecution history contained in the application file is critical to determining
the scope of the property right conferred by a patent grant.
To further define the boundaries of the confidentiality of patent applications in light of
the eighteen-month publication of patent applications introduced under the American
Inventors Protection Act of 1999, the USPTO amended 37 CFR 1.14 to maintain the
confidentiality of applications that have not been published as a U.S. patent application.
As amended, 37 CFR 1.14 provides that the public can obtain status information about
the application, such as whether the application is pending, abandoned, or patented,
whether the application has been published under 35 U.S.C. 122(b), and the application
“numerical identifier.” This information can be supplied to the public under certain
conditions. The public can also receive copies of an application-as-filed and the file
wrapper, as long as it meets certain criteria.
Applications filed through EFS-Web are maintained in confidence as required by 35
U.S.C. 122(a) until the application is published or a patent is issued. The confidentiality,
security, integrity, authenticity, and non-repudiation of patent applications submitted
electronically through EFS-Web are maintained using PKI technology and digital

certificates for registered users. Applications electronically-filed by non-registered users
are protected using TLS or SSL protocols. The USPTO posts issued patents and
application publications on its Web site. The information covered under this collection
will not be released to the public unless it is part of an issued patent or application
publication. Patent applicants and/or their designated representatives can view the
current status of their patent application through the Patent Application Information
Retrieval (PAIR) system. Access to patent applications that are maintained in
confidence under 35 U.S.C. 122(a) is restricted to the patent applicant and/or their
designated representatives by the use of digital certificates, which maintain the
confidentiality and integrity of the information transmitted over the Internet. The public
can view the status and history information for published applications and granted
patents via PAIR.
11.

Justification for Sensitive Questions

None of the required information 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
Based on budgetary calculations and agency expertise in patent prosecution practice,
the USPTO projects that it will receive 513,221 responses per year. The USPTO
estimates that 91% of these responses (approximately 466,385 responses) will be
submitted electronically.

•

Burden Hour Calculation Factors
Based on agency expertise in patent prosecution practice, the USPTO estimates that it
takes approximately 24 minutes to 33 hours and 12 minutes (0.40 to 33.2 hours) to
complete the applications, petitions, and additional papers in this collection, depending
on the request. This includes the time to gather the necessary information, prepare the
application, petition, or other papers, and submit the completed request to the USPTO.
New original utility, design, and provisional applications can be submitted electronically
through EFS-Web. The continuations, divisionals, and continuations-in-part of these
applications can also be submitted electronically through EFS-Web, in addition to the
continuations and divisionals of international applications and the design continued
prosecution applications. The USPTO calculates that, on balance, it takes the same
amount of time to gather the necessary information, prepare the utility, design, or
provisional application, and submit it to the USPTO, whether the applicant submits it in
paper form or electronically.

•

Cost Burden Calculation Factors
The USPTO calculates that all of the information in this collection will be prepared by an
attorney. The professional hourly rate of $325 used to calculate the respondent cost
burden is the median rate for attorneys in private firms as published in the 2009 report of
the Committee on Economics of Legal Practice of the American Intellectual Property

Law Association. This report summarized the results of a survey with data on hourly
billing rates. This is a fully-loaded hourly rate.
Table 3: Burden Hour/Burden Cost to Respondents
Item

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Original New Utility Applications – No Application
Data Sheet

33.2

7,450

247,340

$325.00

$80,385,500.00

Electronic Original New Utility Applications – No
Application Data Sheet

33.2

98,950

3,285,140

$325.00

$1,067,670,500.00

Original New Plant Applications – No Application
Data Sheet

7.6

660

5,016

$325.00

$1,630,200.00

Original New Design Applications – No Application
Data Sheet

5.8

795

4,611

$325.00

$1,498,575.00

Electronic Original Design Applications – No
Application Data Sheet

5.8

10,545

61,161

$325.00

$19,877,325.00

Original New Utility Applications – Application Data
Sheet

33.2

11,170

370,844

$325.00

$120,524,300.00

Electronic Original New Utility Applications –
Application Data Sheet

33.2

148,430

4,927,876

$325.00

$1,601,559,700.00

Original New Plant Applications – Application Data
Sheet

7.6

350

2,660

$325.00

$864,500.00

Original New Design Applications – Application
Data Sheet

5.8

970

5,626

$325.00

$1,828,450.00

Electronic New Design Applications – Application
Data Sheet

5.8

12,890

74,762

$325.00

$24,297,650.00

Continuation/Divisional of an International
Application

3.3

740

2,442

$325.00

$793,650.00

Electronic Continuation/Divisional of an
International Application

3.3

9,840

32,472

$325.00

$10,553,400.00

Utility Continuation/Divisional Applications

3.3

2,620

8,646

$325.00

$2,809,950.00

Electronic Utility Continuation/Divisional
Applications

3.3

34,900

115,170

$325.00

$37,430,250.00

Plant Continuation/Divisional Applications

2.2

150

330

$325.00

$107,250.00

Design Continuation/Divisional Applications

1.1

155

171

$325.00

$55,575.00

Electronic Design Continuation/Divisional
Applications

1.1

2,085

2,294

$325.00

$745,550.00

Continued Prosecution Applications – Design
(Request Transmittal and Receipt)

0.4

$325.00

$6,500.00

Electronic Continued Prosecution Applications –
Design (Request Transmittal and Receipt)

0.4

665

266

$325.00

$86,450.00

Utility Continuation-in-Part Applications

16.5

780

12,870

$325.00

$4,182,750.00

Electronic Utility Continuation-in-Part-Applications

16.5

10,340

170,610

$325.00

$55,448,250.00

Item

Hours
(a)

Responses
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Plant Continuation-in-Part Applications

3.8

133

$325.00

$43,225.00

Design Continuation-in-Part Applications

2.7

108

$325.00

$35,100.00

Electronic Design Continuation-in-Part Applications

2.7

520

1,404

$325.00

$456,300.00

Provisional Application for Patent Cover Sheet

10,330

154,950

$325.00

$50,358,750.00

Electronic Provisional Application for Patent Cover
Sheet

137,220

2,058,300

$325.00

$668,947,500.00

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

1.0

1,090

$325.00

$354,250.00

Petition To Accept a Filing by Other Than All the
Inventors or a Person not the Inventor

1.0

1,950

$325.00

$633,750.00

Petition under 37 CFR 1.6(g) to Accord the
Application under 37 CFR 1.495(b) a Receipt Date

0.5

$325.00

Papers filed under the following:

0.75

7,500

5,625

$325.00

$1,828,125.00

513,221

11,553,888

- - - -

$3,755,013,600.00

1.41 – to supply the name or names of the inventor
or inventors after the filing date without a cover
sheet as prescribed by 37 CFR 1.51 (c)(1) in a
provisional application.
1.48 – for correction of inventorship in a provisional
application.
1.53 (c)(2) – to convert a nonprovisional application
filed under 1.53(b) to a provisional application filed
under 1.53(c)
Total

13.

- - - -

Total Annualized Cost Burden

There are capital start-up, postage, recordkeeping, and drawing costs associated with
this information collection. This collection also has filing, search, examination, and
various other fees related to patent applications. There are no maintenance or
operation costs associated with this collection.
Capital Start-up Costs
Applicants who are submitting patent applications containing large computer program
listings or mega tables can choose to submit them on Compact Disk-Read Only
Memory (CD-ROM) or a Compact Disk-Recordable (CD-R) disk, particularly if they
choose not to or cannot submit their patent application through EFS-Web. The USPTO
is including the cost for purchasing blank CD-R media (CDs), cases and labels for the
CDs, and a padded mailing envelope in the annual (non-hour) cost for this collection as
start-up costs.

The USPTO researched the costs for these various supplies and is using averages
since these items are available in a variety of configurations and since this collection
covers many applicants and their specific filing situations.
Blank CD-R media can range from $5.99 to $38.99, depending on the quantity of CD-Rs
purchased. The USPTO estimates that the average cost for these items is $20.19.
If jewel cases for the CD-Rs are not included with the discs, they can be purchased
separately in packages ranging from 10 to 100 cases, ranging in cost from $4.99 to
$24.99. The USPTO estimates that the average cost for these cases is $13.16.
Software to make the disc labels can be purchased with the labels included along with
the software. This software ranges in price from $19.99 to $35.99. The USPTO
estimates that the average cost for the software is $28.
Padded mailing envelopes for sending the discs and applications to the USPTO are
available in many size and quantity options. The USPTO found that the cost ranged
from $14.99 to $66.99. The USPTO estimates that the average cost for the padded
mailing envelopes is $35.38.
In sum, the USPTO estimates the total cost for the blank CD-R media, the jewel cases if
needed, software for labeling the CDs, and the padded mailing envelopes at
approximately $96.73. The USPTO estimates that 232 patent applications will need to
be submitted on CD per year.
Therefore, the USPTO estimates that the total capital start-up cost for this
collection will be $22,441 per year.
Postage Costs
The patent applications, the petitions, the papers filed under 37 CFR 1.41, 1.48, and
1.53(c)(2), and the oversized program listing/mega table CD submissions may be
submitted by mail through the United States Postal Service.
For those applicants who choose not to use EFS-Web, the USPTO recommends that
applicants file initial patent applications (which also include the continued prosecution,
continuation and divisional, continuation-in-part, and provisional applications) by
Express Mail to establish the filing date (otherwise the filing date of the application will
be the date that it is received at the USPTO). The USPTO estimates that an application
package will weigh at least one pound. Averaging the Express Mail costs for the
USPS’s eight mailing zones, the USPTO estimates that the average cost for sending an
initial application by Express Mail will be $22.56. The USPTO estimates that up to
36,295 submissions per year may be mailed to the USPTO at an average Express Mail
rate of $22.56, for a total postage cost of $818,815.

The petitions and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c) (2) can be sent
by first-class mail. The USPTO estimates that these submissions will average two
ounces, for a first-class postage rate of 61 cents. For the papers filed under 37 CFR
1.41, 1.48, and 1.53(c)(2), which are being added into the collection for the first time,
the USPTO estimates that 7,500 papers will mailed, for a first-class postage cost of
$4,575. For the petitions, the USPTO estimates that 3,041 will be mailed to the
USPTO, for a first-class postage cost of $1,855. Therefore, the USPTO estimates that
the total average first-class postage cost for these petitions and papers will be $6,430
per year.
In the case of the oversized program listing/mega table CD submissions, applicants mail
a CD, the application transmittal form, and the cover letter to the USPTO. The USPTO
estimates that these submissions will average about three ounces and that they will be
mailed in large padded mailing envelopes. The USPTO estimates that the average
postage rate for these submissions will be $1.22 and that 232 oversized program
listing/mega table CD submissions will be received per year. The USPTO estimates
that the postage costs for these submissions will be $283 per year.
Therefore, the USPTO estimates that the total postage cost for this collection will
be $825,528 per year.
Recordkeeping Costs
There are recordkeeping costs associated with the oversized computer program listings
or mega table CD submissions and the electronic filing of new utility, design, and
provisional applications, the continuation/divisional versions, and the continuation-inpart versions. The electronic filings of the design continued prosecution applications
and the continuation/divisional of an international application are also included in these
costs.
The USPTO advises applicants who submit applications with oversized computer
program listings and mega tables on CD to retain a back-up copy of the CD and a
printed copy of the application transmittal form for their records. The USPTO estimates
that it takes an additional 5 minutes for the applicant to produce this back-up CD copy
and 2 minutes to print the copy of the application transmittal form, for a total of 7
minutes (0.12 hours) for each oversized submission. The USPTO estimates that
approximately 232 applications per year will be submitted with oversized computer
program listings or mega tables, for a total of 28 hours per year for retaining the back-up
CD and printed application form (232 applications x 0.12 hours = 28 hours). The
USPTO believes that these back-up copies will be prepared by paraprofessionals with
an estimated hourly rate of $100, for a recordkeeping cost of $2,800 per year for these
back-up copies (28 hours x $100 = $2,800).
Additionally, the USPTO also strongly advises applicants who file their new utility
application, design application, provisional application, continuation/divisional
application, continuation-in-part application, continuation/divisional application of an

international application, and design continued prosecution application electronically to
retain a copy of the file submitted to the USPTO as evidence of authenticity, in addition
to keeping the acknowledgement receipt as clear evidence that the file was received by
the USPTO on the date noted. The USPTO estimates that it takes 2 minutes (0.03
hours) to print and retain a copy of the electronic submission and that approximately
408,035 submissions per year (247,380 utility, 23,435 design, and 137,220 provisional
applications) will use this option, for a total of 12,241 hours per year (408,035
submissions x 0.03 hours = 12,241 hours per year). The USPTO believes that these
copies will be made by para-professionals. Using the para-professional hourly rate of
$100, the USPTO estimates that the recordkeeping cost for retaining a copy of the
acknowledgement receipt will be $1,224,100 per year (12,241 hours x $100 =
$1,224,100).
In addition to the applications discussed above, electronic submissions for the
continuation/divisional
applications
of
international
applications,
utility
continuation/divisional applications, design continuation/divisional applications,
continued prosecution applications – design (request transmittal and receipt), utility
continuation-in-part applications, and design continuation-in-part applications are being
added into the collection as part of this renewal. The USPTO estimates that 58,350 of
these applications (9,840 continuation/divisional of an international application, 34,900
utility continuation/divisional, 2,085 design continuation/divisional, 665 continued
prosecution applications – design (request transmittal and receipt), 10,340 utility
continuation-in-part, and 520 design continuation-in-part applications) will use this
option, for a total of 1,751 hours per year (58,350 submissions x 0.03 hours = 1,751
hours per year). Using the para-professional hourly rate of $100, the USPTO estimates
that the recordkeeping cost for retaining a copy of the acknowledgment receipt and file
for these new EFS-Web submissions will be $175,100 per year (1,751 hours x $100 =
$175,100).
Therefore, the USPTO estimates that the total recordkeeping cost for this
collection will be $1,402,000 per year.
Drawing Costs
Patent applicants can submit drawings with their utility, design, plant, and provisional
applications. Drawing costs are variable because applicants may produce their own
drawings or contract the work out to various patent illustration firms. As a basis for
calculating the drawing costs, the USPTO believes that all applicants will have their
drawings prepared by a patent illustration firm.
Estimates for the patent drawings can vary greatly, depending on the number of figures
to be produced, the total number of pages for the drawings, and the complexity of the
drawings. Because there are many variables involved, the USPTO is using the average
of the cost ranges found for the application drawings to derive the estimated cost per
sheet that is then used to calculate the total drawing costs.

