0651-0021-SupStmt-Apr2013

0651-0021-SupStmt-Apr2013.pdf

Patent Cooperation Treaty

OMB: 0651-0021

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SUPPORTING STATEMENT
United States Patent and Trademark Office
Patent Cooperation Treaty
OMB CONTROL NUMBER 0651-0021
(April 2013)

JUSTIFICATION

Necessity of Information Collection

This collection of information is required by the provisions of the Patent Cooperation
Treaty (PCT), which became operational in June 1978 and is administered by the
International Bureau (IB) of the World Intellectual Property Organization (WIPO) in
Geneva, Switzerland. The provisions of the PCT have been implemented by the United
States in Part IV of Title 35 of the U.S. Code (Chapters 35-37) and Subpart C of Title 37
of the Code of Federal Regulations (37 CFR 1.401-1.499). The purpose of the PCT is
to provide a standardized filing format and procedure that allows an applicant to seek
protection for an invention in several countries by filing one international application in
one location, in one language, and paying one initial set of fees.
The information in this collection is used by the public to submit a patent application
under the PCT and by the United States Patent and Trademark Office (USPTO) to fulfill
its obligation to process, search, and examine the application as directed by the treaty.
The filing, search, written opinion, and publication procedures are provided for in
Chapter I of the PCT. Additional procedures for a preliminary examination of PCT
international applications are provided for in optional PCT Chapter II. Under Chapter I,
an applicant can file an international application in the national or home office
(Receiving Office (RO)) or the IB. The USPTO acts as the United States Receiving
Office (RO/US) for international applications filed by residents and nationals of the
United States. These applicants send most of their correspondence directly to the
USPTO, but they may also file certain documents directly with the IB. The USPTO
serves as an International Searching Authority (ISA) to perform searches and issues an
international search report (ISR) and a written opinion on international applications. The
USPTO also issues an international preliminary report on patentability (IPRP Chapter II)
when acting as an International Preliminary Examining Authority (IPEA).
The RO reviews the application and, if it contains all of the necessary information,
assigns a filing date to the application. The RO maintains the home copy of the
international application and forwards the record copy of the application to the IB and
the search copy to the ISA. The IB maintains the record copy of all international
applications and publishes them 18 months after the earliest priority date, which is the
earliest date for which a benefit is claimed. The ISA performs a search to determine
whether there is any prior art relevant to the claims of the international application and
will issue an international search report and written opinion as to whether each claim is
novel, involves an inventive step, and is industrially applicable. The ISA then forwards
the international search report and written opinion to the applicant and the IB. The IB

will normally publish the application and search report 18 months after the priority date,
unless early publication is requested by the applicant. Until international publication, no
third person or national or regional office is allowed access to the international patent
application unless so requested or authorized by the applicant. If the applicant wishes
to withdraw the application (and does so before international publication), international
publication does not take place.
Under Chapter II of the Treaty, an applicant who has filed an international application in
an RO can demand an international preliminary examination of the application by an
IPEA, such as the USPTO. The Demand is made separately from the international
application and contains prescribed particulars, language, and form. The International
preliminary examination is a second evaluation of the potential patentability of the
claimed invention, using the same standards on which the written opinion of the ISA
was based. A copy of the examination report is sent to the applicant and to the IB. The
IB then forwards a copy of the examination report to each Office elected by the
applicant.
Table 1 provides the specific sections of the PCT along with the associated U.S.
statutes and USPTO rules requiring the USPTO to collect the information discussed
above:
Table 1: Information Requirements
Requirement

Statute

Rule

Request and Fee Calculation

PCT Articles 3 and 4, 35 U.S.C.
§§ 361 and 376

PCT Rules 3, 4, 14-16, 37
CFR 1.431-1.434, 1.445

Description/claims/drawings/abstracts

PCT Articles 3.2, 5-7

PCT Rules 5-12, 37 CFR
1.431(a), 1.435-1.438

Application Data Sheet (35 U.S.C. § 371
applications)

PCT Article 8, 35 U.S.C. § 371

PCT Rule 26 , 37 CFR 1.76,
1.497(g)

Transmittal Letter to the RO/US

35 U.S.C. §§ 184 and 361

37 CFR 1.10, 1.412

Transmittal Letter to the DO/EO/US

35 U.S.C. §§ 363 and 371

37 CFR 1.414, 1.491-1.492

PCT/Model of Power of Attorney

PCT Article 49

PCT Rules 90.4 and 90.5, 37
CFR 1.455

PCT/Model of General Power of Attorney

PCT Article 49

PCT Rules 90.4 and 90.5, 37
CFR 1.455

Indications Relating to a Deposited
Microorganism

None

PCT Rule 13

Response to invitation to correct defects

PCT Article 14

PCT Rules 26, 53 and 60

Response for rectification of obvious errors

None

PCT Rule 91

Demand and Fee Calculation

PCT Article 31, 35 U.S.C. §§ 362
and 376

PCT Rules 53-61, 37 CFR
1.480-1.482

bis

Requirement

Statute

Rule

Amendments (Article 34)

PCT Articles 14, 19, 34(2)(b) and
41, 35 U.S.C. § 371(c)(3)

PCT Rules 10, 11, 46 and 66,
37 CFR 1.471-1.472, 1.485,
1.495

Fee Authorization

35 U.S.C. § 376

37 CFR 1.25

Requests to transmit copies of international
application

None

PCT Rule 22

Withdrawal of international application

PCT Administrative Sections 326
and 414, PCT Article 37, 35
U.S.C. § 366

PCT Rules 90 .1-.4

Translations

PCT Articles 36 and 46, 35 U.S.C.
§ 371(c)

