0651-0032-SupportingStmt_Jan2014

SUPPORTING STATEMENT
United States Patent and Trademark Office
Initial Patent Applications
OMB CONTROL NO. 0651-0032
(January 30, 2014)

A.

JUSTIFICATION

1.

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 patent applications and documents not permitted to be filed via EFS-Web.
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(s)

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

Filing Fee

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

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

35 U.S.C. § 111(a) and (b)

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

Specification and claim

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

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)

2.

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; to supply the name or names of the inventor or inventors after the filing
date without a cover sheet in a provisional applications; identify and correct the

2

inventorship of provisional patent applications; and convert nonprovisional applications
to provisional applications.
The information in this collection can be submitted by mail, electronically, facsimile
(limited to petitions to accept unintentionally delayed priority/benefit claims, petitions to
accept a filing by other than all the inventors or a person not the inventor, and the
papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2)), and hand delivery.
There are 69 forms in this collection. This total includes versions of the inventor’s oath
and declaration forms that were created to comply with the changes resulting from the
Leahy-Smith America Invents Act, e.g., forms AIA/01, AIA/02, etc., as well as preAmerica Invents Act versions of the oath and declaration forms, e.g., forms SB/01,
SB/02, etc., and foreign language translations of the oath and declaration forms, e.g.,
forms AIA/01CN, SB/02CN, etc. The petitions and the papers filed to supply the name
or names of the inventor or inventors after the filing date without a cover sheet in a
provisional application, to correct inventorship in a provisional application, and to
convert a nonprovisional application to a provisional application do not have forms
associated with them.
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. This information collection and its supporting statement comply
with all applicable 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



Patent Application Fee Determination
Record (Substitute for Form PTO-875)
Multiple Dependent Claim Fee
Calculation Sheet (Substitute for Form
PTO-1360; For Use with Form
PTO/SB/06)
Fee Transmittal Form

PTO/SB/06



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.




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

PTO/SB/07

PTO/SB/17

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.

3

Form and Function

Form #

Utility Patent Application Transmittal

PTO/AIA/15

Design Patent Application Transmittal

PTO/AIA/18

Plant Patent Application Transmittal

PTO/AIA/19

Needs and Uses




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

PTO/SB/01

Declaration (37 CFR 1.63) for Utility or
Design Patent Application using an
Application Data Sheet (37 CFR 1.76)

PTO/SB/AIA01

Chinese Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01CN

German Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01DE

Spanish Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01ES

French Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01FR

Italian Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01IT

Japanese Language Declaration (37
CFR 1.63) for Utility or Design
Application Using an Application Data
Sheet (37 CFR 1.76)

PTO/AIA/01JP

Korean Language Declaration (37 CFR
1.63) for Utility or Design Application
Using An Application Data Sheet (37
CFR 1.76)

PTO/AIA/01KR

Dutch Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01NL







4

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.
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.

Form and Function

Form #

Russian Language Declaration (37 CFR
1.63) for Utility or Design Application
Using An Application Data Sheet (37
CFR 1.76)

PTO/AIA/01RU

Swedish Language Declaration (37 CFR
1.63) for Utility or Design Application
Using an Application Data Sheet (37
CFR 1.76)

PTO/AIA/01SE

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

PTO/SB/AIA08

Declaration (supplemental sheet for
PTO/SB/AIA08)

PTO/SB/AIA10

Needs and Uses




Declaration (Additional Inventors) and
Supplemental Priority Data Sheet
Declaration – Additional Inventors –
Supplemental Sheet



PTO/SB/02




PTO/SB/02A


Substitute Statement in Lieu of an Oath
or Declaration for Utility or Design Patent
Application (35 U.S.C. 115(d) and 37
CFR 1.64)

PTO/SB/AIA02

Substitute Statement Supplemental
Sheet (supplemental sheet for
PTO/SB/AIA02)

PTO/SB/AIA11

Declaration – Supplemental Priority Data
Sheet






PTO/SB/02B







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

PTO/SB/02CN

Chinese (simplified) Language Substitute
Statement in Lieu of an Oath or
Declaration for Utility or Design Patent
Application (35 U.S.C. §115(d) and 37
CFR 1.64)

PTO/AIA/02CN







5

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.

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.

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
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.