The utility, plant, and design continuation and divisional applications, as well as the
design continued prosecution applications, use the same drawings as the initial filings,
so they are not included in these totals. The continuation-in-part applications may use
some of the same drawings as the initial applications and some new drawings may be
submitted, so those numbers are included in the calculations.
The USPTO estimates that the costs to produce utility drawings can range from $35 to
$135 per sheet. Taking the average of this range, the USPTO estimates that it can cost
$85 per sheet to produce the utility drawings. On average, 11 sheets of drawings are
submitted in the utility applications. Based on these averages, the USPTO estimates an
average cost of $935 to produce the utility drawings (11 sheets of drawings x $85 per
sheet). Out of 277,120 utility applications submitted per year, the USPTO estimates
that 91% or 252,179 applications will be submitted with drawings, for a total of
$235,787,365 per year to produce the utility drawings (252,179 applications x $935).
The USPTO estimates that the costs to produce design drawings can range from $35 to
$155 per sheet. Taking the average of this range, the USPTO estimates that it can cost
$95 per sheet to produce the design drawings. On average, 4.8 sheets of drawings are
submitted in the design applications. Based on these averages, the USPTO estimates
an average cost of $456 to produce the design drawings (4.8 sheets of drawings x $95
per sheet). Out of 25,760 design applications submitted per year, the USPTO
calculates that 100% of them will be submitted with drawings, for a total of $11,746,560
per year to produce the design drawings (26,475 applications x $456).
In the case of the plant applications, photographs are generally submitted, although
drawings can also be submitted. The USPTO estimates that the costs to produce the
photographs or drawings for the plant applications can range from $35 to $100. Taking
the average of this range, the USPTO estimates that it can cost $68 per sheet to
produce the photographs or drawings for the plant applications. On average, 2 sheets
of drawings are submitted in the plant applications. Based on these averages, the
USPTO estimates an average cost of $136 to produce the plant photographs/drawings
(2 sheets of drawings x $68 per sheet). Out of 1,045 plant applications submitted per
year, the USPTO calculates that 100% of them will be submitted with drawings, for a
total of $142,120 per year to produce the plant photographs/drawings (1,045
applications x $136).
The USPTO estimates that the costs to produce the provisional drawings can range
from $35 to $135 per sheet. Taking the average of this range, the USPTO estimates
that it can cost $85 per sheet to produce the provisional drawings. On average, 7.5
sheets of drawings are submitted in the provisional applications. Based on these
averages, the USPTO estimates an average cost of $638 to produce the provisional
drawings (7.5 sheets of drawings x $85 per sheet). Out of 147,550 provisional
applications submitted per year, the USPTO calculates that 78% or 115,089 will be
submitted with drawings, for a total of $73,426,782 per year to produce the provisional
drawings (115,089 applications x $638).

Therefore, based on these estimates for producing drawings for utility, design,
plant, and provisional applications, the USPTO estimates that at least
$321,102,827 in drawing costs could be added to the total non-hour cost burden
for this collection.
Fees
There are filing, search, examination, processing, and additional fees associated with
this information collection and therefore part of the annual nonhour cost burden. The
filing, search, and examination fees for the utility, plant, design, and provisional
applications (including the continuation and divisional, continued prosecution, and
continuation-in-part applications) are determined by the filing status (other entity or
small entity) the applicant has selected. The filing fees for the electronically-filed new
utility applications for small entities are $82, but for the rest of the electronically-filed
applications the fees are the same as those for the paper applications. The small entity
status does not apply to the petition to accept unintentionally delayed priority/benefit
claim, the petition to accept a filing by other than all the inventors or a person not the
inventor, or the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2). The petition
under 37 CFR 1.6(g) to accord the application under 37 CFR 1.495(b) a receipt date
does not have any fees associated with it.
The total estimated fees of $449,446,037 for this collection are calculated in
Tables 4, 5, and 6.
Table 4 shows the filing, search, and examination fees that are incurred when filing the
various applications and petitions. This table also includes the processing fees for the
papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2). The USPTO estimates that the
cost burden associated with these various fees will be $339,365,175 per year.
Table 4: Filing, Search, and Examination Fees – Nonhour Cost Burden
Item

Responses
(yr)
(a)

Filing Fee

Search
Fee

Examination
Fee

Total Fee
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Original New Utility Applications
– No Application Data Sheet –
Other Entity

5,585

$330.00

$540.00

$220.00

$1,090.00

$6,087,650.00

Original New Utility Applications
– No Application Data Sheet –
Small Entity

1,865

$165.00

$270.00

$110.00

$545.00

$1,016,425.00

Electronic Original New Utility
Applications – No Application
Data Sheet – Other Entity

74,210

$330.00

$540.00

$220.00

$1,090.00

$80,888,900.00

Electronic Original New Utility
Applications – No Application
Data Sheet – Small Entity

24,740

$82.00

$270.00

$110.00

$462.00

$11,429,880.00

495

$220.00

$330.00

$170.00

$720.00

$356,400.00

Original New Plant Applications
– No Application Data Sheet –
Other Entity

Item

Responses
(yr)
(a)

Filing Fee

Search
Fee

Examination
Fee

Total Fee
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Original New Plant Applications
– No Application Data Sheet –
Small Entity

165

$110.00

$165.00

$85.00

$360.00

$59,400.00

Original New Design
Applications – No Application
Data Sheet – Other Entity

415

$220.00

$100.00

$140.00

$460.00

$190,900.00

Original New Design
Applications – No Application
Data Sheet – Small Entity

380

$110.00

$50.00

$70.00

$230.00

$87,400.00

Electronic Original New Design
Applications – No Application
Data Sheet – Other Entity

5,485

$220.00

$100.00

$140.00

$460.00

$2,523,100.00

Electronic Original New Design
Applications – No Application
Data Sheet – Small Entity

5,060

$110.00

$50.00

$70.00

$230.00

$1,163,800.00

Original New Utility Applications
– Application Data Sheet –
Other Entity

8,380

$330.00

$540.00

$220.00

$1,090.00

$9,134,200.00

Original New Utility Applications
– Application Data Sheet –
Small Entity

2,790

$165.00

$270.00

$110.00

$545.00

$1,520,550.00

Electronic Original New Utility
Applications – Application Data
Sheet – Other Entity

111,325

$330.00

$540.00

$220.00

$1,090.00

$121,344,250.00

Electronic Original New Utility
Applications – Application Data
Sheet – Small Entity

37,105

$82.00

$270.00

$110.00

$462.00

$17,142,510.00

Original New Plant Applications
– Application Data Sheet –
Other Entity

260

$220.00

$330.00

$170.00

$720.00

$187,200.00

Original New Plant Applications
– Application Data Sheet –
Small Entity

$110.00

$165.00

$85.00

$360.00

$32,400.00

Original New Design
Applications – Application Data
Sheet – Other Entity

505

$220.00

$100.00

$140.00

$460.00

$232,300.00

Original New Design
Applications – Application Data
Sheet – Small Entity

465

$110.00

$50.00

$70.00

$230.00

$106,950.00

Electronic New Design
Applications – Application Data
Sheet – Other Entity

6,700

$220.00

$100.00

$140.00

$460.00

$3,082,000.00

Electronic New Design
Applications – Application Data
Sheet – Small Entity

6,190

$110.00

$50.00

$70.00

$230.00

$1,423,700.00

570

$330.00

$540.00

$220.00

$1,090.00

$621,300.00

Continuation/Divisional of an
International Application – Other
Entity

Item

Responses
(yr)
(a)

Filing Fee

Search
Fee

Examination
Fee

Total Fee
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Continuation/Divisional of an
International Application – Small
Entity

170

$165.00

$270.00

$110.00

$545.00

$92,650.00

Electronic
Continuation/Divisional of an
International Application – Other
Entity

7,580

$330.00

$540.00

$220.00

$1,090.00

$8,262,200.00

Electronic
Continuation/Divisional of an
International Application – Small
Entity

2,260

$82.00

$270.00

$110.00

$462.00

$1,044,120.00

Utility Continuation/Divisional
Applications – Other Entity

1,965

$330.00

$540.00

$220.00

$1,090.00

$2,141,850.00

Utility Continuation/Divisional
Applications – Small Entity

655

$165.00

$270.00

$110.00

$545.00

$356,975.00

Electronic Utility
Continuation/Divisional
Applications – Other Entity

26,175

$330.00

$540.00

$220.00

$1,090.00

$28,530,750.00

Electronic Utility
Continuation/Divisional
Applications – Small Entity

8,725

$82.00

$270.00

$110.00

$462.00

$4,030,950.00

Plant Continuation/Divisional
Applications – Other Entity

115

$220.00

$330.00

$170.00

$720.00

$82,800.00

Plant Continuation/Divisional
Applications – Small Entity

$110.00

$165.00

$85.00

$360.00

$12,600.00

Design Continuation/Divisional
Applications – Other Entity

$220.00

$100.00

$140.00

$460.00

$36,800.00

Design Continuation/Divisional
Applications – Small Entity

$110.00

$50.00

$70.00

$230.00

$17,250.00

Electronic Design
Continuation/Divisional
Applications – Other Entity

1,085

$220.00

$100.00

$140.00

$460.00

$499,100.00

Electronic Design
Continuation/Divisional
Applications – Small Entity

1,000

$110.00

$50.00

$70.00

$230.00

$230,000.00

Continued Prosecution
Applications – Design (Request
Transmittal and Receipt) – Other
Entity

$220.00

$100.00

$140.00

$460.00

$11,960.00

Continued Prosecution
Applications – Design (Request
Transmittal and Receipt) – Small
Entity

$110.00

$50.00

$70.00

$230.00

$5,520.00

345

$220.00

$100.00

$140.00

$460.00

$158,700.00

Electronic Continued
Prosecution Applications –
Design (Request Transmittal
and Receipt) – Other Entity

Item

Responses
(yr)
(a)

Filing Fee

Search
Fee

Examination
Fee

Total Fee
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Electronic Continued
Prosecution Applications –
Design (Request Transmittal
and Receipt) – Small Entity

320

$110.00

$50.00

$70.00

$230.00

$73,600.00

Utility Continuation-in-Part
Applications – Other Entity

585

$330.00

$540.00

$220.00

$1,090.00

$637,650.00

Utility Continuation-in-Part
Applications – Small Entity

195

$165.00

$270.00

$110.00

$545.00

$106,275.00

Electronic Utility Continuation-inPart Applications – Other Entity

7,755

$330.00

$540.00

$220.00

$1,090.00

$8,452,950.00

Electronic Utility Continuation-inPart Applications – Small Entity

2,585

$82.00

$270.00

$110.00

$462.00

$1,194,270.00

Plant Continuation-in-Part
Applications – Other Entity

$220.00

$330.00

$170.00

$720.00

$18,720.00

Plant Continuation-in-Part
Applications – Small Entity

$110.00

$165.00

$85.00

$360.00

$3,240.00

Design Continuation-in-Part
Applications – Other Entity

$220.00

$100.00

$140.00

$460.00

$9,660.00

Design Continuation-in-Part
Applications – Small Entity

$110.00

$50.00

$70.00

$230.00

$4,370.00

Electronic Design Continuationin-Part Applications – Other
Entity

270

$220.00

$100.00

$140.00

$460.00

$124,200.00

Electronic Design Continuationin-Part Applications – Small
Entity

250

$110.00

$50.00

$70.00

$230.00

$57,500.00

Provisional Application for
Patent Cover Sheets – Other
Entity

3,820

$220.00

N/A

$220.00

$840,400.00

Provisional Application for
Patent Cover Sheets – Small
Entity

6,510

$110.00

N/A

$110.00

$716,100.00

Electronic Provisional
Application for Patent Cover
Sheets – Other Entity

50,770

$220.00

N/A

$220.00

$11,169,400.00

Electronic Provisional
Application for Patent Cover
Sheets – Small Entity

86,450

$110.00

N/A

$110.00

$9,509,500.00

Petition to Accept
Unintentionally Delayed
Priority/Benefit Claim

1,090

$1,410.00

N/A

$1,410.00

$1,536,900.00

Petition to Accept a Filing by
Other Than all the Inventors or a
Person not the Inventor

1,950

$200.00

N/A

$200.00

$390,000.00

Item

Responses
(yr)
(a)

Petition under 37 CFR 1.6(g) to
accord the Application under 37
CFR 1.495(b) a Receipt Date
Processing Fee under 37 CFR
1.17 (q) for paper s filed under
the following:

Filing Fee

7,500

Search
Fee

Examination
Fee

Total Fee
(b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

N/A

$0.00

$50.00

N/A

$50.00

$375,000.00

------------

-------------------

---------------

$339,365,175.00

1.41 – to supply the name or
names of the inventor or
inventors after the filing date
without a cover sheet as
prescribed by 37 CFR 1.51(c)(1)
in a provisional application.
1.48 – for correction of
inventorship in a provisional
application
1.53 (c) (2) – to convert a
nonprovisional application filed
under 1.53(b) to a provisional
application filed under 1.53 (c)
Totals

513,221

--------------

Table 5 calculates the additional fees incurred when an application is filed with
additional sheets or excess claims. The USPTO estimates that these fees apply to
252,471of the 502,680 total applications filed per year. This table is a subset of Table 4
and adds an additional $96,203,957 to the annualized (non-hour) costs shown in Table
4. It does not, however, change the number of responses.
The fees shown are based on the applicant’s filing status. Plant applications do not
have independent claims in excess of 3 or 20, so these applications are not included in
the table.
Table 5: Application Size and Excess Claims Fees – Nonhour Cost Burden
Item

Responses
(yr)
(a)

Filing Fee for
Additional Sheets
and Claims

Average
Fee (b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Provisional Application Size Fee for Each
Provisional Application for Patent Cover Sheet, filed
for Each Additional 50 Sheets Exceeding 100
Sheets – Other Entity

1,837

$270.00 per each 50
sheets over 100

$540.00

$991,980.00

Provisional Application Size Fee for Each Provisional
Application for Patent Cover Sheet, filed for Each
Additional 50 Sheets Exceeding 100 Sheets – Small
Entity

1,709

$135.00 per each 50
sheets over 100

$270.00

$461,430.00

Utility Applications, with independent claims in
excess of 3 – Other Entity

71,363

$220.00 for each
claim over 3

$440.00

$31,399,720.00

Utility Applications, with independent claims in
excess of 3 – Small Entity

25,211

$110.00 for each
claim over 3

$220.00

$5,546,420.00

Item

Responses
(yr)
(a)