PCT Rule 72, 37 CFR 1.484,
1.492(f), 1.495

Petition for Revival of an International Application
for Patent Designating the U.S. Abandoned
Unavoidably

35 U.S.C. § 371(c)-(d)

37 CFR 1.137(a), 37 CFR
1.17(l)

Petition for Revival of an International Application
for Patent Designating the U.S. Abandoned
Unintentionally

35 U.S.C. § 371(c)-(d)

37 CFR 1.137(b), 37 CFR
1.17(m)

Petitions to the Commissioner for international
applications

35 U.S.C. § 371

37 CFR 1.10, 37 CFR 1.181,
37 CFR 1.182

Petitions to the Commissioner in national stage
examination

35 U.S.C. §§ 111, 116-118, and
371

37 CFR 1.42, 37 CFR 1.47, 37
CFR 1.181, 37 CFR 1.182

Acceptance of an unintentionally delayed claim
for priority (37 CFR 1.78(a)(3))

35 U.S.C. §§ 119(e) and 120

37 CFR 1.78

Request for the restoration of the right of priority

PCT Article 8

PCT Rule 26 .3

bis

Needs and Uses

The information requested in this collection is necessary for respondents to file an
international patent application and for the USPTO to process, search, and examine
international applications and related correspondence under the PCT. If this information
were not collected, the USPTO would not be able to fulfill its obligations under the PCT
as an RO, ISA, or IPEA. The IB also uses this information to administer international
applications as required by the PCT.
Some of the information in this collection has associated forms as indicated in Table 2
below. Use of the forms is not mandatory, but the USPTO advises applicants to use
these forms to ensure that all of the necessary information is provided and to assist the
USPTO in processing the international applications quickly and efficiently. The Request
and Demand forms include Annexes (Fee Calculation Sheets) and Notes with
instructions on completing these forms. The WIPO also furnishes the PCT Applicant’s
Guide and other documents to give the public additional guidance on preparing the
international application.
3

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 this information collection and its supporting statement
comply with all applicable information quality guidelines, i.e. OMB and specific operating
unit guidelines.
Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses of Information Collected

Item

Form #

Needs and Uses

Request and Fee Calculation
Sheet (Annex and Notes)

PCT/RO/101



Used by the public to supply the information required for an
international patent application.
The optional Fee Calculation Sheet may be used by the public
to indicate the amount of money being submitted and how the
money is to be applied.
The public uses the Fee Calculation Sheet or Annex as an
attachment to the PCT Request.
Used by the USPTO to process the international application
according to the PCT.
Used by the USPTO to verify the calculations and to identify
any errors in them.





2

Description/claims/drawings/
abstracts

No Form
Associated



Used by the public as part of the international application. In
most instances, the description, claims, drawings, and abstract
are identical to the corresponding elements in the previously
filed U.S. application, and the papers submitted for the
international application are a photocopy of the papers in the
national application.
Used by the USPTO to process the international application
according to the PCT.


3

Application Data Sheet

No Form
Associated



Used by the public as an optional way to submit bibliographic
data with identifying information for an application, including
information about each applicant, correspondence address,
application contents, representatives, priority, and assignees.
Used by the USPTO to process applications and to correctly
identify applications for which priority is claimed.


4

Transmittal Letter to the United
States Receiving Office
(RO/US)

PTO-1382



Used by the public as a cover letter to supply a certification if
the application was submitted via Express Mail and entitles an
applicant to obtain a filing date as of the date of deposit with
the postal authorities.
Used by the public for security clearance purposes to supply
information concerning the similarity or differences between
the subject matter disclosed in the international application and
any national application filed earlier in the USPTO.
Used by the public as a transmittal letter for extensions of time,
power of attorney, general power of attorney, substitute
sheets, priority documents, fee payments, obvious error
rectification, and other items.
Used by the USPTO to screen and certify the accompanying
international application for the purpose of determining
whether a license for foreign transmittal should and could be
granted and for other purposes.



Transmittal Letter to the United
States Designated/Elected
Office (DO/EO/US) Concerning
a Filing Under 35 U.S.C. 371

PTO-1390



Used by the public to submit the required materials and fees
for examination of an international application to the USPTO
as the U.S. Designated Office or Elected Office.
Used by the USPTO to fulfill its role as the U.S. Designated
Office or Elected Office to process and examine international
patent applications entering the national stage.



Item

Form #

Needs and Uses

PCT/Model of Power of
Attorney

No Form
Number



PCT/Model of General Power of
Attorney

Used by the public to allow for the appointment of an agent to
represent an applicant for a given international application or
multiple international applications filed under the PCT.
Used by the public to provide the information needed to permit
attorneys or agents registered to practice before the USPTO to
represent an applicant filing an international application with
the US/RO and to prosecute an international application on
behalf of the applicant.
Used by the USPTO to accept the appointment of an attorney
or agent to represent an applicant for a given international
application filed under the PCT.



Indications Relating to a
Deposited Microorganism

PCT/RO/134



Used by the public to provide a sample of the microorganism
to a recognized depository institution and notify the US/RO of
this action in writing.
Used by the USPTO to confirm that a sample of the
microorganism was provided to a recognized depository
institution.



Response to invitation to
correct defects

No Form
Associated



Used by the public to correct defects noted by the RO. There
is no required form for supplying the corrections.
Used by the USPTO to determine if noted defects have been
corrected.