Form and Function

Form #

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

PTO/SB/02DE

German Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64)

PTO/AIA/02DE

Needs and Uses






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

PTO/SB/02ES

Spanish Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64)

PTO/AIA/02ES

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

PTO/SB/02FR

French Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64)

PTO/AIA/02FR

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

PTO/SB/02IT

Italian Language Substitute Statement in
Lieu of an Oath or Declaration for Utility
or Design Patent Application (35 U.S.C.
§115(d) and 37 CFR 1.64)

PTO/AIA/02IT

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

PTO/SB/02JP

Japanese Language Substitute
Statement in Lieu of an Oath or
Declaration for Utility or Design Patent
Application (35 U.S.C. §115(d) and 37
CFR1.64)

PTO/AIA/02JP

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

PTO/SB/02KR







6

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.
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.

Form and Function
Korean Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64)

Form #

Needs and Uses


PTO/AIA/02KR



Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Dutch Language Declaration for
Additional Inventors)
Dutch Language Substitute Statement in
Lieu of an Oath or Declaration for Utility
or Design Patent Application (35 U.S.C.
§115(d) and 37 CFR1.64)

Declaration (Additional Inventors) and
Supplemental Priority Data Sheet [2
pages] (Russian Language Declaration
for Additional Inventors)
Russian Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64)

PTO/SB/02NL




PTO/AIA/02NL

PTO/SB/02RU

PTO/AIA/02RU

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

PTO/SB/02SE

Swedish Language Substitute Statement
in Lieu of an Oath or Declaration for
Utility or Design Patent Application (35
U.S.C. §115(d) and 37 CFR 1.64

PTO/AIA/02SE







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

PTO/SB/02LR





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

PTO/SB/03

Declaration (37 CFR 1.63) for Plant
Patent Application using an Application
Data Sheet (37 CFR 1.76)

PTO/SB/AIA03

Plant Patent Application (35 U.S.C. 161)
Declaration (37 CFR 1.162)

PTO/SB/AIA09

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

PTO/SB/04

Substitute Statement in Lieu of an Oath
or Declaration for Plant Patent
Application (35 U.S.C. 115(d) and 37
CFR 1.64)

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.




PTO/SB/AIA04

7

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.
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

Form and Function

Form #

Substitute Statement Supplemental
Sheet (supplemental sheet for
PTO/SB/AIA04)

PTO/SB/AIA11

Declaration (supplemental sheet for
PTO/SB/AIA09)

PTO/SB/AIA10

Needs and Uses






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

Application Data Sheet Form

Application Data Sheet 37 CFR 1.76

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.

PTO/SB/14 EFSWeb



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 reduce 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.

PTO/AIA/14


Web-based Application Data Sheet Form

eADS


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

PTO/SB/01A

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

PTO/SB/03A





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

PTO/SB/29




For Design Applications Only: Receipt
for Facsimile Transmitted CPA

PTO/SB/29A

Provisional Application for Patent Cover
Sheet – Paper and Electronic Filing

PTO/SB/16 and
EFS-Web







Petition to Accept Unintentionally
Delayed Priority/Benefit Claim

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.

No Form
Associated




8

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 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.
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.

Form and Function

Form #

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

No Form
Associated

Needs and Uses



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






Electronic New Design Application

EFS-Web




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

3.









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.
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.
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.
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 37 CFR1.53(b) be converted to a provisional
application filed under 37 CFR 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 37 CFR 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

9

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 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. 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 is available through the USPTO Web site. PAIR
uses digital certificates to permit only authorized individuals to access information about
pending 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.
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

10

this information collection, EFS-Web Contingency Option can be used only to file
provisional patent applications, nonprovisional utility and 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 Burden to Small Entities

This information collection involves items which require the payment of fees by
customers who may qualify as small entities or micro entities. 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. As 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).
The fee burden for items in this collection is covered by collection 0651-0072, however
an explanation of the small entity burden of fees is provided here. Pursuant to section
10(b) of the Leahy-Smith America Invents Act (AIA), the USPTO provides a 50%
reduction in the fees for certain patent filings by 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(b) of the Act for certain patent filings by applicants who meet the definition of a micro
entity provided at 35 U.S.C. § 123 and 37 CFR 1.29. 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

11

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.
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