Filing Fee for
Additional Sheets
and Claims

Average
Fee (b)

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Utility Applications, filed with Claims in Excess of 20
– Other Entity

99,777

$52.00 for each
claim over 20

$416.00

$41,507,232.00

Utility Applications, filed with Claims in Excess of 20
– Small Entity

40,894

$26.00 for each
claim over 20

$260.00

$10,632,440.00

Utility Application Size Fee for Each Original New
Utility Application, filed with each additional 50
sheets exceeding 100 sheets – Other Entity

9,301

$270.00 for each
additional 50 sheets
over 100

$540.00

$5,022,540.00

Utility Application Size Fee for Each Original New
Utility Application, filed with each additional 50
sheets exceeding 100 Sheets – Small Entity

2,358

$135.00 for each
additional 50 sheets
over 100

$270.00

$636,660.00

Plant Application Size Fee for Each Original New
Plant Application, filed with Each Additional 50
Sheets Exceeding 100 Sheets – Other Entity

$270.00 for each
additional 50 sheets
over 100

$270.00

$540.00

Plant Application Size Fee for Each Original New
Plant Application, filed with Each Additional 50
Sheets Exceeding 100 Sheets – Small Entity

$135.00 for each
additional 50 sheets
over 100

$135.00

Design Application Size Fee for Each Original New
Design Application, filed for each Additional 50
Sheets that Exceeds 100 Sheets – Other Entity

$270.00 for each
additional 50 sheets
over 100

$270.00

$3,780.00

Design Application Size Fee for Each Original New
Design Application, filed for each Additional 50
Sheets that Exceeds 100 Sheets – Small Entity

$135.00 for each
additional 50 sheets
over 100

$270.00

$1,080.00

---------------

$96,203,957.00

Total

252,471

----------------------

Table 6 shows the additional surcharges and fees that can be incurred whenever an
application, the search or examination fee, or the oath or declaration is filed late, when
an application is filed with multiple dependent claims, or whenever the application is
filed with a non-English specification. The USPTO estimates that these fees apply to
111,231 of the 502,680 applications filed per year. This chart is a subset of the first
chart and adds an additional $13,876,905 to the annualized (non-hour) costs of this
information collection. It does not, however, change the number of responses
estimated for this collection.
With the exception of the fee for the non-English specification, these fees are
determined by the applicant’s filing status. Plant applications are not filed with multiple
dependent claims so they are not included in this table.
Table 6: Fees for Multiple Dependent Claims and Non-English Specifications and Surcharges for
Late Filings
Item

Responses
(yr)
(a)

Surcharge for Late Filing of Provisional Application for Patent
Cover Sheets – Other Entity

2,588

Surcharge Fee for
Late Filing, Multiple
Dependent Claims,
or Non-English
Specification Fees
$50.00

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

$129,400.00

Item

Responses
(yr)
(a)

Surcharge Fee for
Late Filing, Multiple
Dependent Claims,
or Non-English
Specification Fees

Total Non-Hour
Cost Burden
(yr)
(a) x (b)

Surcharge for Late Filing of Provisional Application for Patent
Cover Sheets – Small Entity

4,675

$25.00

$116,875.00

Utility Applications, filed with Multiple Dependent Claims – Other
Entity

7,101

$390.00

$2,769,390.00

Utility Applications, filed with Multiple Dependent Claims – Small
Entity

2,739

$195.00

$534,105.00

55,935

$130.00

$7,271,550.00

27,158

$65.00

$1,765,270.00

172

$130.00

$22,360.00

$65.00

$5,395.00

4,400

$130.00

$572,000.00

Design Applications, filed with a Surcharge for Late Filing,
Search or Examination Fee, or Oath/Declaration – Small Entity

2,136

$65.00

$138,840.00

Non-English Specification

4,244

$130.00

$551,720.00

111,231

----------------------

$13,876,905.00

Utility Applications, filed with a Surcharge for Late Filing,
Search or Examination Fee, or Oath/Declaration – Other Entity
Utility Applications, filed with a Surcharge for Late Filing,
Search, or Examination Fee, or Oath/Declaration – Small Entity
(New Subcategory)
Plant Applications, filed with a Surcharge for Late Filing, Search
or Examination Fee, or Oath/Declaration – Other Entity
(New Subcategory)
Plant Applications, filed with a Surcharge for Late Filing, Search
or Examination Fee, or Oath/Declaration – Small Entity
(New Subcategory)
Design Applications, filed with a Surcharge for Late Filing,
Search or Examination Fee, or Oath/Declaration – Other Entity
(New Subcategory)

Totals

The USPTO estimates that the total non-hour respondent cost burden for this
collection, in the form of capital start-up, postage, recordkeeping, and drawing
costs, in addition to the fees and surcharges, is $772,798,833 per year.
14.

Annual Cost to the Federal Government

The USPTO expects that the applications, petitions, and additional papers in this
information collection will be processed by agency staff at a GS-5, step 1 grade and that
it will take approximately between 6 minutes (0.1 hours) and one hour to process them.
The current hourly rate for a GS-5, step 1 is $16.33. When 30% is added to account for
a fully loaded hourly rate (benefits and overhead), the hourly rate for a GS-5, step 1 is
$21.23 ($16.33 + $4.90 = $21.23).
Table 7 calculates the processing hours and costs of this information collection to the
Federal Government:

Table 7: Burden Hour/Burden Cost to the Federal Government
Item

Hours
(a)

Response
s
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Original New Utility Applications – No Application
Data Sheet

1.0

7,450

$21.23

$158,164.00

Electronic Original New Utility Applications – No
Application Data Sheet

1.0

98,950

$21.23

$2,100,709.00

Original New Plant Applications – No Application
Data Sheet

1.0

660

$21.23

$14,012.00

Original New Design Applications – No Application
Data Sheet

1.0

795

$21.23

$16,878.00

Electronic Original Design Applications – No
Application Data Sheet

1.0

10,545

$21.23

$223,870.00

Original New Utility Applications – Application Data
Sheet

1.0

11,170

$21.23

$237,139.00

Electronic Original New Utility Applications –
Application Data Sheet

1.0

148,430

$21.23

$3,151,169.00

Original New Plant Applications – Application Data
Sheet

1.0

350

$21.23

$7,431.00

Original New Design Applications – Application Data
Sheet

1.0

970

$21.23

$20,593.00

Electronic New Design Applications – Application
Data Sheet

1.0

12,890

$21.23

$273,655.00

Continuation/Divisional of an International
Application

1.0

740

$21.23

$15,710.00

Electronic Continuation/Divisional of an International
Application

1.0

9,840

$21.23

$208,903.00

Utility Continuation/Divisional Applications

1.0

2,620

$21.23

$55,623.00

Electronic Utility Continuation/Divisional Applications

1.0

34,900

$21.23

$740,927.00

Plant Continuation/Divisional Applications

1.0

150

$21.23

$3,185.00

Design Continuation/Divisional Applications

1.0

155

$21.23

$3,291.00

Electronic Design Continuation/Divisional
Applications

1.0

2,085

$21.23

$44,265.00

Continued Prosecution Applications – Design
(Request Transmittal and Receipt)

0.6

$21.23

$637.00

Electronic Continued Prosecution Applications –
Design (Request Transmittal and Receipt)

0.6

665

399

$21.23

$8,471.00

Utility Continuation-in-Part Applications

1.0

780

$21.23

$16,559.00

Electronic Utility Continuation-in-Part Applications

1.0

10,340

$21.23

$219,518.00

Plant Continuation-in-Part Applications

1.0

$21.23

$743.00

Design Continuation-in-Part Applications

1.0

$21.23

$849.00

Item

Hours
(a)

Response
s
(yr)
(b)

Burden
(hrs/yr)
(c)
(a) x (b)

Rate
($/hr)
(d)

Total Cost
($/hr)
(e)
(c) x (d)

Electronic Design Continuation-in-Part Applications

1.0

520

$21.23

$11,040.00

Provisional Application for Patent Cover Sheet

0.5

10,330

5,165

$21.23

$109,653.00

Electronic Provisional Application for Patent Cover
Sheet

0.5

137,220

68,610

$21.23

$1,456,590.00

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

0.3

1,090

327

$21.23

$6,942.00

Petition to Accept a Filing by Other Than All the
Inventors or a Person Not the Inventor

0.3

1,950

585

$21.23

$12,420.00

Petition Under 37 CFR 1.6(g) to Accord the
Application under 37 CFR 1.495(b) a Receipt Date

0.1

$21.23

$2.00

Papers filed under the following:

0.5

7,500

3,750

$21.23

$79,613.00

513,221

433,281

1.41 – to supply the name or names of the inventor
or inventors after the filing date without a cover
sheet as prescribed by 37 CFR 1.51(c)(1) in a
provisional application.
1.48 – for correction of inventorship in a provisional
application.
1.53 (c)(2) – to convert a nonprovisional application
filed under 1.53(b) to a provisional application filed
under 1.53(c).
Total

- - - - -

$9,198,561.00

The USPTO’s total estimated cost for processing the information in this collection
is estimated at $9,198,561per year.
15.

Reason for Change in Burden

Summary of Changes Since the Previous Renewal
This information collection was approved by OMB on June 5, 2007, with 543,591
responses, 10,677,624 burden hours, and $243,201,076 in annual (non-hour) costs.
The annual (non-hour) costs for this collection are calculated at $691,147,858 in the
current justification statement. This submission corrects the discrepancy between the
approved inventory and the inventory as detailed in the current justification statement.
This discrepancy was a result of the automation of the renewal process, where
calculations previously supplied in document format to the OMB were entered into the
new automated system and itemization and complex fee calculations were not
aggregated to the level necessitated by the automated system. For this renewal, the
changes in the annual (non-hour) costs were calculated from the actual cost
calculations in the justification statement, not from the costs shown in the ICR
calculation screens viewed in www.regulations.gov.

The change in burden for this renewal thus reflects the program and administrative
adjustments since the last renewal, as well as adjustments to the automated system.
In addition, the EFS-Web submissions for the existing utility, design, and provisional
applications are broken out separately for this renewal.
With this renewal, the USPTO estimates that the total burden and annual (non-hour)
costs for this collection will be 513,221 responses, 11,553,888 burden hours, and
$772,798,833 in annual (non-hour) cost. This is a reduction of 30,370 responses, but
an increase of 876,264 burden hours and $81,650,975 (or $529,597,757 using the cost
in the current automated system inventory) in annual costs over the currently approved
burden for this collection. The additional change of $447,946,782 is due to the
discrepancy ($529,597,757 minus $81,650,975).
The reduction in the number of responses and the increases in the burden hours and
annual (non-hour) costs are due to both program changes and administrative
adjustments.
Changes in Burden Estimates Since the 60-Day Federal Register Notice
In the 60-Day Federal Register Notice published on May 3, 2010 (75 Fed Reg. 23227),
the USPTO reported that the total annual (non-hour) costs for this collection would be
$771,767,698, which included a total postage cost of $820,953, a total recordkeeping
cost of $46,600 and a total drawing cost of $321,428,867. The USPTO now estimates,
however, that the total annual (non-hour) costs for this collection are $772,798,8333,
which includes a total postage cost of $825,528, a total recordkeeping cost of
$1,402,000, and a total drawing cost of $321,102,827.
While working on the final drafts of the 60-Day Notice, the USPTO discovered an
existing item, the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2), that had been
overlooked in previous submissions. This item was added into the collection and
reported in the 60-Day Notice, however, the responses were not included in the firstclass postage cost calculations. The USPTO estimates that 7,500 of these papers will
be mailed, using the first-class postage rate of 61 cents, for a total cost of $4,575. The
addition of the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2) increased the firstclass postage costs from $1,855 as reported in the 60-Day Notice to $6,430 reported in
this submission. This in turn increased the total postage costs for this collection from
$820,953 per year to $8825,528 per year.
In the 60-Day Notice, the USPTO estimated the recordkeeping time for keeping copies
of the acknowledgment receipts and the files of the applications submitted through EFSWeb at 5 seconds (0.001 hours). Since then, the USPTO has reestimated this time at 2
minutes (0.03 hours), which increases the recordkeeping costs for the EFS-Web
submissions to $1,399,200 per year. This change increased recordkeeping costs for
this collection from $49,400 per year as reported in the 60-Day Notice to $1,402,000 per
year.

In the 60-Day Notice, the USPTO reported that 26,475 design applications would be
submitted with drawings. This total included design continued prosecution applications
which use the same drawings that are submitted with the initial applications so are not
included in the drawing totals. The total number of design drawings without the design
continued prosecution applications should have been 25,760. The USPTO estimates
that the total design drawing costs are $11,746,560 per year instead of $12,072,600,
which is a decrease of $326,040 per year.
Therefore, the changes in the postage, recordkeeping, and drawing costs increase the
total annual (non-hour) costs for this collection by $1,031,135, from $771,767,698 as
reported in the 60-Day Notice to $772,798,833 as reported in this renewal submission.
Changes in Respondent Cost Burden
The respondent cost burden for this collection has increased since the previous renewal
due to new EFS-Web submissions, the addition of an existing requirement, and an
increase in the hourly rate used to calculate the respondent cost burden. These
changes offset an overall reduction in the number of responses for this collection. The
applications, petitions, and papers are all completed by attorneys. Based on figures
provided by the Committee on Economics of Legal Practice of the American Intellectual
Property Law Association, the estimated hourly billing rate for attorneys has increase
from $304 to $325.
The total respondent cost burden for the currently approved information collection is
$3,245,997,696 per year. With this renewal, the USPTO estimates that the total
respondent cost burden will increase by $509,015,904, to $3,755,013,600 per year.
Changes in Responses and Burden Hours
The USPTO estimates that the number of responses submitted annually for this
information collection will decrease by 30,370, from 543,591 to 513,221 responses per
year. However, due to changes in the estimated completion times for many of the
applications and additional electronic filings, the USPTO estimates that the total burden
hours for this collection will increase by 876,264 hours, from 10,677,624 to 11,553,888
burden hours per year. These changes are due to both program changes and
administrative adjustments, as follows:
•

The USPTO expects that the number of original new utility applications without an
application data sheet filed in paper will decrease for this renewal. The USPTO
estimates that the total number of responses will decrease by 108,550, from 116,000
to 7,450 responses per year. This reduction offsets an increase in the estimated
time to complete the applications from 30 hours to 33 hours and 12 minutes (33.2
hours). The USPTO estimates that the burden hours for this application will
decrease by 3,232,660 hours, from 3,480,000 to 247,340 hours per year.
Therefore, this collection has a burden decrease of 3,232,660 hours due to an
administrative adjustment.