10

Request for rectification of
obvious errors

No Form
Associated



Used by the public to request that the appropriate RO, ISA,
IPEA, or the IB correct obvious errors in the international
application, as filed.
Used by the USPTO to grant the request that the appropriate
RO, ISA, IPEA, or the IB correct obvious errors in the
international application, as filed.



Demand and Fee Calculation
Sheet (Annex and Notes)

PCT/IPEA/401



Used by the public to request examination of the international
application under Chapter II of the PCT.
The PCT Fee Calculation Sheet or Annex is used by the public
to calculate the fees that are due and being submitted.
Used by the USPTO to conduct an international preliminary
examination of an international application under Chapter II of
the PCT.
The PCT Fee Calculation Sheet is used by the USPTO to
properly credit the fees that are due and submitted.




12

Amendments

No Form
Associated



Used by the public to modify the international application in
response to the findings in the international search report or in
the written report.
Used by the USPTO to approve the modification of the
international application in response to the findings in the
international search report or in the written report.



Fee Authorization

No Form
Associated



Used by the public to charge the applicant=s deposit account
along with instructions concerning how much to charge and for
what purpose.
Used by the USPTO Finance Branch to apply the charged fees
to the applicant=s deposit account.


14

Requests to transmit copies of
international application

No Form
Associated



Used by the public to pay for the cost of preparing and mailing
copies of the international application where at 14 months the
RO has failed to transmit the record copy to the IB.
Used by the USPTO to ensure that the transmittal of the
international application is identical to the application filed with
the RO.



Item

Form #

Needs and Uses

Withdrawal of international
application

PCT/IB/372



Used by the public to request withdrawal of the international
application, designations of the state, demands, elections, and
priority claims by a notice addressed to the IB or the RO.
Used by the USPTO to withdraw the international application,
designations of the state, demands, elections, and priority
claims by accepting a notice addressed to the RO.



Translations

No Form
Associated







Petition for Revival of an
International Application for
Patent Designating the U.S.
Abandoned Unavoidably Under
37 CFR 1.137(a)

PTO/SB/61/PCT

Petition for Revival of an
International Application for
Patent Designating the U.S.
Abandoned Unintentionally
Under 37 CFR 1.137(b)

PTO/SB/64/PCT

Petitions to the Commissioner
for international applications

No Form
Associated






Petitions to the Commissioner
in national stage examination



No Form
Associated



Used by the public to petition or Aappeal@ for relief in
exceptional circumstances.
Used by the USPTO to grant relief in exceptional
circumstances.



Used by the public to petition or Aappeal@ for relief in
exceptional circumstances.
Used by the USPTO to grant relief in exceptional
circumstances.


21

Acceptance of an
unintentionally delayed claim for
priority (37 CFR 1.78(a)(3))

No Form
Associated



Used by the public to claim benefit of the filing date of a prior
filed application which has at least one common inventor if filed
outside the time period.
Used by the USPTO to grant relief if the conditions are met.


22

Request for the restoration of
the right of priority

No Form
Associated



Used by the public to allow a priority claim to an earlier
application even if the international application is filed outside
the priority period.
Used by the USPTO to grant relief if the conditions are met.



Used by the public to request revival of an application that was
abandoned unavoidably.
Used by the USPTO to consider requests for revival of an
unavoidably abandoned application and ensure all the proper
documentation and fees are included.
Used by the public to request revival of an application that was
abandoned unintentionally.
Used by the USPTO to consider requests for revival of an
unintentionally abandoned application and ensure all the
proper documentation and fees are included.


20

Used by the public in the event any Elected Office requires a
translation of annexes to the international preliminary
examination report.
Used by the public to make written observations on any errors
of translation in the international preliminary examination report
and send such copies to the interested parties.
Used by the USPTO to transmit a copy of the translation of the
international preliminary examination report to the applicant at
the same time it is transmitted to the interested Elected
Office(s).
Used by the USPTO to cancel the final international
preliminary examination report and the annexes if they are not
in English.

Use of Information Technology

The PCT provides for electronic filing of international applications, as long as the
confidentiality requirements are met. Customers may submit PCT materials to the
USPTO electronically through EFS-Web, the USPTO’s online filing system for patent
applications and related documents. EFS-Web allows customers to file applications
and associated documents through their standard web browser without downloading
6

special software, changing their documentation preparation tools, or altering their
workflow processes. Customers may create their patent applications and associated
documents using the tools and processes that they already use and then convert those
documents into standard PDF files that are submitted through EFS-Web to the USPTO.
The fillable PDF forms that can be submitted through EFS-Web may be downloaded
from the USPTO Web site and do not require special PDF creation software.
Registered and unregistered users can file documents through EFS-Web. The
documents of registered users are protected using a Public Key Infrastructure (PKI)
system and digital certificates which provide authentication and encryption security. For
filers who are not registered, the documents are submitted to 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. Users can access EFS-Web from
any computer with an Internet connection. Since EFS-Web is hosted on the USPTO’s
secure servers and not on the individual’s personal computer, USPTO staff can update
EFS-Web without requiring any action from the user. Customers can submit fee
payments and other requests in real time. The PDF forms can be passed around to
multiple users for collaboration.
EFS-Web integrates with the Patent Application Information Retrieval (PAIR) system,
the USPTO’s online database that provides authorized individuals with immediate and
secure access to non-published patent application information. PAIR uses digital
certificates to permit only applicants and their designated representatives to access
information about their pending patent applications and to maintain the confidentiality
and integrity of the information as it is transmitted over the Internet. The USPTO does
not intend to disseminate any confidential application information to the general public
electronically through PAIR or any other means. However, the general public may use
PAIR to access public information regarding granted patents, published applications,
and reexamination proceedings. PAIR is available through the USPTO Web site.
4.