A Federal Register Notice announcing the renewal of this collection and requesting
public comments was published on October 1, 2013 (78 Fed Reg. 60256). The public
comment period was originally scheduled to end on December 2, 2013, but the USPTO
published a Federal Register Notice on November 12, 2013 (78 Fed Reg. 67339)
extending the public comment period to December 16, 2013. No public comments were
received in response to the October 1 Federal Register Notice.
In addition, the USPTO hosted a roundtable on December 11, 2013, at USPTO
headquarters in Alexandria, Virginia. The roundtable was open to the public and
available via Web cast. In light of the comments that were received during the
roundtable, the USPTO adjusted the estimated response times for the utility, plant,
design, and provisional patent application types in this collection.
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 1.11 and 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

12

“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 nonregistered 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
The USPTO projects that it will receive 597,047 responses per year. The USPTO
estimates that approximately 157,950 of these responses will be from small entities (this
estimate reflects a 25% small entity response rate for all items in the collection except
for design-related items in the collection, for which a 50% small entity response rate is
estimated). The USPTO estimates that 577,624 of the responses will be filed
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 takes the public approximately 30 minutes (0.50 hours) to
40 hours to complete the applications, petitions, and additional papers in this collection,
depending on the complexity of 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. The USPTO assumes that, on balance, it takes the
same amount of time to gather the necessary information, prepare the application,

13

petition, or other paper, and submit it to the USPTO, whether the applicant submits it in
paper form or electronically.
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. These estimates are also
based on feedback received during the December 11, 2013, roundtable.


Cost Burden Calculation Factors
The USPTO assumes that all of the information in this collection will be prepared by an
attorney. The USPTO uses a professional rate of $389 per hour for respondent cost
burden calculations, which is the mean rate for attorneys in private firms as shown in the
2013 Report of the Economic Survey, published by the Committee on Economics of
Legal Practice of the American Intellectual Property Law Association (AIPLA).
Based on the Agency’s long-standing institutional knowledge of and experience with the
type of information collected, the Agency estimates $389 is an accurate estimate of the
cost per hour to collect this information.

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)

1

Original New Utility Applications – No
Application Data Sheet

40.0

800

32,000

$389.00

$12,448,000.00

1

Electronic Original New Utility Applications –
No Application Data Sheet

40.0

26,500

1,060,000

$389.00

$412,340,000

2

Original New Plant Applications – No
Application Data Sheet

9.0

100

900

$389.00

$350,100.00

3

Original New Design Applications – No
Application Data Sheet

7.0

100

700

$389.00

$272,300.00

3

Electronic Original Design Applications – No
Application Data Sheet

7.0

2,900

20,300

$389.00

$7,896,700.00

4

Original New Utility Applications –
Application Data Sheet

40.0

7,500

300,000

$389.00

$116,700,000.00

4

Electronic Original New Utility Applications –
Application Data Sheet

40.0

238,200

9,528,000

$389.00

$3,706,392,000.00

5

Original New Plant Applications – Application
Data Sheet

9.0

1,200

10,800

$389.00

$4,201,200.00

6

Original New Design Applications –
Application Data Sheet

7.0

800

5,600

$389.00

$2,178,400.00

6

Electronic New Design Applications –
Application Data Sheet

7.0

26,500

185,500

$389.00

$72,159,500.00

7

Continuation/Divisional of an International
Application

4.0

300

1,200

$389.00

$466,800.00

7

Electronic Continuation/Divisional of an
International Application

4.0

10,200

40,800

$389.00

$15,871,200.00

14

Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

8

Utility Continuation/Divisional Applications

4.0

2,200

8,800

$389.00

$3,423,200.00

8

Electronic Utility Continuation/Divisional
Applications

4.0

71,600

286,400

$389.00

$111,409,600.00

9

Plant Continuation/Divisional Applications

3.0

200

600

$389.00

$233,400.00

10

Design Continuation/Divisional Applications

1.0

100

100

$389.00

$38,900.00

10

Electronic Design Continuation/Divisional
Applications

1.0

2,700

2,700

$389.00

$1,050,300.00

11

Continued Prosecution Applications – Design
(Request Transmittal and Receipt)