•

The USPTO expects that the number of original new utility applications without an
application data sheet filed through EFS-Web will decrease as well. The USPTO
estimates that the total number of responses will decrease by 17,050, from 116,000
to 98,950 responses per year. This reduction offsets an increase in the estimated
time to complete the applications from 30 hours to 33 hours and 12 minutes (33.2
hours). The USPTO estimates that the burden hours for this application will
decrease by 194,860 hours, from 3,480,000 to 3,285,140 burden hours per year.
Therefore, this collection has a burden decrease of 194,860 hours due to an
administrative adjustment.

•

The USPTO expects that the number of original new plant applications without an
application data sheet filed will decrease for this renewal. The USPTO estimates
that the total number of responses will decrease by 455, from 1,115 to 660
responses per year. This reduction offsets an increase in the estimated time to
complete the applications from 7 hours to 7 hours and 36 minutes (7.6 hours). The
USPTO estimates that the burden hours for this application will decrease by 2,789
hours, from 7,805 to 5,016 hours per year. Therefore, this collection has a
burden decrease of 2,789 hours due to an administrative adjustment.

•

The USPTO expects that the number of original new design applications without an
application data sheet filed in paper will decrease for this renewal. The USPTO
estimates that the total number of responses will decrease by 9,882, from 10,677 to
795 responses per year. This reduction offsets an increase in the estimated time to
complete the applications from 5 hours to 5 hours and 48 minutes (5.8 hours). The
USPTO estimates that the burden hours for this application will decrease by 48,774
hours, from 53,385 to 4,611 hours per year. Therefore, this collection has a
burden decrease of 48,774 hours due to an administrative adjustment.

•

The USPTO expects that the number of original new design applications without an
application data sheet filed through EFS-Web will decrease slightly for this renewal.
The USPTO estimates that the total number of responses will decrease by 133, from
10,678 to 10,545 responses per year. This does not offset the increase in the
estimated time to complete the applications, which has increased to 5 hours and 48
minutes (5.8 hours) as well. The USPTO estimates that the burden hours for this
application will increase by 7,771 hours, from 53,390 to 61,161 hours per year.
Therefore, this collection has a burden increase of 7,771 hours due to an
administrative adjustment.

•

The USPTO expects that the number of original new utility applications with an
application data sheet filed in paper will decrease for this renewal. The USPTO
estimates that the total number of responses will decrease by 17,830, from 29,000 to
11,170 responses per year. This reduction offsets an increase in the estimated time
to complete the applications from 29 hours and 48 minutes (29.8) to 33 hours and 12
minutes (33.2 hours). The USPTO estimates that the burden hours for this
application will decrease by 493,356 hours, from 864,200 to 370,844 hours per year.
Therefore, this collection has a burden decrease of 493,356 hours due to an
administrative adjustment.
30

•

The USPTO expects that the number of original new utility applications with an
application data sheet filed through EFS-Web will increase for this renewal. The
USPTO estimates that the total number of responses will increase by 119,430, from
29,000 to 148,430 responses per year. The estimated time to complete the EFSWeb applications has increased to 33 hours and 12 minutes (33.2 hours) as well.
The USPTO estimates that the burden hours for this application will increase by
4,063,676 hours, from 864,200 to 4,927,876 hours per year. Therefore, this
collection has a burden increase of 4,063,676 hours due to an administrative
adjustment.

•

The USPTO expects that the number of original new plant applications with an
application data sheet filed will increase for this renewal. The USPTO estimates that
the total number of responses will increase by 65, from 285 to 350 responses per
year. The USPTO also estimates that the time to complete the application will
increase from 6 hours and 48 minutes (6.8 hours) to 7 hours and 36 minutes (7.6
hours). The USPTO estimates that the burden hours for this application will
increase by 722 hours, from 1,938 to 2,660 hours per year. Therefore, this
collection has a burden increase of 722 hours due to an administrative
adjustment.

•

The USPTO expects that the number of original new design applications with an
application data sheet filed in paper will decrease for this renewal. The USPTO
estimates that the total number of responses will decrease by 1,702, from 2,672 to
970 responses per year. This reduction offsets an increase in the estimated time to
complete the application from 4 hours and 48 minutes (4.8 hours) to 5 hours and 48
minutes (5.8 hours). The USPTO estimates that the burden hours for this
application will decrease by 7,200 hours, from 12,826 to 5,626 hours per year.
Therefore, this collection has a burden decrease of 7,200 hours due to an
administrative adjustment.

•

However, the USPTO expects that the number of original new design applications
with an application data sheet filed through EFS-Web will increase for this renewal.
The USPTO estimates that the total number of responses will increase by 10,217,
from 2,673 to 12,890 responses per year. The estimated time to complete the EFSWeb applications has increased to 5 hours and 48 minutes (5.8 hours) as well. The
USPTO estimates that the burden hours for this application will increase by 61,932
hours, from 12,830 to 74,762 hours per year. Therefore, this collection has a
burden increase of 61,932 hours due to an administrative adjustment.

•

The USPTO expects that the number of continuations/divisionals of international
applications filed in paper will decrease for this renewal. The USPTO estimates that
the total number of responses will decrease by 6,820, from 7,560 to 740 responses
per year. This reduction offsets a slight increase in the estimated time to complete
the application from 3 hours to 3 hours and 18 minutes (3.3 hours). The USPTO
estimates that the burden hours for this application will decrease by 20,238 hours,
from 22,680 to 2,442 hours per year. Therefore, this collection has a burden
decrease of 20,238 hours due to an administrative adjustment.

•

The public can now continuations/divisionals of international applications
electronically through EFS-Web in addition to filing them in paper. The USPTO is
taking this opportunity to add the EFS-Web submissions into the collection. The
USPTO estimates that 9,840 applications will be filed through EFS-Web per year
and that it will take 3 hours and 18 minutes (3.3 hours) to complete them. The
USPTO estimates that these EFS-Web submissions will add 32,472 hours to the
collection per year. Therefore, this collection has a burden increase of 32,472
hours due to a program change.

•

The USPTO expects that the number of utility continuation/divisional applications
filed in paper will decrease for this renewal. The USPTO estimates that the total
number of responses will decrease by 54,310, from 56,930 to 2,620 responses per
year. This reduction offsets a slight increase in the estimated time to complete the
application from 3 hours to 3 hours and 18 minutes (3.3 hours). The USPTO
estimates that the burden hours for this application will decrease by 162,144 hours,
from 170,790 to 8,646 hours per year. Therefore, this collection has a burden
decrease of 162,144 hours due to an administrative adjustment.

•

The public can file utility continuation/divisional applications electronically through
EFS-Web in addition to filing them in paper. The USPTO is taking this opportunity to
add the EFS-Web submissions into the collection. The USPTO estimates that
34,900 applications will be filed through EFS-Web per year and that it will take 3
hours and 18 minutes (3.3 hours) to complete them. The USPTO estimates that
these EFS-Web submissions will add 115,170 hours to the collection per year.
Therefore, this collection has a burden increase of 115,170 hours due to a
program change.

•

The USPTO expects that the number of plant continuation/divisional applications
filed will decrease for this renewal. The USPTO estimates that the total number of
responses will decrease by 80, from 230 to 150 responses per year. This reduction
offsets a slight increase in the estimated time to complete the application from 2
hours to 2 hours and 12 minutes (2.2 hours). The USPTO estimates that the burden
hours for the application will decrease by 130 hours, from 460 to 330 hours per year.
Therefore, this collection has a burden decrease of 130 hours due to an
administrative adjustment.

•

The USPTO expects that the number of design continuation/divisional applications
filed in paper will decrease for this renewal. The USPTO estimates that the total
number of responses will decrease by 595, from 750 to 155 responses per year.
This reduction offsets a very slight increase in the estimated time to complete the
application from 1 hour to 1 hour and 6 minutes (1.1 hours). The USPTO estimates
that the burden hours for the application will decrease by 579 hours, from 750 to 171
hours per year. Therefore, this collection has a burden decrease of 579 hours
due to an administrative adjustment.

•

The public can file design continuation/divisional applications electronically through
EFS-Web in addition to filing them in paper. The USPTO is taking this opportunity to

add the EFS-Web submissions into the collection. The USPTO estimates that 2,085
applications will be filed through EFS-Web per year and that it will take 1 hour and 6
minutes (1.1 hours) to complete them. The USPTO estimates that these EFS-Web
submissions will add 2,294 hours to the collection per year. Therefore, this
collection has a burden increase of 2,294 hours due to a program change.
•

The USPTO expects that the number of continued prosecution applications – design
(request transmittal and receipt) filed in paper will decrease for this renewal. The
USPTO estimates that the total number of responses will decrease by 210, from 260
to 50 responses per year. The USPTO estimates that the reduced filings will
decrease the burden hours for the application by 84 hours, from 104 to 20 hours per
year. Therefore, this collection has a burden decrease of 84 hours due to an
administrative adjustment.

•

The public can file continued prosecution applications – design (request transmittal
and receipt) electronically through EFS-Web in addition to filing them in paper. The
USPTO is taking this opportunity to add the EFS-Web submissions into the
collection. The USPTO estimates that 665 applications will be filed through EFSWeb per year and that it will take 24 minutes (0.4 hours) to complete them. The
USPTO estimates that these EFS-Web submissions will add 266 hours to the
collection per year. Therefore, this collection has a burden increase of 266
hours due to a program change.

•

The USPTO expects that the number of utility continuation-in-part applications filed
in paper will decrease for this renewal. The USPTO estimates that the total number
of responses will decrease by 16,940, from 17,720 to 780 responses per year. This
reduction offsets an increase in the estimated time to complete the applications from
15 hours to 16 hours and 30 minutes (16.5 hours). The USPTO estimates that the
burden hours for the application will decrease by 252,930 hours, from 265,800 to
12,870 hours per year. Therefore, this collection has a burden decrease of
252,930 hours due to an administrative adjustment.
The public can file utility continuation-in-part applications electronically through EFSWeb in addition to filing them in paper. The USPTO is taking this opportunity to add
the EFS-Web submissions into the collection. The USPTO estimates that 10,340
applications will be filed through EFS-Web per year and that it will take 16 hours and
30 minutes (16.5 hours) to complete them. The USPTO estimates that these EFSWeb submissions will add 170,610 hours to the collection per year. Therefore, this
collection has a burden increase of 170,610 hours due to a program change.

•

The USPTO expects that the number of plant continuation-in-part applications filed
will decrease for this renewal. The USPTO estimates that the total number of
responses will decrease by 35, from 70 to 35 responses per year. This reduction
offsets a very slight increase in the estimated time to complete the applications from
3 hours and 30 minutes (3.5 hours) to 3 hours and 48 minutes (3.8 hours). The
USPTO estimates that the burden hours for this application will decrease by 112
hours, from 245 to 133 hours per year. Therefore, this collection has a burden
decrease of 112 hours due to an administrative adjustment.

•

The USPTO expects that the number of design continuation-in-part applications filed
in paper will decrease for this renewal. The USPTO estimates that the total number
of responses will decrease by 440, from 480 to 40 responses per year. This
reduction offsets a very slight increase in the estimated time to complete the
applications from 2 hours and 30 minutes (2.5 hours) to 2 hours and 42 minutes (2.7
hours). The USPTO estimates that the burden hours for this application will
decrease by 1,092 hours, from 1,200 to 108 hours per year. Therefore, this
collection has a burden decrease of 1,092 hours due to an administrative
adjustment.

•

The public can file design continuation-in-part applications electronically through
EFS-Web in addition to filing them in paper. The USPTO is taking this opportunity to
add the EFS-Web submissions into the collection. The USPTO estimates that 520
applications will be filed through EFS-Web per year and that it will take 2 hours and
42 minutes (2.7 hours) to complete them. The USPTO estimates that these EFSWeb submissions will add 1,404 hours to the collection per year. Therefore, this
collection has a burden increase of 1,404 hours due to a program change.

•

The USPTO expects that the number of provisional application for patent cover
sheets filed in paper will decrease for this renewal. The USPTO estimates that the
total number of responses will decrease by 86,350, from 96,680 to 10,330
responses per year. This reduction offsets an increase in the estimated time to
complete the applications from 10 hours to 15 hours. The USPTO estimates that the
burden hours for the application will decrease by 811,850 hours, from 966,800 to
154,950 hours per year. Therefore, this collection has a burden decrease of
811,850 hours due to an administrative adjustment.

•

However, the USPTO expects that the number of provisional application for patent
cover sheets filed through EFS-Web will increase for this renewal. The USPTO
estimates that the total number of responses will increase by 95,730, from 41,490 to
137,220 responses per year. The estimated time to complete the EFS-Web
applications has increased to 15 hours as well. The USPTO estimates that the
burden hours for the application will increase by 1,643,400 hours, from 414,900 to
2,058,300 hours per year. Therefore, this collection has a burden increase of
1,643,400 hours due to an administrative adjustment.

•

The USPTO expects that the number of petitions to accept unintentionally delayed
priority/benefit claims filed will increase for this renewal. The USPTO estimates that
the total number of responses will increase by 170, from 920 to 1,090 responses per
year. The USPTO estimates that the increased filings will increase the burden hours
for this petition by 170 hours, from 920 to 1,090 hours per year. Therefore, this
collection has a burden increase of 170 hours due to an administrative
adjustment.

•

The USPTO expects that the number of petitions to accept non-signing inventors or
legal representatives/filing by other than all the inventors or a person not the inventor
filed will decrease for this renewal. The USPTO estimates that the total number of

responses will decrease by 450, from 2,400 to 1,950 responses per year. The
USPTO estimates that the reduced filings will decrease the burden hours for the
application by 450 hours, from 2,400 to 1,950 hours per year. Therefore, this
collection has a burden decrease of 450 hours due to an administrative
adjustment.
•

The papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2) are an existing information
requirement which is being submitted for OMB review at this time. The USPTO
estimates that 7,500 of these papers will be submitted and that it will take 45
minutes (.75 hours) to complete them. The USPTO estimates that these papers will
add 5,625 hours to the collection per year. Therefore, this collection has a
burden increase of 5,625 hours due to a program change.