Efforts to Identify Duplication

This information is collected only when an applicant or representative submits an
international application and is not collected elsewhere. Duplication of identifying
information is required on subsequent correspondence to ensure that the
correspondence can be associated with the correct application. In general, the PCT is
designed to minimize the need for duplication by allowing an applicant to file a single
application that has the effect of a national application filed in multiple countries.

Minimizing Burden to Small Entities

The information in this collection is necessary in order to process requests related to
PCT applications. The same information is required from every applicant and is not
available from any other source.
Pursuant to 35 U.S.C. § 41(h) and section 10(b) of the Leahy-Smith America Invents
Act (AIA), the USPTO provides a 50% reduction in both (i) the fees charged under
35 U.S.C. § 41(a)-(b) and (d)(1) and (ii) the fees set or adjusted under section 10(a) of
the Act for filing, searching, examining, issuing, appealing, and maintaining patent
applications and patents for small entity applicants, such as independent inventors,
small businesses, and nonprofit organizations who meet the definition of a small entity
provided at 37 CFR 1.27. Also pursuant to section 10(b) of the AIA, the USPTO
provides a 75% reduction in the fees set or adjusted under section 10(a) of the Act for
filing, searching, examining, issuing, appealing, and maintaining patent applications and
patents for applicants who meet the definition of a micro entity provided at 35 U.S.C. §
123 and 37 CFR 1.29.
The USPTO’s regulations concerning the payment of reduced patent fees by small and
micro entities are at 37 CFR 1.27-1.29, and reduced patent fees for small and micro
entity applicants are shown in 37 CFR 1.16-1.18, 1.20, 1.445, 1.482, 1.492, and 41.20.
No significant burden is placed on small or micro entities, in that small entities must only
identify themselves as such in order to obtain these benefits, and micro entities must
only provide a certification of micro entity status. An assertion or certification of small or
micro entity status, respectively, only needs to be filed once in an application or patent
(although a fee may be paid in the micro entity amount only if the applicant or patentee
is still entitled to micro entity status on the date the fee is paid).
6.

Consequences of Less Frequent Collection

This information is collected only when an applicant or representative submits an
international application. This collection of information is necessary to process an
international application under the PCT and could not be conducted less frequently. If
this information were not collected, the USPTO would not be able to process the
application as required by 35 U.S.C. § 364(a).
7.

Special Circumstances in the Conduct of Information Collection

There are no special circumstances associated with this collection of information.
8.

Consultation Outside the Agency

The 60-Day Notice was published in the Federal Register on February 4, 2013 (78 Fed.
Reg. 7759). The comment period ended on April 5, 2013. No public comments were
received.
8

The development of the Patent Cooperation Treaty involved over five years of intensive
dialogue among 300 delegates from over 77 states or countries, 22 international
organizations, 11 intergovernmental organizations, and 11 non-governmental
organizations.
The USPTO has long-standing relationships with groups from whom patent application
data is collected, such as the American Intellectual Property Law Association, as well as
patent bar associations, independent inventor groups, and users of our public facilities.
Views expressed by these groups are considered both in developing proposals for
information collection requirements and when renewing an existing information
collection.
9.

Payments or Gifts to Respondents

This information collection does not involve a payment or gift to any respondent.
10.

Assurance of Confidentiality

The confidentiality of international patent applications is governed by PCT Article 30, 35
U.S.C. § 122, and 37 CFR 1.11 and 1.14. The USPTO has a legal obligation to
maintain the confidentiality of the contents of unpublished patent applications and
related documents. Until international publication (18 months after the priority date), no
third party or authority is allowed access to the international patent application unless
such access is requested or authorized by the applicant. If the applicant withdraws the
application before international publication, such publication does not take place. Upon
publication of an application or issuance of a patent, the patent application file is made
available to the public, subject to the provisions for providing only a redacted copy of the
file contents.
11.

Justification for Sensitive Questions

None of the required information in this collection is considered to be sensitive.
12.

Estimate of Hour and Cost Burden to Respondents

Table 3 calculates the burden hours and costs of this information collection to the
public, based on the following factors:


Respondent Calculation Factors
The USPTO estimates that it will receive 353,669 responses per year for this
collection, with approximately 16,275 (4.6%) of these responses submitted by
small entities. Approximately 95% of the total responses for this collection will be
submitted electronically.

These estimates are based on the Agency’s long-standing institutional
knowledge of and experience with the type of information collected by these
items.


Burden Hour Calculation Factors
The USPTO estimates that it will take the public from 15 minutes (0.25 hours) to
8 hours to gather the necessary information, prepare the appropriate form or
documents, and submit the information to the USPTO.
These estimates are based on the Agency’s long-standing institutional
knowledge of and experience with the type of information collected and the
length of time necessary to complete responses containing similar or like
information.



Cost Burden Calculation Factors
The USPTO uses a professional rate of $371 per hour for respondent cost
burden calculations, which is the mean rate for attorneys in private firms as
shown in the 2011 Report of the Economic Survey, published by the Committee
on Economics of Legal Practice of the American Intellectual Property Law
Association (AIPLA).