1.0

25

25

$389.00

$9,725.00

11

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

1.0

800

800

$389.00

$311,200.00

12

Utility Continuation-in-Part Applications

20.0

400

8,000

$389.00

$3,112,000.00

12

Electronic Utility Continuation-in-PartApplications

20.0

13,100

262,000

$389.00

$101,918,000.00

13

Plant Continuation-in-Part Applications

5.0

1

5

$389.00

$1,945.00

14

Design Continuation-in-Part Applications

3.0

20

60

$389.00

$23,340.00

14

Electronic Design Continuation-in-Part
Applications

3.0

800

2,400

$389.00

$933,600.00

15

Provisional Application for Patent Cover
Sheet

18.0

5,500

99,000

$389.00

$38,511,000.00

15

Electronic Provisional Application for Patent
Cover Sheet

18

178,600

3,214,800

$389.00

$1,250,557,200.00

16

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

1.0

30

30

$389.00

$11,670.00

16

Electronic Petition to Accept Unintentionally
Delayed Priority/Benefit Claims

1.0

970

970

$389.00

$377,330.00

17

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

1.0

33

33

$389.00

$12,837.00

17

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

1.0

1,067

1,067

$389.00

$415,063.00

18

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

0.5

1

1

$389.00

$389.00

15

Item

19

Papers filed under the following:

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

0.75

114

86

$389.00

$33,454.00

0.75

3,686

2,765

$389.00

$1,075,585.00

597,047

15,076,442

- - - -

$5,864,735,938.00

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.
37 CFR 1.48 – for correction of inventorship
in a provisional application.
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)
19

Electronic Papers filed under the following:
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.
37 CFR 1.48 – for correction of inventorship
in a provisional application.
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)
Total

13.

- - -

Total Annual (Non-hour) Cost Burden

The total annual (non-hour) cost burden for this collection is calculated in Table 4 below.
The postage and drawing costs are included in this information collection request. The
filing, search, and examination fees for the patent applications, the filing fees for the
petitions, the processing fees for the papers filed under 37 CFR 1.41, 1.48, and
1.53(c)(2), the additional fees incurred when an application is filed with additional sheets
or excess claims and the additional surcharges and fees 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 when an application is filed with
an non-English specification, are covered under 0651-0072 America Invents Act Section
10 Patent Fee Adjustments.
This collection has no maintenance, operation, capital start-up, or recordkeeping costs.
Postage
The patent applications, the petitions, and the papers filed under 37 CFR 1.41, 1.48,
and 1.53(c)(2) may be submitted by mail through the United States Postal Service. The

16

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 petitions
and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2) can be sent by first-class
mail.


For the patent applications, the USPTO estimates that the application package will
weigh at least one pound. Using the Express Mail (Priority Mail Express) flat rate
cost for mailing envelopes, the USPTO estimates that the average cost for sending
an initial application by Express Mail will be $19.99 and that up to 19,246
applications may be mailed by Express Mail to the USPTO.



For the petitions and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2), the
USPTO estimates that these submissions will average two ounces, for an estimated
postage rate of 70 cents. The USPTO estimates that up to 177 applications may be
mailed by first-class postage to the USPTO.

Drawing Costs
Patent applicants can submit drawings with their utility, design, plant, and provisional
applications. Applicants can prepare these drawings on their own or they can hire
patent illustration services firms to create them. As a basis for estimating the drawing
costs, the USPTO expects that 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 use the same
drawings as the initial filings, so they are not included in these totals. The continuationin-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 these
estimates. The drawings for the continued prosecution applications are also included in
the drawing cost totals. There are no continuation, divisional, or continuation-in-part
provisional applications.


Utility Drawings - The USPTO estimates that the costs to produce these drawings
can range from $30 to $200 per sheet. Taking the average of this range, the
USPTO estimates that it can cost $115 per sheet to produce the drawings and that
on average, 9 sheets of drawings are submitted, for an average cost of $1,035 to
produce the utility drawings. Out of 286,500 utility applications submitted per year,

17

the USPTO estimates that 77%, or 220,605 applications, will be submitted with
drawings.