The USPTO estimates that the total burden hours for this collection will increase by
876,264 hours, from 10,677,624 to 11,553,888 hours per year. The USPTO estimates
that 327,841 hours will be added to the burden for this collection as a result of program
changes. The USPTO estimates that 5,229,248 hours will be reduced from the
collection’s burden as a result of administrative adjustments. However, the USPTO
estimates that this reduction will be offset by an increase of 5,777,671 hours, for a net
total burden increase of 548,423 hours per year due to an administrative adjustment. In
sum, this information collection has a total burden increase of 876,264 hours per
year due to an increase of 327,841 hours in program changes, in addition to an
increase of 548,423 hours in administrative adjustments.
Changes in Annual (Non-Hour) Costs
For this renewal, the USPTO estimates that the annual (non-hour) costs for this
collection will increase by $81650,975, from $691,147,858 to $772,798,833 per year.
This change is due to both program changes and administrative adjustments, as
follows:
•

The USPTO is estimating the capital start-up costs associated with submitting patent
applications with large computer program listings or mega tables on CD-ROM or
CD-R disks differently for this renewal. Since the items needed to produce the CDROM and CD-R disks are available in a variety of configurations, and since this
collection covers many applicants and their specific filing situations, the USPTO
determined that using averages of the possible costs would provide a better
accounting of the capital start-up costs. To do this, the USPTO researched the
costs for the various supplies and then used averages of the possible costs for the
various quantities and configurations of the blank CD-R media, software, and mailing
envelopes and included costs for purchasing jewel cases for the CD-R disks
separately. As a result of this research, the USPTO estimates that it could cost
applicants an average of $96.73 to obtain these supplies as opposed to $42
estimated for the last renewal. The USPTO also estimates that the number of
applications submitted with CD-ROM or CD-R disks will increase by 229
applications, from 3 to 232 applications per year. The USPTO estimates that the
capital start-up costs for this collection will increase by $22,315, from $126 to

$22,441 per year. Therefore, this collection has an increase of $22,315 in
capital start-up costs due to an administrative adjustment.
•

Applicants can file their initial patent applications by Express Mail to establish the
filing date. The USPTO estimates that the average postage rate for these
submissions will increase from $18.80 to $22.56 for this renewal. However, the
USPTO believes that 304,134 fewer applications will be mailed by Express Mail
during this renewal period, from the currently approved 340,429 to 36,295
applications per year. This reduction offsets the increase in the Express Mail
postage rate. Consequently, the USPTO estimates that the postage costs for this
collection will decrease by $5,581,250, from $6,400,065 to $818,815 per year.
Therefore, this collection takes a burden reduction of $5,581,250 in Express
Mail postage costs as an administrative adjustment.

•

The USPTO estimates that the first-class postage rate for mailing petitions will
decrease from 63 cents to 61 cents for this renewal. The USPTO also expects that
the number of petitions mailed using first-class postage will decrease by 280
applications, from 3,321 to 3,041 applications per year. The USPTO estimates that
these changes will decrease the first-class postage costs by $237, from $2,092 to
$1,855 per year. Therefore, this collection has a reduction of $237 in first-class
postage costs due to an administrative adjustment.

•

The USPTO is adding the papers filed under 37 CFR 1.41, 1.48, and 1.53 (c)(2) into
the collection as part of this renewal submission. The USPTO estimates that 7,500
of these papers will be mailed using the first-class postage rate of 61 cents. The
USPTO estimates that these papers will add $4,575 in first-class postage costs to
the collection. Therefore, this collection has an increase of $4,575 in first-class
postage costs due to a program change.

•

The USPTO expects that the average postage rate to mail the oversized CD
submissions will increase from 95 cents to $1.22 per submission as a result of
changes in the size of mailing envelopes and weight used to determine the postage.
The USPTO also expects that the number of applications with oversized program
listings/mega tables will increase by 229 submissions, from 3 to 232 submissions
per year. The USPTO estimates that these changes will increase the costs for
mailing these oversized submissions by $280, from $3 to $283 per year. Therefore,
this collection has an increase of $280 in postage costs for the oversized
submissions due to an administrative adjustment.

•

The USPTO advises applicants who submit applications with oversized computer
program listings and mega tables on CD to retain a back-up copy of the CD and a
printed copy of the application transmittal for their records. The USPTO estimates
that the number of applications submitted on CDs will increase by 229 applications,
from 3 to 232 applications per year. The USPTO expects that it will still take 7
minutes (0.12 hours) for a paraprofessional to produce these back-up copies, but at
an estimated hourly rate of $100 instead of $90. The USPTO estimates that these

changes will increase the associated recordkeeping costs for the CD submissions by
$2,768, from $32 to $2,800 per year. Therefore, this collection has an increase
of $2,768 in recordkeeping costs for the oversized submissions due to an
administrative adjustment.
•

Applicants who file their applications through EFS-Web are advised to retain a copy
of the file submitted to the USPTO as evidence of authenticity in addition to keeping
the acknowledgement receipt as clear evidence that the file was received by the
USPTO on the date noted. In the previous renewal, the USPTO estimated that
199,841 applications would be submitted through EFS-Web, that it would take 5
seconds (0.001 hours) to print and retain a copy of the acknowledgement receipt,
and that para-professionals at an hourly rate of $90 would perform this task. For this
renewal, the USPTO estimates that 408,035 of these applications will be submitted
through EFS-Web and that it will 2 minutes (0.03 hours) instead of 5 seconds to
retain a copy of the file and printing the acknowledgement receipt. The USPTO still
expects that para-professionals will perform this task, but now estimates that the
hourly rate will increase to $100. Overall, the USPTO estimates that the
recordkeeping costs associated with these applications will increase by $1,206,100,
from $18,000 to $1,224,100 per year. Therefore, this collection has an increase
of $1,206,100 in recordkeeping costs for EFS-Web submissions due to an
administrative adjustment.

•

Continuations and divisional applications of international applications, utility
continuation and divisional applications, design continuation/divisional applications,
continued prosecution applications – design, utility continuation-in-part applications,
and design continuation-in-part applications can be filed electronically through EFSWeb and are being added into the collection at this time. The USPTO estimates that
58,350 of these applications will be submitted through EFS-Web, for a
recordkeeping cost of $175,100 per year. Therefore, this collection has an
increase of $175,100 in recordkeeping costs for new EFS-Web submissions
due to a program change.

•

In order to get a better accounting of the possible drawing costs for the utility
applications, the USPTO researched costs from various patent illustration firms and
took the average of all the costs found to calculate the per sheet cost instead of
taking the average of the high and low costs used in the previous submission.
Based on this calculation, the USPTO estimates that the per sheet cost to produce
the utility drawings will increase from $58 to $85, which increases the average cost
of the utility drawings from $638 to $935. This increase in drawing cost is offset by
expected decreases in the overall number of utility applications submitted with
drawings. The USPTO estimates that out of 277,120 utility applications, only
252,179 applications will be submitted with drawings, as opposed to the last renewal
when the USPTO estimated that 280,025 out of 307,720 utility applications would be
submitted with drawings. The USPTO estimates that the total utility drawing costs
will increase by $57,131,415, from $178,655,950 to $235,787,365 per year.

Therefore, this collection has an increase of $57,131,415 in drawing costs for
utility applications due to an administrative adjustment.
•

The drawing costs for the design applications were recalculated in the same manner
as the utility applications. The USPTO now estimates the per sheet cost to produce
the design drawings will increase from $68 to $95, which increases the average cost
of the design drawings from $326 to $456. The USPTO expects fewer design
applications to be submitted with drawings – 25,760 as opposed to 27,440 from the
last renewal – but does not expect that the reduction in submissions will entirely
offset the increase in the average cost. The USPTO estimates that the total design
drawing costs will increase by $2,801,120, from $8,945,440 to $11,746,560 per year.
Therefore, this collection has an increase of $2,801,120 due to an
administrative adjustment.

•

In order to get a better accounting of the possible drawing costs for the plant
applications, the USPTO researched costs from various patent illustration firms,
including costs for photographs as well as drawings, and took the average of all the
costs found to calculate the per sheet cost instead of using the lowest rate as in the
previous submission. Based on this calculation, the USPTO estimates the per sheet
cost to produce the plant drawings/photographs will increase from $35 to $68 per
sheet, which increases the average plant drawing/photograph costs from $70 to
$136 per year. The USPTO estimates that fewer plant applications will be submitted
with drawings/photographs, from 1,470 to an estimated 1,045. The USPTO expects
this reduction will offset the increase in the average cost to produce the drawings.
The USPTO estimates that the total cost for the plant drawings will increase by
$39,220, from $102,900 to $142,120 per year. Therefore, this collection has an
increase of $39,220 in drawing costs for plant applications due to an
administrative adjustment.

•

The drawing costs for the provisional applications were recalculated in the same
manner as the utility applications. The USPTO now estimates the per sheet cost to
produce the provisional drawings will increase from $58 to $85, which increases the
average provisional drawing costs from $435 to $638. The USPTO also expects
that the number of provisional applications submitted with drawings will increase
from 107,773 to 115,089. The USPTO estimates that the total costs for the
provisional drawings will increase by $26,545,527, from $46,881,255 to $73,426,782
per year. Therefore, this collection has an increase of $26,545,527 in drawing
costs for provisional applications due to an administrative adjustment.

•

The USPTO expects the public will file fewer original new utility applications without
application data sheets (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 75,615, from 81,200 to
5,585 responses per year. This reduction offsets an increase in the filing fees for
these applications, from $1,000 to $1,090 per year. The USPTO estimates that the
total filing fee costs for this application will decrease by $75,112,350, from
$81,200,000 to $6,087,650 per year, with an increase of $502,650 due to the
increased filing fees offset by a decrease of $75,615,000 due to reduced filings.

Therefore this collection has a reduction of $75,112,350 in filing fees, with an
increase of $502,650 due to program changes and a reduction of $75,615,000
due to an administrative adjustment.
•

The USPTO expects fewer original new utility applications without an application
data sheet (small entity) to be filed in paper for this renewal. The USPTO estimates
that the number of submissions will decrease by 32,935, from 34,800 to 1,865
responses per year. This reduction offsets an increase in the filing fees for these
applications, from $500 to $545 per year. The USPTO estimates that the total filing
fee costs for these applications will decrease by $16,383,575, from $17,400,000 to
$1,016,425 per year, with an increase of $83,925 due to increased filing fees offset
by a decrease of $16,467,500 due to reduced filings. Therefore, this collection
has a reduction of $16,383,575 in filing fees, with an increase of $83,925 due to
a program change and a reduction of $16,467,500 due to an administrative
adjustment.

•

The USPTO expects fewer original new utility applications without an application
data sheet (other entity), to be filed electronically for this renewal. The USPTO
estimates that the number of submissions will decrease by 6,990, from 81,200 to
74,210 responses per year. This reduction offsets an increase in the filing fees for
these applications, from $1,000 to $1,090 per year. The USPTO estimates that the
total filing fee costs for these electronic applications will decrease by $311,100, from
$81,200,000 to $80,888,900 per year, with an increase of $6,678,900 due to
increased filing fees offset by a decrease of $6,990,000 due to reduced filings.
Therefore, this collection has a reduction of $311,100 in filing fees, with an
increase of $6,678,900 due to program changes and a reduction of $6,990,000
due to an administrative adjustment.

•

The USPTO expects fewer original new utility applications without an application
data sheet (small entity), to be filed electronically for this renewal. The USPTO
estimates that the number of submissions will decrease by 10,060, from 34,800 to
24,740 responses per year. This reduction offsets increased filing fees for these
applications, from $425 to $462. The USPTO estimates that the total filing fee costs
will decrease by $3,360,120, from $14,790,000 to $11,429,880 per year, with an
increase of $915,380 due to increased filing fees offset by a decrease of $4,275,500
due to reduced filings. Therefore, this collection has a reduction of $3,360,120
in filings fees, with an increase of $915,380 due to a program change and a
reduction of $4,275,500 due to an administrative adjustment.

•

The USPTO expects that the public will file fewer original new plant applications
without application data sheets (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 285, from 780 to 495
responses per year. This reduction offsets an increase in the filing fees for these
applications from $660 to $720. The USPTO estimates that the total filing fee costs
for these applications will decrease by $158,400, from $514,800 to $356,400 per
year, with an increase of $29,700 due to increased filing fees offset by a decrease of
$188,100 due to reduced filings. Therefore, this collection has a reduction of

$158,400 in filing fees, with an increase of $29,700 due to a program change
and a reduction of $188,100 due to an administrative adjustment.
•

The USPTO expects fewer original new plant applications without an application
data sheet (small entity), to be filed in paper for this renewal. The USPTO estimates
that the number of submissions will decrease by 170, from 335 to 165 responses per
year. This reduction offsets an increase in the filing fees from $330 to $360. The
USPTO estimates that the total filing fee costs for these applications will decrease
by $51,150, from $110,550 to $59,400, with an increase of $4,950 due to increased
filing fees offset by a decrease of $56,100 due to reduced filings. Therefore, this
collection has a reduction of $51,150 in filing fees, with an increase of $4,950
due to a program change and a reduction of $56,100 due to an administrative
adjustment.

•

The USPTO expects that the public will file fewer original new design applications
without an application data sheet (other entity), in paper for this renewal. The
USPTO estimates that the number of submissions will decrease by 4,817, from
5,232 to 415 responses per year. This reduction offsets an increase in the filing fees
from $430 to $460. The USPTO estimates that the total filing fee costs for these
applications will decrease by $2,058,860, from $2,249,760 to $190,900 per year,
with an increase of $12,450 due to increased filing fees offset by a decrease of
$2,071,310 due to reduced filings. Therefore, this collection has a reduction of
$2,058,860 in filing fees, with an increase of $12,450 due to a program change
and a reduction of $2,071,310 due to an administrative adjustment.

•

The USPTO expects that fewer original new design applications without an
application data sheet (small entity), will be filed in paper for this renewal. The
USPTO estimates that the number of submissions will decrease by 5,065, from
5,445 to 380 responses per year. This reduction offsets an increase in the filing fees
from $214 to $230. The USPTO estimates that the total filing fee costs for these
applications will decrease by $1,083,275, from $1,170,675 to $87,400 per year, with
an increase of $5,700 due to increased filing fees offset by a decrease of $1,088,975
due to reduced filings. Therefore, this collection has a reduction of $1,083,275
in filing fees, with an increase of $5,700 due to a program change and a
reduction of $1,088,975 due to an administrative adjustment.