Table 3: Burden Hour/Burden Cost to Respondents
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/yr)
(d)

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

Request and Fee Calculation Sheet
(Annex and Notes) (PCT/RO/101)

1.0

48,285

$371.00

$17,913,735.00

Description/claims/drawings/abstracts

3.0

48,285

144,855

$371.00

$53,741,205.00

Application Data Sheet (35 U.S.C. § 371
applications)

0.38

51,539

19,585

$371.00

$7,266,035.00

Transmittal Letter to the RO/US (PTO1382)

0.25

43,457

10,864

$371.00

$4,030,544.00

Transmittal Letter to the DO/EO/US
Concerning a Submission Under 35
U.S.C. § 371 (PTO-1390)

0.25

66,462

16,616

$371.00

$6,164,536.00

PCT/Model of Power of Attorney

0.25

4,829

1,207

$371.00

$447,797.00

PCT/Model of General Power of Attorney

0.25

483

121

$371.00

$44,891.00

Indications Relating to a Deposited
Microorganism (PCT/RO/134)

0.25

$371.00

$0.00

Response to invitation to correct defects

2.0

13,286

26,572

$371.00

$9,858,212.00

Request for rectification of obvious errors

0.5

713

357

$371.00

$132,447.00

Demand and Fee Calculation Sheet
(Annex and Notes) (PCT/IPEA/401)

1.0

1,459

$371.00

$541,289.00

Item

Amendments (Article 34)

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/yr)
(d)

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

1.0

1,459

$371.00

$541,289.00

Fee Authorization

0.25

43,457

10,864

$371.00

$4,030,544.00

Requests to transmit copies of
international application

0.25

700

175

$371.00

$64,925.00

Withdrawal of international application
(PCT/IB/372)

0.25

905

226

$371.00

$83,846.00

Translations

2.0

21,180

42,360

$371.00

$15,715,560.00

Petition for Revival of an International
Application for Patent Designating the
U.S. Abandoned Unavoidably Under 37
CFR 1.137(a) (PTO/SB/61/PCT)

8.0

216

$371.00

$80,136.00

Petition for Revival of an International
Application for Patent Designating the
U.S. Abandoned Unintentionally Under 37
CFR 1.137(b) (PTO/SB/64/PCT)

1.0

1,354

$371.00

$502,334.00

Petitions to the Commissioner for
international applications

4.0

164

656

$371.00

$243,376.00

Petitions to the Commissioner in national
stage examination

4.0

4,877

19,508

$371.00

$7,237,468.00

Acceptance of an unintentionally delayed
claim for priority (37 CFR 1.78(a)(3))

2.0

294

588

$371.00

$218,148.00

Request for the restoration of the right of
priority

3.0

453

1,359

$371.00

$504,189.00

. . .

353,669

348,686

Totals

13.

. . .

$129,362,506.00

Total Annual (Non-hour) Cost Burden

This total annual (non-hour) cost burden for this collection is calculated in Table 4b
below. This collection has no capital start-up or recordkeeping costs.
Fees


Fees (Table 4a): Most of the fees associated with the items in this information
collection have been moved into collection 0651-0072, which was approved by
OMB in January 2013. The corresponding fees are now being deleted from
collection 0651-0021 to avoid double-counting. The fees remaining in collection
0651-0021 include the international filing fee associated with the Request
(estimated average fee amount of $1,254) and the handling fee associated with
the Demand (estimated fee amount of $213). Table 4a below details the fees
that have been moved to 0651-0072 and the fees that remain in 0651-0021.



The additional fees that applicants may incur for late filings (for filing after thirty
months from the priority date), multiple dependent claims, and lengthy
applications have all been moved into information collection 0651-0072 and are
now being deleted from collection 0651-0021 to avoid double-counting.

Translations and Drawings


Under the terms of the PCT, the USPTO may require documents submitted for a
PCT application to be translated into English when necessary. This requirement
may carry additional costs for the applicant to contract for a translation of the
documents in question. The cost of translating a document is dependent upon
the length of the document, the complexity of the document, whether the
document is technical, and the languages that the document has to be translated
to and from. Due to these variables, the USPTO cannot precisely estimate the
costs that parties may incur for these translations. The USPTO believes that the
average length of the documents to be translated will be 10 pages and that it will
cost approximately $150 per page for the translation, for an average translation
cost of $1,500 per document.



Applicants may also incur costs for drawings that are submitted as part of PCT
applications. Some applicants may produce their own drawings, while others
may contract out the work to various patent illustration firms. For the purpose of
estimating burden for this collection, the USPTO will consider all applicants to
have their drawings prepared by these firms. Estimates for these drawings can
vary greatly, depending on the number of figures that need to be produced, the
total number of pages for the drawings, and the complexity of the drawings. The
USPTO estimates that drawings may cost an average of $58 per sheet to
produce and that on average 11 sheets of drawings are submitted per
application, for an average total cost of $638 to produce a set of drawings for an
application. The USPTO expects that approximately 43,939 (91%) of the
estimated 48,285 applications per year will have drawings filed with them.

Postage
The USPTO estimates that the average first-class postage cost for a mailed submission
will be 46 cents and that up to 17,683 submissions (approximately 5% of responses) will
be mailed to the USPTO per year.
Table 4a: Fees for Respondents
Item

Fees

Request and Fee Calculation Sheet (Annex and Notes)
(PCT/RO/101)

The search fee and transmittal fee have been
moved to 0651-0072. The international filing fee
remains in 0651-0021.

Description/claims/drawings/abstracts

No fee.

Item

Fees

Application Data Sheet (35 U.S.C. § 371 applications)

No fee.

Transmittal Letter to the United States Receiving Office (RO/US)
(PTO-1382)

No fee.