Design Drawings - The USPTO estimates that the costs to produce design drawings
can range from $35 to $350 per sheet. Taking the average of this range, the
USPTO estimates that it can cost $193 per sheet to produce design drawings. On
average, 9 sheets of drawings are submitted, for an average cost of $1,737 to
produce the design drawings. Out of 31,945 design applications submitted per year,
the USPTO estimates that all of them will be submitted with drawings.



Plant Drawings – In general, photographs are submitted for the plant applications,
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, 9 sheets of drawings are submitted, for an average cost of $612 to produce
the photographs/drawings for the plant applications. Out of 1,301 plant applications
submitted per year, the USPTO estimates that all of them will be submitted with
drawings.



Provisional Drawings - The USPTO estimates that the costs to produce the
provisional drawings can range from $30 to $200 per sheet. Taking the average of
this range, the USPTO estimates that it can cost $115 per sheet to produce the
provisional drawings. On average, 9 sheets of drawings are submitted, for an
average cost of $1,035 to produce the provisional drawings. Out of 184,100
provisional applications submitted per year, the USPTO estimates that 77%, or
141,757, will be submitted with drawings.

Fees
The fee burden associated with the items in this collection is estimated and covered by
information collection 0651-0072 America Invents Act Section 10 Patent Fee
Adjustments. That collection was approved by OMB in January 2013 in conjunction
with the USPTO rulemaking “Setting and Adjusting Patent Fees” (RIN 0651-AC54).
These fees are now being deleted from the annual (non-hour) burden costs for 06510032 to avoid double-counting them in the USPTO’s inventory.
Table 4: Annual (Non-hour) Costs to Respondents
Type of Cost

Estimated
annual
responses

Amount

Totals

EXPRESS MAILING POSTAGE COSTS
1

Original New Utility Applications – No Application Data Sheet
Postage Costs

800

$19.99

$15,992.00

2

Original New Plant Applications – No Application Data Sheet
Postage Costs

100

$19.99

$1,999.00

18

Type of Cost

3

Original New Design Applications – No Application Data Sheet
Postage Costs

4

Original New Utility Applications – Application Data Sheet Postage
Costs

5

Estimated
annual
responses
100

Amount

Totals

$19.99

$1,999.00

7,500

$19.99

$149,925.00

Original New Plant Applications – Application Data Sheet Postage
Costs

1,200

$19.99

$23,988.00

6

Original New Design Applications – Application Data Sheet Postage
Costs

800

$19.99

$15,992.00

7

Continuation/Divisional of an International Application Postage
Costs

300

$19.99

$5,997.00

8

Utility Continuation/Divisional Applications – Postage Costs

2,200

$19.99

$43,978.00

9

Plant Continuation/Divisional Applications – Postage Costs

200

$19.99

$3,998.00

10

Design Continuation/Divisional Applications – Postage Costs

100

$19.99

$1,999.00

11

Continued Prosecution Applications – Design (Request Transmittal
and Receipt) Postage Costs

25

$19.99

$500.00

12

Utility Continuation-in-Part Applications Postage Costs

400

$19.99

$7,996.00

13

Plant Continuation-in-Part Applications Postage Costs

1

$19.99

$20.00

14

Design Continuation-in-Part Applications Postage Costs

20

$19.99

$400.00

15

Provisional Application for Patent Cover Sheet Postage Costs

5,500

$19.99

$109,945.00

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

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

$384,728.00

Total Express Postage Costs

FIRST-CLASS POSTAGE COSTS
16

Petition to Accept Unintentionally Delayed Priority/Benefit Claim
Postage Costs

30

$0.70

$21.00

17

Petition to Accept a Filing by Other Than all the Inventors or a
Person Not the Inventor Postage Costs

33

$0.70

$23.00

19

Papers Filed Under the Following (Postage Costs):

114

$0.70

$80.00

Total First-Class Postage Costs

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

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

$124.00

Total Postage Costs

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

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

$384,852.00

220,605

$1,035.00

$228,326,175.00

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)

DRAWING COSTS
1,
4,
12

Utility Application Drawing Costs

19

Type of Cost

3,
6, ,
11,
14

Design Application Drawing Costs

2,
5,
13

Plant Application Drawing Costs (Photographs)

15

Provisional Application Drawing Costs

Estimated
annual
responses

Total Drawing Costs

Total Fees

Total annual (non-hour) Costs

14.