•

The USPTO expects that the public will file more original new design applications
without an application data sheet (other entity), electronically for this renewal. The
USPTO estimates that the number of submissions will increase by 253, from 5,232
to 5,485 responses per year. The filing fees for these applications will increase as
well, from $430 to $460. The USPTO estimates that the total filing fee costs for this
application will increase by $273,340, from $2,249,760 to $2,523,100 per year, with
an increase of $164,550 due to increased filing fees in addition to an increase of
$108,790 due to increased filings. Therefore, this collection has an increase of
$273,340 in filing fees, with an increase of $164,550 due to a program change
and an increase of $108,790 due to an administrative adjustment.

•

The USPTO expects that the public will file fewer original new design applications
without an application data sheet (small entity), electronically for this renewal. The
USPTO estimates that the number of submissions will decrease by 386, from 5,446
to 5,060 responses per year. This reduction offsets increased filing fees for these
applications, from $215 to $230. The USPTO estimates that the total filing fee costs
for these applications will decrease by $7,090, from $1,170,890 to $1,163,800 per
year, with an increase of $75,900 due to increased filing fees offset by a decrease of
$82,990 due to reduced filings. Therefore, this collection has a reduction of
$7,090 in filing fees, with an increase of $75,900 due to a program change and
a reduction of $82,990 due to an administrative adjustment.

•

The USPTO expects that the public will file fewer original new utility applications with
an application data sheet (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 11,920, from 20,300 to
8,380 responses per year. This reduction offsets an increase in the filing fees from
$1,000 to $1,090. The USPTO estimates that the total filing fee costs for this
application will decrease by $11,165,800, from $20,300,000 to $9,134,200 per year,
with an increase of $754,200 due to increased filing fees offset by a decrease of
$11,920,000 due to reduced filings. Therefore, this collection has a reduction of
$11,165,800 in filing fees, with an increase of $754,200 due to a program
change and a reduction of $11,920,000 due to an administrative adjustment.

•

The USPTO expects fewer original new utility applications with an application data
sheet (small entity), to be filed in paper for this renewal. The USPTO estimates that
the number of submissions will decrease by 5,910, from 8,700 to 2,790 responses
per year. This reduction offsets an increase in the filing fees from $500 to $545.
The USPTO estimates that the total filing fee costs for this application will decrease
by $2,829,450, from $4,350,000 to $1,520,550 per year, with an increase of
$125,550 due to increased filing fees and a decrease of $2,955,000 due to reduced
filings. Therefore, this collection has a reduction of $2,829,450 in filing fees,
with an increase of $125,550 due to a program change and a reduction of
$2,955,000 due to an administrative adjustment.

•

The USPTO expects that the number of original new utility applications with an
application data sheet (other entity), filed electronically will increase during this
renewal period. The USPTO estimates that the number of submissions will increase
by 91,025, from 20,300 to 111,325 responses per year. The filing fees for these
applications will increase as well from $1,000 to $1,090. The USPTO estimates that
the total filing fee costs for these applications will increase by $101,044,250, from
$20,300,000 to $121,344,250 per year, with an increase of $10,019,250 due to
increased filing fees and an increase of $91,025,000 due to increased filings.
Therefore, this collection has an increase of $101,044,250 in filing fees, with an
increase of $10,019,250 due to a program change and an increase of
$91,025,000 due to an administrative adjustment.

•

The USPTO expects that the number of original new utility applications with an
application data sheet (small entity), filed electronically will increase for this renewal.

The USPTO estimates that the number of submissions will increase by 28,405, from
8,700 to 37,105 responses per year. The filing fees will increase as well from $425
to $462. The USPTO estimates that the total filing fee costs for these applications
will increase by $13,445,010, from $3,697,500 to $17,142,510 per year, with an
increase of $1,372,885 due to increased filing fees and an increase of $12,072,125
due to increased filings.
Therefore, this collection has an increase of
$13,445,010 in filing fees, with an increase of $1,372,885 due to a program
change and an increase of $12,072,125 due to an administrative adjustment.
•

The USPTO expects that the public will file more original new plant applications with
an application data sheet (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will increase by 60, from 200 to 260
responses per year. The filing fees will increase as well from $660 to $720. The
USPTO estimates that the total filing fee costs for this application will increase by
$55,200, from $132,000 to $187,200 per year, with an increase of $15,600 due to
increased filing fees and an increase of $39,600 due to increased filings. Therefore,
this collection has an increase of $55,200 in filing fees, with an increase of
$15,600 due to a program change and an increase of $39,600 due to an
administrative adjustment.

•

The USPTO expects that the number of original new plant applications with an
application data sheet (small entity), filed in paper will increase for this renewal
period. The USPTO estimates that the number of submissions will increase by 5,
from 85 to 90 responses per year. The filing fees will increase as well from $330 to
$360. The USPTO estimates that the total filing fee costs for this application will
increase by $4,350, from $28,050 to $32,400 per year, with an increase of $2,700
due to increased filing fees and an increase of $1,650 due to increase filings.
Therefore, this collection has an increase of $4,350 in filing fees, with an
increase of $2,700 due to a program change and an increase of $1,650 due to
an administrative adjustment.

•

The USPTO expects that the public will file fewer original new design applications
with an application data sheet (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 804, from 1,309 to 505
responses per year. This reduction offsets an increase in the filing fees from $430 to
$460. The USPTO estimates that the total filing fee costs for this application will
decrease by $330,570, from $562,870 to $232,300 per year, with an increase of
$15,150 due to increased filing fees offset by a decrease of $345,720 due to
reduced filings. Therefore, this collection has a reduction of $330,570 in filing
fees, with an increase of $15,150 due to a program change and a reduction of
$345,720 due to an administrative adjustment.

•

The USPTO expects fewer original new design applications with an application data
sheet (small entity), will be filed in paper for this renewal. The USPTO estimates
that the number of submissions will decrease by 898, from 1,363 to 465 responses
per year. This reduction offsets an increase in the filing fees from $215 to $230.
The USPTO estimates that the total filing fee costs for this application will decrease

by $186,095, from $293,045 to $106,950 per year, with an increase of $6,975 due to
increased filing fees offset by a decrease of $193,070 due to reduced filings.
Therefore, this collection has a reduction of $186,095 in filing fees, with an
increase of $6,975 due to a program change and a reduction of $193,070 due
to an administrative adjustment.
•

The USPTO expects that the public will file more new design applications with an
application data sheet (other entity), electronically for this renewal. The USPTO
estimates that the number of submissions will increase by 5,390, from 1,310 to
6,700 responses per year. The filing fees will increase as well from $430 to $460.
The USPTO estimates that the total filing fee costs for this application will increase
by $2,518,700, from $563,300 to $3,082,000 per year, with an increase of $201,000
due to increased filing fees and an increase of $2,317,700 due to increased filings.
Therefore, this collection has an increase of $2,518,700 in filing fees, with an
increase of $201,000 due to a program change and an increase of $2,317,700
due to an administrative adjustment.

•

The USPTO also expects that the public will file more new design applications with
an application data sheet (small entity), electronically for this renewal. The USPTO
estimates that the number of submissions will increase by 4,827, from 1,363 to
6,190 responses per year. The filing fees will increase as well from $215 to $230.
The USPTO estimates that the total filing fee costs for this application will increase
by $1,130,655, from $293,045 to $1,423,700 per year, with an increase of $92,850
due to increased filing fees and an increase of $1,037,805 due to increased filings.
Therefore, this collection has an increase of $1,130,655 in filing fees, with an
increase of $92,850 due to a program change and an increase of $1,037,805
due to an administrative adjustment.

•

The USPTO expects the public to file fewer continuations/divisionals of an
international application (other entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 5,420, from 5,990 to 570
per year. This reduction offsets an increase in the filing fees from $1,000 to $1,090.
The USPTO estimates that the total filing fee costs for this application will decrease
by $5,368,700, from $5,990,000 to $621,300 per year, with an increase of $51,300
due to increased filing fees offset by a decrease of $5,420,000 due to reduced
filings. Therefore, this collection has a reduction of $5,368,700 in filing fees,
with an increase of $51,300 due to a program change and a reduction of
$5,420,000 due to an administrative adjustment.

•

The USPTO also expects that the public will file fewer continuation/divisional of an
international application (small entity), in paper for this renewal. The USPTO
estimates that the number of submissions will decrease by 1,400, from 1,570 to 170
responses per year. This reduction offsets an increase in the filing fees from $500 to
$545. The USPTO estimates that the total filing fee costs for this application will
decrease by $692,350, from $785,000 to $92,650, with an increase of $7,650 due to
increased filing fees offset by a decrease of $700,000 due to reduced filings.
Therefore, this collection has a reduction of $692,350 in filing fees, with an

increase of $7,650 due to a program change and a reduction of $700,000 due
to an administrative adjustment.
•

The continuation/divisional of an international application (other entity), can be filed
electronically as well as in paper. They are being added into the collection at this
time. The USPTO estimates that 7,580 applications will be filed electronically, with a
filing fee of $1,090 and a total filing fee cost of $8,262,200. Therefore, this
collection has an increase of $8,262,200 in filing fees as a program change.

•

The continuation/divisional of an international application (small entity), can be filed
electronically and is being added into the collection at this time. The USPTO
estimates that 2,260 applications will be filed electronically, with a filing fee of $462
and a total filing fee cost of $1,044,120. Therefore, this collection has an
increase of $1,044,120 in filing fees as a program change.

•

The USPTO expects that the public will file fewer utility continuation/divisional
applications (other entity), in paper for this renewal. The USPTO estimates that the
number of submissions will decrease by 38,455, from 40,420 to 1,965 responses per
year. This reduction offsets an increase in the filing fees from $1,000 to $1,090.
The USPTO estimates that the total filing fee costs for this application will decrease
by $38,278,150, from $40,420,000 to $2,141,850 per year, with an increase of
$176,850 due to increased filing fees offset by a decrease of $38,455,000 in
reduced filings. Therefore, this collection has a reduction of $38,278,150 in
filing fees, with an increase of $176,850 due to a program change and a
reduction of $38,455,000 due to an administrative adjustment.

•

The USPTO also expects that fewer utility continuation/divisional applications (small
entity), will be filed in paper for this renewal. The USPTO estimates that the number
of submissions will decrease by 15,855, from 16,510 to 655 responses per year.
This reduction is offset by an increase in the filing fees from $500 to $545. The
USPTO estimates that the total filing fee costs for this application will decrease by
$7,898,025, from $8,255,000 to $356,975 per year, with an increase of $29,475 due
to increased filing fees offset by a decrease of $7,927,500 due to reduced filings.
Therefore, this collection has a reduction of $7,898,025 in filing fees, with an
increase of $29,475 due to a program change and a reduction of $7,927,500
due to an administrative adjustment.

•

The utility continuation/divisional applications (other entity), can be filed
electronically and are being added into the collection at this time. The USPTO
estimates that 26,175 applications will be filed electronically, with a filing fee of
$1,090 and a total filing fee cost of $28,530,750. Therefore, this collection has an
increase of $28,530,750 in filing fees as a program change.

•

In addition, the utility continuation/divisional applications (small entity), can be filed
electronically and are being added into the collection at this time. The USPTO
estimates that 8,725 applications will be filed electronically, with a filing fee of $462

and a total filing fee cost of $4,030,950. Therefore, this collection has an
increase of $4,030,950 in filing fees as a program change.
•

The USPTO expects that the public will file fewer plant continuation/divisional
applications (other entity) for this renewal. The USPTO estimates that the total
number of submissions will decrease by 45, from 160 to 115 responses per year.
This reduction offsets an increase in the filing fee from $660 to $720. The USPTO
estimates that the total filing fee costs for this application will decrease by $22,800,
from $105,600 to $82,800 per year, with an increase of $6,900 due to increased
filing fees offset by a decrease of $29,700 due to reduced filings. Therefore, this
collection has a reduction of $22,800 in filing fees, with an increase of $6,900
due to a program change and a reduction of $29,700 due to an administrative
adjustment.

•

The USPTO also expects that fewer plant continuation/divisional applications (small
entity) will be filed for this renewal. The USPTO estimates that the number of
submissions will decrease by 35, from 70 to 35 responses per year. This reduction
offsets an increase in the filing fees from $330 to $360. The USPTO estimates that
the total filing fee costs for this application will decrease by $10,500, from $23,100 to
$12,600 per year, with an increase of $1,050 due to increased filing fees offset by a
decrease of $11,550 due to reduced filings. Therefore, this collection has a
reduction of $10,500 in filing fees, with an increase of $1,050 due to a program
change and a reduction of $11,550 due to an administrative adjustment.

•

The USPTO expects that the public will file fewer design continuation/divisional
applications (other entity), in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 285, from 365 to 80 responses per
year. This reduction offsets an increase in the filing fees from $430 to $460. The
USPTO estimates that the total filing fee costs for this application will decrease by
$120,150, from $156,950 to $36,800 per year, with an increase of $2,400 due to
increased filing fees offset by a decrease of $122,550 due to reduced filings.
Therefore, this collection has a reduction of $120,150 in filing fees, with an
increase of $2,400 due to a program change and a reduction of $122,550 due
to an administrative adjustment.

•

The USPTO also expects that fewer design continuation/divisional applications
(small entity), will be filed in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 310, from 385 to 75 responses per
year. This reduction offsets an increase in the filing fee from $215 to $230. The
USPTO estimates that the total filing fee costs for this application will decrease by
$65,525, from $82,775 to $17,250 per year, with an increase of $1,125 due to
increased filing fees offset by a decrease of $66,650 due to reduced filings.
Therefore, this collection takes a reduction of $65,525 in filing fees, with an
increase of $1,125 due to a program change and a reduction of $66,650 due to
an administrative adjustment.

•

The design continuation/divisional applications (other entity), can be filed
electronically and are being added into the collection at this time. The USPTO
estimates that 1,085 applications will be filed electronically, with a filing fee of $460
and total filing fees of $499,100. Therefore, this collection takes an increase of
$499,100 in filing fees due to a program change.

•

In addition, the design continuation/divisional applications (small entity), can be filed
electronically and are being added into the collection at this time. The USPTO
estimates that 1,000 applications will be filed electronically, with a filing fee of $230
and total filing fees of $230,000. Therefore, this collection has an increase of
$230,000 in filing fees as a program change.