Transmittal Letter to the United States Designated/Elected Office
(DO/EO/US) (PTO-1390)

The basic national fee, search fee, and
examination fee have been moved to 0651-0072.

PCT/Model of Power of Attorney

No fee.

PCT/Model of General Power of Attorney

No fee.

Indications Relating to a Deposited Microorganism (PCT/RO/134)

No fee.

Response to invitation to correct defects

No fee.

Request for rectification of obvious errors

No fee.

Demand and Fee Calculation Sheet (Annex and Notes)
(PCT/IPEA/401)

The preliminary examination fees have been
moved to 0651-0072. The handling fee remains
in 0651-0021.

Amendments (Article 34)

No fee.

Fee Authorization

No fee.

Requests to transmit copies of international application

No fee.

Withdrawal of international application (PCT/IB/372)

No fee.

Translations

No fee.

Petition for Revival of an International Application for Patent
Designating the U.S. Abandoned Unavoidably Under 37 CFR
1.137(a) (PTO/SB/61/PCT)

Fee moved to 0651-0072.

Petition for Revival of an International Application for Patent
Designating the U.S. Abandoned Unavoidably Under 37 CFR
1.137(a) (PTO/SB/61/PCT) - small entity

Fee moved to 0651-0072.

Petition for Revival of an International Application for Patent
Designating the U.S. Abandoned Unintentionally Under 37 CFR
1.137(b) (PTO/SB/64/PCT)

Fee moved to 0651-0072.

Petition for Revival of an International Application for Patent
Designating the U.S. Abandoned Unintentionally Under 37 CFR
1.137(b) (PTO/SB/64/PCT) - small entity

Fee moved to 0651-0072.

Petitions to the Commissioner for international applications

Fee moved to 0651-0072.

Petitions to the Commissioner in national stage examination

Fee moved to 0651-0072.

Acceptance of an unintentionally delayed claim for priority (37 CFR
1.78(a)(3))

Fee moved to 0651-0072.

Request for the restoration of the right of priority

Fee moved to 0651-0072.

Fee for the late filing of a search fee, examination fee, or oath or
declaration under 37 CFR 1.492(h), large entity

Fee moved to 0651-0072.

Fee for the late filing of a search fee, examination fee, or oath or
declaration under 37 CFR 1.492(h), small entity

Fee moved to 0651-0072.

Item

Fees

Fee for the late filing of an English translation of an international
application under 37 CFR 1.492(i)

Fee moved to 0651-0072.

Fee for applications containing a multiple dependent claim, large
entity

Fee moved to 0651-0072.

Fee for applications containing a multiple dependent claim, small
entity

Fee moved to 0651-0072.

Size fee for applications with specifications and drawings that
exceed 100 pages (for each additional 50 pages or fraction thereof),
large entity

Fee moved to 0651-0072.

Size fee for applications with specifications and drawings that
exceed 100 pages (for each additional 50 pages or fraction thereof),
small entity

Fee moved to 0651-0072.

Table 4b: Total Annual (Non-hour) Cost Burden for Respondents
Type of Cost

Estimated
annual
responses

Amount

Totals

Request and Fee Calculation Sheet (Annex and Notes)
(PCT/RO/101) – international filing fee

48,285

$1,254.00

$60,549,390.00

Demand and Fee Calculation Sheet (Annex and Notes)
(PCT/IPEA/401) – handling fee

1,459

$213.00

$310,767.00

....

$60,860,157.00

Total fees
6

English translations of non-English language documents for PCT
applications

21,180

$1,500.00

$31,770,000.00

Drawings

43,939

$638.00

$28,033,082.00

Postage for mailed submissions

17,683

$0.46

$8,134.00

....

$120,671,373.00

Total annual (non-hour) cost burden

14.

Annual Cost to the Federal Government

The items in this collection will be processed by USPTO employees with the following
estimated hourly costs based on standard GS hourly rates plus 30% added for benefits
and overhead:





GS-9, step 1: $24.74 + 30% ($7.42) = $32.16
GS-12, step 1: $35.88 + 30% ($10.76) = $46.64
GS-14, step 6: $58.81 + 30% ($17.64) = $76.45
GS-15, step 1: $59.30 + 30% ($17.79) = $77.09

Table 5 calculates the burden hours and costs to the Federal Government for
processing this information collection:

Table 5: Burden Hour/Burden Cost to the Federal Government
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

Request and Fee Calculation Sheet (Annex and
Notes) (PCT/RO/101)

0.50

48,285

24,143

$32.16

$776,439.00

Description/claims/drawings/abstracts

0.50

48,285

24,143

$32.16

$776,439.00

Application Data Sheet (35 U.S.C. § 371
applications)

0.50

51,539

25,770

$32.16

$828,763.00

Transmittal Letter to the RO/US (PTO-1382)

0.15

43,457

6,519

$32.16

$209,651.00

Transmittal Letter to the DO/EO/US Concerning a
Submission Under 35 U.S.C. 371 (PTO-1390)

0.15

66,462

9,969

$32.16

$320,603.00

PCT/Model of Power of Attorney

0.15

4,829

724

$32.16

$23,284.00

PCT/Model of General Power of Attorney

0.15

483

$32.16

$2,316.00

Indications Relating to a Deposited Microorganism
(PCT/RO/134)

0.15

$32.16

$0.00

Response to invitation to correct defects

1.00

13,286

$32.16

$427,278.00

Request for rectification of obvious errors

1.50

713

1,070

$32.16

$34,411.00

Demand and Fee Calculation Sheet (Annex and
Notes) (PCT/IPEA/401)

0.30

1,459

438

$32.16

$14,086.00

Amendments (Article 34)

0.75

1,459

1,094

$32.16

$35,183.00

Fee Authorization

0.15

43,457

6,519

$32.16

$209,651.00

Requests to transmit copies of international
application

0.15

700

105

$32.16

$3,377.00

Withdrawal of international application
(PCT/IB/372)

1.00

905

$32.16

$29,105.00

Translations

0.30

21,180

6,354

$32.16

$204,345.00

Petition for Revival of an International Application
for Patent Designating the U.S. Abandoned
Unavoidably Under 37 CFR 1.137(a)
(PTO/SB/61/PCT)

6.50

176

$76.45

$13,455.00

Petition for Revival of an International Application
for Patent Designating the U.S. Abandoned
Unintentionally Under 37 CFR 1.137(b)
(PTO/SB/64/PCT)

2.50

1,354

3,385

$76.45

$258,783.00

Petitions to the Commissioner for international
applications

6.50

164

1,066

$77.09

$82,178.00

Petitions to the Commissioner in national stage
examination

6.50

4,877

31,701

$77.09

$2,443,830.00

Acceptance of an unintentionally delayed claim for
priority (37 CFR 1.78(a)(3))

2.50

294

735

$46.64

$34,280.00

Request for the restoration of the right of priority

2.50

453

1,133

$46.64

$52,843.00

Item

Totals

Hours
(a)

....

Responses
(yr)
(b)

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

353,669

162,015

Rate
($/hr)
(d)

....

Total Cost
($/yr)
(e)
(c) x (d)
$6,780,300.00

The USPTO also has an automated information system that supports the processing of
PCT applications, POWER. The cost to support POWER is approximately $225,000
per year. Therefore, the total annual cost to the federal government for
processing this collection is $7,005,300.
15.

Reasons for Changes in Burden from the Current Inventory

The USPTO is removing from this collection two information requirements, extensions
of time and priority documents, because the information is no longer being collected.
The USPTO is also removing several fees from this collection that have been moved
into collection 0651-0072, which was approved by OMB in January 2013 in conjunction
with the USPTO rulemaking “Setting and Adjusting Patent Fees” (RIN 0651-AC54). The
corresponding fees are now being deleted from 0651-0021 to avoid double-counting
those annual (non-hour) costs in the USPTO’s inventory.
OMB previously approved this information collection in April 2010 with a total of 363,809
responses, 341,840 burden hours, and $282,024,234 in annual (non-hour) costs. There
have been no interim approvals.
Changes in Responses and Burden Hours from the Current Inventory
For this renewal, the USPTO estimates that the total annual responses will be 353,669
and the total annual burden hours will be 348,686, which is a decrease of 10,140
responses and an increase of 6,846 burden hours from the currently approved burden
for this collection. These changes are due to administrative adjustments from updated
annual response estimates and program changes from the removal of two items from
this collection, extensions of time and priority documents.
Table 6a: Changes in Responses from the Current Inventory
Item

Currently
approved
responses

Updated
responses

Total
change in
responses

Change in
responses
(admin.)

Change in
responses
(program)

Request and Fee Calculation Sheet (Annex
and Notes) (PCT/RO/101)

53,527

48,285

(5,242)

Description/claims/drawings/abstracts

53,527

48,285

(5,242)

Application Data Sheet (35 U.S.C. § 371
applications)

39,592

51,539

11,947

Transmittal Letter to the RO/US (PTO-1382)

48,174

43,457

(4,717)

Item

Currently
approved
responses

Updated
responses

Total
change in
responses

Change in
responses
(admin.)

Change in
responses
(program)

58,794

66,462

7,668

5,353

4,829

(524)

536

483

(53)

Extensions of time (being deleted)

21,000

(21,000)

Priority documents (being deleted)

(20)

Indications Relating to a Deposited
Microorganism (PCT/RO/134)

(19)

Response to invitation to correct defects

18,524

13,286

(5,238)

Request for rectification of obvious errors

589

713

124

Demand and Fee Calculation Sheet (Annex
and Notes) (PCT/IPEA/401)

3,365

1,459

(1,906)

Amendments (Article 34)

3,365

1,459

(1,906)

Fee Authorization

48,174

43,457

(4,717)

Requests to transmit copies of international
application

501

700

199

Withdrawal of international application
(PCT/IB/372)

1,306

905

(401)

Translations

1,655

21,180

19,525

Petition for Revival of an International
Application for Patent Designating the U.S.
Abandoned Unavoidably Under 37 CFR
1.137(a) (PTO/SB/61/PCT)

(28)

Petition for Revival of an International
Application for Patent Designating the U.S.
Abandoned Unintentionally Under 37 CFR
1.137(b) (PTO/SB/64/PCT)

1,027

1,354

327

Petitions to the Commissioner for
international applications

581

164

(417)

Petitions to the Commissioner in national
stage examination

3,287

4,877

1,590

Acceptance of an unintentionally delayed
claim for priority (37 CFR 1.78(a)(3))

117

294

177

Request for the restoration of the right of
priority

720

453

(267)

363,809

353,669

(10,140)

10,880

(21,020)

Transmittal Letter to the DO/EO/US
Concerning a Submission Under 35 U.S.C.
371 (PTO-1390)

PCT/Model of Power of Attorney

PCT/Model of General Power of Attorney

Totals

Table 6b: Changes in Burden Hours from the Current Inventory
Item

Request and Fee Calculation Sheet (Annex
and Notes) (PCT/RO/101)

Description/claims/drawings/abstracts

Currently
approved
hours

Updated
hours

Total
change in
hours

Change in
hours
(admin.)