•

The USPTO expects that the public will file fewer continued prosecution applications
– design (request transmittal and receipt), (other entity), in paper for this renewal.
The USPTO estimates that the total number of submissions will decrease by 99,
from 125 to 26 responses per year. This reduction offsets an increase in the filing
fees from $430 to $460. The USPTO estimates that the total filing fee costs for this
application will decrease by $41,790, from $53,750 to $11,960 per year, with an
increase of $780 due to increased filing fees and a decrease of $42,570 due to
reduced filings. Therefore, this collection has a reduction of $41,790 in filing
fees, with an increase of $780 due to a program change and a reduction of
$42,570 due to an administrative adjustment.

•

The USPTO also expects that fewer continued prosecution applications – design
(request transmittal and receipt), (small entity), will be filed in paper for this renewal.
The USPTO estimates that the total number of submissions will decrease by 111,
from 135 to 24 responses per year. This reduction offsets an increase in the filing
fees from $215 to $230. The USPTO estimates that the total filing fee cost for this
application will decrease by $23,505, from $29,025 to $5,520 per year, with an
increase of $360 due to increased filing fees and a decrease of $23,865 due to
reduced filings. Therefore, this collection has a reduction of $23,505 in filing
fees, with an increase of $360 due to a program change and a reduction of
$23,865 due to an administrative adjustment.

•

The continued prosecution applications – design (request transmittal and receipt)
(other entity), can also be filed electronically and are being added into the collection
at this time. The USPTO estimates that 345 applications will be filed electronically,
with a filing fee of $460 and total filing fees of $158,700. Therefore, this collection
has an increase of $158,700 in filing fees due to a program change.

•

In addition, the continued prosecution applications – design (request transmittal and
receipt), (small entity), can be filed electronically and are being added into the
collection at this time. The USPTO estimates that 320 applications will be filed
electronically, with a total filing fee of $230 and total filing fee costs of $73,600.
Therefore, this collection has an increase of $73,600 in filing fees due to a
program change.

•

The USPTO expects that the public will file fewer utility continuation-in-part
applications (other entity), in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 11,995, from 12,580 to 585. This
reduction offsets an increase in the total filing fee from $1,000 to $1,090. The
USPTO estimates that the total filing fee costs for this application will decrease by
$11,942,350, from $12,580,000 to $637,650 per year, with an increase of $52,650
due to increased filing fees and a decrease of $11,995,000 due to reduced filings.
Therefore, this collection has a reduction of $11,942,350 in filing fees, with an
increase of $52,650 due to a program change and a reduction of $11,995,000
due to an administrative adjustment.

•

The USPTO also expects that fewer utility continuation-in-part applications (small
entity), will be filed in paper for this renewal. The USPTO estimates that the total
number of submissions will decrease by 4,945, from 5,140 to 195 applications per
year. This reduction offsets an increase in the total filing fee from $500 to $545.
The USPTO estimates that the total filing fee costs for this application will decrease
by $2,463,725, from $2,570,000 to $106,275 per year, with an increase of $8,775
due to increased filing fees offset by a decrease of $2,472,500 due to reduced
filings. Therefore, this collection has a reduction of $2,463,725 in filing fees,
with an increase of $8,775 due to a program change and a reduction of
$2,472,500 due to an administrative adjustment.

•

The utility continuation-in-part applications (other entity) can be filed electronically
and are being added into the collection at this time. The USPTO estimates that
7,755 applications will be filed electronically, with a total filing fee of $1,090 and a
total filing fee cost of $8,452,950. Therefore, this collection has an increase of
$8,452,950 in filing fees due to a program change.

•

In addition, the utility continuation-in-part applications (small entity) can also be filed
electronically and are being added into the collection at this time. The USPTO
estimates that 2,585 applications will be filed electronically, with a total filing fee of
$462 and a total fee cost of $1,194,270. Therefore, this collection has an
increase of $1,194,270 in filing fees due to a program change.

•

The USPTO expects that the public will file fewer plant continuation-in-part
applications (other entity) for this renewal. The USPTO estimates that the total
number of submissions will decrease by 24, from 50 to 26 responses per year. This
reduction offsets an increase in the total filing fee from $660 to $720. The USPTO
estimates that the total filing fee cost for this application will decrease by $14,280,
from $33,000 to $18,720 per year, with an increase of $1,560 due to increased filing
fees offset by a reduction of $15,840 due to reduced filings. Therefore, this
collection has a reduction of $14,280 in filing fees, with an increase of $1,560
due to a program change and a reduction of $15,840 due to an administrative
adjustment.

•

The USPTO also expects fewer plant continuation-in-part applications (small entity)
to be filed during this renewal. The USPTO estimates that the total number of
47

submissions will decrease by 11, from 20 to 9 responses per year. This reduction
offsets an increase in the total filing fee from $330 to $360. The USPTO estimates
that the total filing fee costs for this application will decrease by $3,360, from $6,600
to $3,240 per year, with an increase of $270 due to increased filing fees offset by a
decrease of $15,840 due to reduced filings. Therefore, this collection has a
reduction of $3,360 in filing fees, with an increase of $270 due to a program
change and a reduction of $3,630 due to an administrative adjustment.
•

The USPTO expects that the public will file fewer design continuation-in-part
applications (other entity) in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 214, from 235 to 21 responses per
year. This reduction offsets an increase in the total filing fee from $430 to $460.
The USPTO estimates that the total filing fee costs for this application will decrease
by $91,390, from $101,050 to $9,660 per year, with an increase of $630 due to
increased filing fees offset by a decrease of $92,020 due to reduced filings.
Therefore, this collection has a reduction of $91,390 in filing fees, with an
increase of $630 due to a program change and a reduction of $92,020 due to
an administrative adjustment.

•

The USPTO also expects that fewer design continuation-in-part applications (small
entity) will be filed in paper for this renewal. The USPTO estimates that the total
number of submissions will decrease by 226, from 245 to 19 responses per year.
This reduction offsets an increase in the total filing fee from $215 to $230. The
USPTO estimates that the total filing fee costs for this application will decrease by
$48,305, from $52,675 to $4,370 per year, with an increase of $285 due to
increased filing fees offset by a decrease of $48,590 due to reduced filings.
Therefore, this collection has a reduction of $48,305 in filing fees, with an
increase of $285 due to a program change and a reduction of $48,590 due to
an administrative adjustment.

•

The design continuation-in-part applications (other entity) can be filed electronically
and are being added into the collection at this time. The USPTO estimates that 270
applications will be filed electronically, with a total filing fee of $460 and a total filing
fee cost of $124,200. Therefore, this collection has an increase of $124,200 in
filing fees due to a program change.

•

In addition, the design continuation-in-part applications (small entity) can also be
filed electronically and are being added into the collection at this time. The USPTO
estimates that 250 applications will be filed electronically, with a total filing fee of
$230 and a total filing fee cost of $57,500. Therefore, this collection has an
increase of $57,500 in filing fees due to a program change.

•

The USPTO expects that the public will file fewer provisional applications for patent
cover sheets (other entity) in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 32,680, from 36,500 to 3,820
responses per year. This reduction offsets an increase in the total filing fee from
$200 to $220. The USPTO estimates that the total filing fee costs will decrease by

$6,459,600, from $7,300,000 to $840,400 per year, with an increase of $76,400 due
to increased filing fees offset by a decrease of $6,536,000 due to reduced filings.
Therefore, this collection has a reduction of $6,459,600 in filing fees, with an
increase of $76,400 due to a program change and a reduction of $6,536,000
due to an administrative adjustment.
•

The USPTO also expects that fewer provisional applications for patent cover sheets
(small entity) will be filed in paper for this renewal. The USPTO estimates that the
total number of submissions will decrease by 53,670, from 60,180 to 6,510
responses per year. This reduction offsets an increase in the total filing fee from
$100 to $110. The USPTO estimates that the total filing fee costs for this application
will decrease by $5,301,900, from $6,018,000 to $716,100 per year, with an
increase of $65,100 due to increased filing fees offset by a decrease of $5,367,000
due to reduced filings. Therefore, this collection has a reduction of $5,301,900
in filing fees, with an increase of $65,100 due to a program change and a
reduction of $5,367,000 due to an administrative adjustment.

•

Unlike the paper filings, the USPTO expects that the public will file more provisional
applications for patent cover sheets (other entity) electronically for this renewal. The
USPTO estimates that the total number of submissions will increase by 35,080, from
15,690 to 50,770 responses per year. The total filing fee will increase as well from
$200 to $220. The USPTO estimates that the total filing fee costs for this application
will increase by $8,031,400, from $3,138,000 to $11,169,400 per year, with an
increase of $1,015,400 due to increased filing fees and an increase of $7,016,000
due to increased filings. Therefore, this collection has an increase of $8,031,400
in filing fees, with an increase of $1,015,400 due to a program change and an
increase of $7,016,000 due to an administrative adjustment.

•

The USPTO also expects that the number of provisional applications for patent
cover sheets (small entity) filed electronically will increase for this renewal. The
USPTO estimates that the total number of submissions will increase by 60,650, from
25,800 to 86,450 responses per year. The total filing fee will increase as well from
$100 to $110. The USPTO estimates that the total filing fee costs for this application
will increase by $6,929,500, from $2,580,000 to $9,509,500 per year, with an
increase of $864,500 due to increased filing fees and an increase of $6,065,000 due
to increased filings. Therefore, this collection has an increase of $6,929,500 in
filing fees, with an increase of $864,500 due to a program change and an
increase of $6,065,000 due to an administrative adjustment.

•

The USPTO expects that the number of petitions to accept unintentionally delayed
priority/benefit claims filed will increase for this renewal. The USPTO estimates that
the total number of petitions will increase by 170, from 920 to 1,090 responses per
year. The filing fee will increase as well from $1,300 to $1,410. The USPTO
estimates that the total filing fee costs for these petitions will increase by $340,900,
from $1,196,000 to $1,536,900 per year, with an increase of $119,900 due to
increased filing fee in addition to an increase of $221,000 due to increased filings.
Therefore, this collection has an increase of $340,900 in filing fees, with an

increase of $119,900 due to a program change and an increase of $221,000
due to an administrative adjustment.
•

The USPTO expects that fewer petitions to accept a filing by other than all the
inventors or a person not the inventor will be filed for this renewal. The USPTO
estimates that the total number of submissions will decrease by 450, from 2,400 to
1,950 responses per year. This will decrease the total filing fee costs for these
petitions by $90,000, from $480,000 to $390,000 per year. Therefore, this
collection has a reduction of $90,000 in filing fees due to an administrative
adjustment.

•

The papers filed under 1.41, 1.48, and 1.53(c)(2) are being added into the collection
as part of this renewal. The USPTO estimates that 7,500 of these papers will be
filed with a processing fee of $50. The USPTO estimates that the total fee costs for
these papers will be $375,000 per year. Therefore, this collection has an
increase of $375,000 in fees due to a program change.

•

The USPTO expects that fewer provisional applications (other entity) will be filed
with the application size fee for this renewal. The USPTO estimates that the total
number of provisional applications filed with the fee will decrease by 563, from 2,400
to 1,837 responses per year. This reduction offsets the increase in the application
size fee from $200 to $270, which increases the estimated average application size
fee from $500 to $540. The USPTO estimates that the total fee costs for this
application will decrease by $208,020, from $1,200,000 to $991,980 per year, with
an increase of $73,480 due to increased fees offset by a decrease of $281,500 due
to reduced filings. Therefore, this collection has a reduction of $208,020 in
application size fees, with an increase of $73,480 due to a program change and
a reduction of $281,500 due to an administrative adjustment.

•

The USPTO expects that fewer provisional applications (small entity) will be filed
with the application size fee for this renewal. The USPTO estimates that the total
number of provisional applications filed with the fee will decrease by 591, from 2,300
to 1,709 responses per year. This reduction offsets the increase in the application
size fee from $100 to $135, which increases the estimated average application size
fee from $260 to $270. The USPTO estimates that the total fee costs will decrease
by $136,570, from $598,000 to $461,430 per year, with an increase of $17,090 due
to increased fees offset by a decrease of $153,660 due to reduced filings.
Therefore, this collection has a reduction of $136,570 in application size fees,
with an increase of $17,090 due to a program change and a reduction of
$153,660 due to an administrative adjustment.

•

The USPTO expects that the number of utility applications (other entity) filed with the
application size fee will increase during this renewal period. The USPTO estimates
that the total number of utility applications filed with the fee will increase by 1,801,
from 7,500 to 9,301 responses per year. In addition, the application size fee will
increase from $250 to $270, which increases the estimated average application size
fee from $425 to $540. The USPTO estimates that the total fee costs will increase

by $1,835,040, from $3,187,500 to $5,022,540 per year, with an increase of
$1,069,615 due to increased fees, in addition to an increase of $765,425 due to
increased filings. Therefore, this collection has an increase of $1,835,040 in
application size fees, with an increase of $1,069,615 due to a program change
and an increase of $765,425 due to an administrative adjustment.
•

The USPTO expects fewer utility applications (small entity) to be filed with the
application size fee during this renewal period. The USPTO estimates that the total
number of utility applications filed with the fee will decrease by 1,142, from 3,500 to
2,358 responses per year. This reduction offsets the increase in the application size
fee from $125 to $135, which increases the estimated average application size fee
from $225 to $270. The USPTO estimates that the total fee costs will decrease by
$150,840, from $787,500 to $636,660 per year, with an increase of $106,110 due to
increased fees offset by a decrease of $256,950 due to reduced filings. Therefore,
this collection has a reduction of $150,840 in application size fees, with an
increase of $106,110 due to a program change and a reduction of $256,950 due
to an administrative adjustment.

•

The USPTO expects fewer plant applications (other entity) to be filed with the
application size fee during this renewal period. The USPTO estimates that the total
number of plant applications filed with the fee will decrease by 23, from 25 to 2
responses per year. The application size fee will increase from $250 to $270;
however, the USPTO estimates that the average application size fee will actually
decrease from $275 to $270. The USPTO estimates that the total fee costs will
decrease by $6,335, from $6,875 to $540 per year, with a decrease of $10 due to
the reduced average fee, in addition to a decrease of $6,325 due to reduced filings.
Therefore, this collection has a reduction of $6,335 in application size fees,
with a reduction of $10 due to a program change and a reduction of $6,325 due
to an administrative adjustment.