Change in
hours
(program)

53,527

48,285

(5,242)

160,581

144,855

(15,726)

Application Data Sheet (35 U.S.C. § 371
applications)

15,045

19,585

4,540

Transmittal Letter to the RO/US (PTO-1382)

12,044

10,864

(1,180)

Transmittal Letter to the DO/EO/US
Concerning a Submission Under 35 U.S.C.
371 (PTO-1390)

14,699

16,616

1,917

PCT/Model of Power of Attorney

1,338

1,207

(131)

PCT/Model of General Power of Attorney

134

121

(13)

Extensions of time (being deleted)

5,250

(5,250)

Priority documents (being deleted)

(5)

Indications Relating to a Deposited
Microorganism (PCT/RO/134)

(5)

Response to invitation to correct defects

37,048

26,572

(10,476)

Request for rectification of obvious errors

295

357

Demand and Fee Calculation Sheet (Annex
and Notes) (PCT/IPEA/401)

3,365

1,459

(1,906)

Amendments (Article 34)

3,365

1,459

(1,906)

Fee Authorization

12,044

10,864

(1,180)

Requests to transmit copies of international
application

125

175

Withdrawal of international application
(PCT/IB/372)

327

226

(101)

Translations

3,310

42,360

39,050

Petition for Revival of an International
Application for Patent Designating the U.S.
Abandoned Unavoidably Under 37 CFR
1.137(a) (PTO/SB/61/PCT)

440

216

(224)

Petition for Revival of an International
Application for Patent Designating the U.S.
Abandoned Unintentionally Under 37 CFR
1.137(b) (PTO/SB/64/PCT)

1,027

1,354

327

Petitions to the Commissioner for
international applications

2,324

656

(1,668)

Item

Currently
approved
hours

Updated
hours

Total
change in
hours

Change in
hours
(admin.)

Change in
hours
(program)

Petitions to the Commissioner in national
stage examination

13,148

19,508

6,360

Acceptance of an unintentionally delayed
claim for priority (37 CFR 1.78(a)(3))

234

588

354

Request for the restoration of the right of
priority

2,160

1,359

(801)

341,840

348,686

6,846

12,101

(5,255)

Totals

Changes in Annual (Non-hour) Costs from the Current Inventory
The total annual (non-hour) cost burden for this submission of $120,671,373 is a
decrease of $161,352,861 from the currently approved total of $282,024,234. This net
decrease is due to program changes and administrative adjustments.
Program changes


Fees: Most of the fees in this collection are being removed because they have
been moved into collection 0651-0072.



Recordkeeping: Removed costs associated with retaining acknowledgment
receipts from online submissions because keeping these items is a suggestion
and not a requirement.



Postage: Decreased in part due to the removal of two items from this collection,
extensions of time and priority documents.

Administrative adjustments


Translations: Total costs increased due to an adjustment in the number of
estimated responses.



Drawings: Total costs decreased due to an adjustment in the number of
estimated responses.



Postage: Decreased primarily due to an adjustment in the estimated number of
mailed submissions, partially offset by a small increase in USPS postage rates
since the previous renewal.

Table 6c: Changes in Annual (Non-hour) Costs from the Current Inventory
Cost

Currently
approved annual
cost burden

Program changes

Administrative
adjustments

Filing fees

$243,010,098.00

($182,149,941.00)

$0.00

($182,149,941.00)

$60,860,157.00

Late filing fees

$3,102,970.00

($3,102,970.00)

$0.00

($3,102,970.00)

$0.00

Late translation
fees

$15,080.00

($15,080.00)

$0.00

($15,080.00)

$0.00

Multiple
dependent
claim fees

$1,602,510.00

($1,602,510.00)

$0.00

($1,602,510.00)

$0.00

Application size
fees

$679,185.00

($679,185.00)

$0.00

($679,185.00)

$0.00

Translations

$2,482,500.00

$0.00

$29,287,500.00

$31,770,000.00

Drawings

$31,076,980.00

$0.00

($3,043,898.00)

$28,033,082.00

Recordkeeping

$30,900.00

($30,900.00)

$0.00

($30,900.00)

$0.00

Postage

$24,011.00

($1,387.00)

($14,490.00)

($15,877.00)

$8,134.00

$282,024,234.00

($187,581,973.00)

$26,229,112.00

($161,352,861.00)

$120,671,373.00

Totals

16.

Total change in
costs

Updated annual
cost burden

Project Schedule

The USPTO does not plan to publish this information for statistical use or to have any
special publication for the items discussed in this supporting statement. However,
granted plant and utility patents are published weekly in the Official Gazette of the
United States Patent and Trademark Office, which is available electronically on the
USPTO Web site.
17.

Display of Expiration Date of OMB Approval

With the exception of forms PTO-1382, PTO-1390, PTO/SB/61/PCT, and
PTO/SB/64/PCT, the forms in this collection are international in nature and cannot
display specific country information such as the OMB control number and expiration
date. WIPO administers the PCT and created the associated PCT forms. PCT Rules
4.1-4.18 and 53.1, and Administrative Instructions Sections 102 and 103, specify the
forms to be used, and there are no provisions in the PCT for altering the forms from the
WIPO printing. The USPTO forms listed above will display the OMB control number
and the expiration date of OMB approval.
18.

Exceptions to the Certificate Statement

This collection of information does not include any exceptions to the certificate
statement.

COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection of information does not employ statistical methods.

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