•

The USPTO expects fewer plant applications (small entity) to be filed with the
application size fee as well. The USPTO estimates that the total number of plant
applications filed with the fee will decrease by 9, from 10 to 1 response per year.
The application size fee will increase from $125 to $135; however, the USPTO
estimates that the average application size fee will decrease from $265 to $135.
The USPTO estimates that the total fee costs will decrease by $2,515, from $2,650
to $135, with a decrease of $130 due to the reduced average fee, in addition to a
decrease of $2,385 due to reduced filings. Therefore, this collection has a
reduction of $2,515 in application size fees, with a reduction of $130 due to a
program change and a reduction of $2,385 due to an administrative
adjustment.

•

The USPTO expects fewer design applications (other entity) to be filed with the
application size fee during this renewal period. The USPTO estimates that the total
number of design applications filed with the fee will decrease by 96, from 110 to 14
responses per year. This reduction offsets an increase in the application size fee
from $250 to $270, which increases the estimated average application size fee from

$265 to $270. The USPTO estimates that the total fee costs will decrease by
$25,370, from $29,150 to $3,780 per year, with an increase of $70 due to increased
fees and a decrease of $25,440 due to reduced filings. Therefore, this collection
has a reduction of $25,370 in application size fees, with an increase of $70 due
to a program change and a reduction of $25,440 due to an administrative
adjustment.
•

In addition, the USPTO expects fewer design applications (small entity) to be filed
with the application size fee. The USPTO estimates that the total number of design
applications filed with the fee will decrease by 56, from 60 to 4 responses per year.
This reduction offsets an increase in the application size fee from $125 to $135,
which increases the estimated average application size fee from $140 to $270. The
USPTO estimates that the total fee costs will decrease by $7,320, from $8,400 to
$1,080 per year, with an increase of $520 due to increased fees offset by a
decrease of $7,840 due to reduced filings. Therefore, this collection has a
reduction of $7,320 in application size fees, with an increase of $520 due to a
program change and a reduction of $7,840 due to an administrative
adjustment.

•

The USPTO expects fewer utility applications with more than three independent
claims (other entity) will be filed for this renewal. The USPTO estimates that the
total number of utility applications filed with the fee will decrease by 23,637, from
95,000 to 71,363 responses per year. This reduction offsets an increase in the
excess claim fee from $200 to $220, which increases the estimated average excess
claim fee from $400 to $440. The USPTO estimates that the total fee cost will
decrease by $6,600,280, from $38,000,000 to $31,399,720 per year, with an
increase of $2,854,520 due to increased fees offset by a decrease of $9,454,800
due to reduced filings. Therefore, this collection has a reduction of $6,600,280
in excess claim fees, with an increase of $2,854,520 due to a program change
and a reduction of $9,454,800 due to an administrative adjustment.

•

The USPTO expects fewer utility applications with more than three independent
claims (small entity) will be filed during this renewal period. The USPTO estimates
that the total number of utility applications filed with the fee will decrease by 10,789,
from 36,000 to 25,211 responses per year. This reduction offsets an increase in the
excess claim fee from $100 to $110, which increases the estimated average excess
claim fee from $200 to $220. The USPTO estimates that the total fee costs will
decrease by $1,653,580, from $7,200,000 to $5,546,420 per year, with an increase
of $504,220 due to increased fees and a decrease of $2,157,800 due to reduced
filings. Therefore, this collection has a reduction of $1,653,580 in excess claim
fees, with an increase of $504,220 due to a program change and a reduction of
$2,157,800 due to an administrative adjustment.

•

The USPTO expects fewer utility applications with more than 20 claims (other entity)
to be filed during this renewal period. The USPTO estimates that the total number of
utility applications filed with the fee will decrease by 15,223, from 115,000 to 99,777
responses per year. The excess claim fee has increased from $50 to $52. The

USPTO estimates that the average excess claim fee will increase from $200 to $416
and offsets the reduced filings. The USPTO estimates that the total fee costs will
increase by $18,507,232, from $23,000,000 to $41,507,232 per year, with a
decrease of $3,044,600 due to reduced filings offset by an increase of $21,551,832
due to increased fees. Therefore, this collection has an increase of $18,507,232
in excess claim fees, with an increase of $21,551,832 due to a program change
and a reduction of $3,044,600 due to an administrative adjustment.
•

The USPTO expects fewer utility applications filed with more than 20 claims (small
entity) will be submitted during this renewal period. The USPTO estimates that the
total number of utility applications filed with the fee will decrease by 9,106, from
50,000 to 40,894 responses per year. The excess claim fee has increased from $25
to $26; however, the USPTO estimates that the average excess claim fee will
decrease from $300 to $260. The USPTO estimates that the total fee costs will
decrease by $4,367,560, from $15,000,000 to $10,632,440, with a reduction of
$1,635,760 due to reduced fees and a reduction of $2,731,800 due to reduced
filings. Therefore, this collection has a reduction of $4,367,560 in excess claim
fees, with a reduction of $1,635,760 due to a program change and a reduction
of $2,731,800 due to an administrative adjustment.

•

The USPTO expects fewer provisional applications for patent cover sheets (other
entity) will be filed with the surcharge for late filing for this renewal. The USPTO
estimates that the total number of provisional applications filed with this surcharge
will decrease by 1,322, from 3,910 to 2,588 responses per year. The USPTO
estimates that the total surcharge cost will decrease by $66,100, from $195,500 to
$129,400 per year. Therefore, this collection has a reduction of $66,100 due to
an administrative adjustment.

•

The USPTO also expects fewer provisional applications for patent cover sheets
(small entity) will be filed with the late filing surcharge. The USPTO estimates that
the total number of provisional applications filed with this surcharge will decrease by
975, from 5,650 to 4,675 responses per year. The USPTO estimates that the total
surcharge cost will decrease by $24,375, from $141,250 to $116,875 per year.
Therefore, this collection has a reduction of $24,375 due to an administrative
adjustment.

•

The USPTO expects fewer utility applications (other entity) will be filed with the
surcharge for multiple dependent claims during this renewal period. The USPTO
estimates that the total number of utility applications filed with this fee will decrease
by 899, from 8,000 to 7,101 responses per year. This reduction offsets an increase
in the surcharge from $360 to $390. The USPTO estimates that the total surcharge
costs will decrease by $110,610, from $2,880,000 to $2,769,390 per year, with an
increase of $213,030 due to increased fees offset by a decrease of $323,640 due to
reduced filings. Therefore, this collection has a reduction of $110,610 in
surcharge fees, with an increase of $213,030 due to a program change and a
reduction of $323,640 due to an administrative adjustment.

•

The USPTO also expects that fewer utility applications (small entity) will be filed with
the surcharge for multiple dependent claims. The USPTO estimates that the total
number of utility applications filed with the surcharge will decrease by 861, from
3,600 to 2,739 responses per year. This reduction offsets an increase in the
surcharge fee from $180 to $195. The USPTO estimates that the total surcharge
fee costs will decrease by $113,895, from $648,000 to $534,105 per year, with an
increase of $41,085 due to increased fees offset by a decrease of $154,980 due to
reduced filings. Therefore, this collection has a reduction of $113,895 in
surcharge fees, with an increase of $41,085 due to a program change and a
reduction of $154,980 due to an administrative adjustment.

•

The USPTO expects that fewer utility applications (other entity) will be filed with
surcharges for the late filing of filing, search, or examination fees or late filing of the
oath/declaration. The USPTO estimates that the total number of utility applications
filed with these surcharges will decrease by 34,065, from 90,000 to 55,935
responses per year. The USPTO estimates that the total surcharge costs will
decrease by $4,428,450, from $11,700,000 to $7,271,550 per year. Therefore, this
collection has a reduction of $4,428,450 in surcharge fees due to an
administrative adjustment.

•

The USPTO expects that the number of utility applications (small entity) filed with
surcharges for the late filing of filing, search, or examination fees or late filing of the
oath/declaration will increase for this renewal period. The USPTO estimates that the
total number of utility applications filed with these surcharges will increase by
19,158, from 8,000 to 27,158 responses per year. The USPTO estimates that the
total surcharge costs will increase by $1,245,70, from $520,000 to $1,765,270 per
year. Therefore, this collection has an increase of $1,245,270 in surcharge
fees due to an administrative adjustment.

•

In the currently approved collection, the plant applications (other entity) that are filed
with surcharges for the late filing of filing, search, or examination fees or the late
filing of the oath/declaration were combined in one entry with the utility and design
applications. In order to get a more specific accounting of the additional fees and
surcharges, the plant applications have been broken out separately. The surcharge
fee for these applications is $130. The USPTO estimates that 172 plant applications
will be filed with this surcharge and that the total surcharge costs will be $22,360.
Therefore, this collection has an increase of $22,360 in surcharge fees due to
an administrative adjustment.

•

The plant applications (small entity) that are filed with surcharge fees for late filing of
the filing, search, or examination fees or the late filing of the oath/declaration are
also being broken out for this renewal. The surcharge fee for this application is $65.
The USPTO estimates that 83 plant applications will be filed with this surcharge fee
and that the total surcharge costs will be $5,395. Therefore, this collection has an
increase of $5,395 in surcharge fees due to an administrative adjustment.

•

The USPTO also determined that the design applications (other entity) should be
broken out separately from the utility and plant applications in order to get a more
specific accounting of the surcharge fees for the late filing of the filing, search, or
examination fees or the late filing of the oath/declaration. The surcharge fee for this
application is $130. The USPTO estimates that 4,400 design applications will be
filed with this surcharge fee and that the total surcharge costs will be $572,000.
Therefore, this collection has an increase of $572,000 in surcharge fees due to
an administrative adjustment.

•

The design applications (small entity) were broken out from the utility and plant
applications as well in order to get a more specific accounting of the surcharge fees.
The surcharge fee for this application is $65. The USPTO estimates that 2,136
design applications will be filed with the surcharge fee and that the total surcharge
costs will be $138,840. Therefore, this collection has an increase of $138,840 as
an administrative adjustment.

•

The USPTO expects that the number of applications filed with non-English
specifications will increase for this renewal period. The USPTO estimates that the
total number of applications filed with non-English specifications will increase by
364, from 3,880 to 4,244 responses per year. The USPTO estimates that the total
surcharge costs will increase by $47,320, from $504,400 to $551,720 per year.
Therefore, this collection has an increase of $47,320 in surcharge fees as an
administrative adjustment.

The USPTO estimates that the total annual (non-hour) costs for this renewal will
increase by $81,650,975, from $691,147,858 to $772,798,833 per year. The USPTO
estimates that $1,635,900 in program changes will be reduced from this collection. This
reduction is offset, however, by an increase of $103,208,212, which results in a
increase of $101,572,312 in annual (non-hour) costs due to program changes. The
USPTO estimates that administrative adjustments will add $210,450,025 in annual
(non-hour) costs to the collection. This increase, however, will be offset by a reduction
of $230,371,362, for a total reduction of $19,921,337 in annual (non-hour) costs due to
administrative adjustments. In sum, this information collection has a total net burden
increase of $81,650,975 in annual (non-hour) costs, due to an increase of $101,572,312
in program changes and a reduction of $19,921,337 due to administrative adjustments.
16.

Project Schedule

There is no plan to publish this information for statistical use.
17.

Display of Expiration Date of OMB Approval

The forms in this information collection will display the OMB Control Number and the
OMB expiration date.

18.

Exception 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.

REFERENCES
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U.
V.
W.
X.
Y.
Z.
AA.
BB.
CC.

The USPTO Information Quality Guidelines
PTO/SB/06 Patent Application Fee Determination Record (Substitute for Form PTO875)
PTO/SB/07 Multiple Dependent Claim Fee Calculation Sheet (Substitute for Form PTO1360; For Use with Form PTO/SB/06)
PTO/SB/17 Fee Transmittal Form
PTO/SB/05 Utility Patent Application Transmittal
PTO/SB/18 Design Patent Application Transmittal
PTO/SB/19 Plant Patent Application Transmittal
PTO/SB/01 Declaration for Utility or Design Patent Application (37 CFR 1.63)
PTO/SB/02A Declaration – Additional Inventors – Supplemental Sheet and
PTO/SB/02B Declaration – Supplemental Priority Data Sheet
PTO/SB/02CN Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Chinese Language Declaration for Additional Inventors)
PTO/SB/02DE Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (German Language Declaration for Additional Inventors)
PTO/SB/02ES Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Spanish Language Declaration for Additional Inventors)
PTO/SB/02FR Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (French Language Declaration for Additional Inventors)
PTO/SB/02IT Declaration (Additional Inventors) and Supplemental Priority Data Sheet [2
pages] (Italian Language Declaration for Additional Inventors)
PTO/SB/02JP Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Japanese Language Declaration for Additional Inventors)
PTO/SB/02KR Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Korean Language Declaration for Additional Inventors)
PTO/SB/02NL Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Dutch Language Declaration for Additional Inventors)
PTO/SB/02RU Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Russian Language Declaration for Additional Inventors)
PTO/SB/02SE Declaration (Additional Inventors) and Supplemental Priority Data Sheet
[2 pages] (Swedish Language Declaration for Additional Inventors)
PTO/SB/02LR Declaration Supplemental Sheet for Legal Representatives (35 U.S.C.
117) on Behalf of a Deceased or Incapacitated Inventor
PTO/SB/03 Plant Patent Application (35 U.S.C. § 161) Declaration (37 CFR 1.63)
PTO/SB/04 Supplemental Declaration for Utility or Design Patent Application (37 CFR
1.67)
PTO/SB/101 through 110 Declaration and Power of Attorney for Patent Application (in
various foreign languages)
PTO/SB/14 Application Data Sheet Form
PTO/SB/01A Declaration (37 CFR 1.63) for Utility or Design Application Using An
Application Data Sheet (37 CFR 1.76)
PTO/SB/03A Declaration (37 CFR 1.63) for Plant Application Using an Application Data
Sheet (37 CFR 1.76)
PTO/SB/13/PCT Request for Filing a Continuation or Division of an International
Application
PTO/SB/29 For Design Applications Only: Continued Prosecution Application (CPA)
Request Transmittal

DD.
EE.
FF.

PTO/SB/29A For Design Applications Only: Receipt for Facsimile Transmitted CPA
PTO/SB/16 Provisional Application for Patent Cover Sheet
Public comments received in response to the 60-Day Federal Register Notice published
on May 3, 2010 (75 Fed Reg. 23227)

File Type	application/pdf
File Title	SF-12 SUPPORTING STATEMENT
Author	USPTO
File Modified	2010-09-30
File Created	2010-09-30