Amount

Totals

31,945

$1,737.00

$55,488,465.00

1,301

$612.00

$796,212.00

141,757

$1,035.00

$146,718,495.00

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

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

$431,329,347.00

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

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

$0.00

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

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

$431,714,199.00

Annual Cost to Federal Government

The USPTO estimates that it takes a GS-5, step 1 employee between 6 minutes (0.1
hours) and 1 hour to process the applications, petitions, and additional papers in this
collection at an estimated cost of $21.44 per hour (GS-5/1 hourly rate of $16.49 with
30% ($4.95) added for benefits and overhead).
Table 5 calculates the burden hours and costs to the Federal Government for
processing this information collection:
Table 5: Burden Hour/Cost to the Federal Government
Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

1

Original New Utility Applications – No Application
Data Sheet

1.0

800

800

$21.44

$17,152.00

1

Electronic Original New Utility Applications – No
Application Data Sheet

1.0

26,500

26,500

$21.44

$568,160.00

2

Original New Plant Applications – No Application
Data Sheet

1.0

100

100

$21.44

$2,144.00

3

Original New Design Applications – No Application
Data Sheet

1.0

100

100

$21.44

$2,144.00

3

Electronic Original Design Applications – No
Application Data Sheet

1.0

2,900

2,900

$21.44

$62,176.00

4

Original New Utility Applications – Application Data
Sheet

1.0

7,500

7,500

$21.44

$160,800.00

4

Electronic Original New Utility Applications –
Application Data Sheet

1.0

238,200

238,200

$21.44

$5,107,008.00

20

Item

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

5

Original New Plant Applications – Application Data
Sheet

6

1.0

1,200

1,200

$21.44

$25,728.00

Original New Design Applications – Application
Data Sheet

1.0

800

800

$21.44

$17,152.00

6

Electronic New Design Applications – Application
Data Sheet

1.0

26,500

26,500

$21.44

$568,160.00

7

Continuation/Divisional of an International
Application

1.0

300

300

$21.44

$6,432.00

7

Electronic Continuation/Divisional of an
International Application

1.0

10,200

10,200

$21.44

$218,688.00

8

Utility Continuation/Divisional Applications

1.0

2,200

2,200

$21.44

$47,168.00

8

Electronic Utility Continuation/Divisional
Applications

1.0

71,600

71,600

$21.44

$1,535,104.00

9

Plant Continuation/Divisional Applications

1.0

200

200

$21.44

$4,288.00

10

Design Continuation/Divisional Applications

1.0

100

100

$21.44

$2,144.00

10

Electronic Design Continuation/Divisional
Applications

1.0

2,700

2,700

$21.44

$57,888.00

11

Continued Prosecution Applications – Design
(Request Transmittal and Receipt)

0.6

25

15

$21.44

$322.00

11

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

0.6

800

480

$21.44

$10,291.00

12

Utility Continuation-in-Part Applications

1.0

400

400

$21.44

$8,576.00

12

Electronic Utility Continuation-in-Part Applications

1.0

13,100

13,100

$21.44

$280,864.00

13

Plant Continuation-in-Part Applications

1.0

1

1

$21.44

$21.00

14

Design Continuation-in-Part Applications

1.0

20

20

$21.44

$429.00

14

Electronic Design Continuation-in-Part Applications

1.0

800

800

$21.44

$17,152.00

15

Provisional Application for Patent Cover Sheet

0.5

5,500

2,750

$21.44

$58,960.00

15

Electronic Provisional Application for Patent Cover
Sheet

0.5

178,600

89,300

$21.44

$1,914,592.00

16

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

0.3

30

9

$21.44

$193.00

16

Electronic Petition to Accept Unintentionally
Delayed Priority/Benefit Claim

0.3

970

291

$21.44

$6,239.00

17

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

0.3

33

10

$21.44

$214.00

17

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

0.3

1,067

320

$21.44

$6,861.00

18

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

0.1

1

1

$21.44

$21.00

21

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

Item

19

Papers filed under the following:

Hours
(a)

Responses
(yr)
(b)

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

Rate
($/hr)
(d)

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

0.5

114

57

$21.44

$1,222.00

0.5

3,686

1,843

$21.44

$39,514.00

597,047

501,297

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.
37 CFR 1.48 – for correction of inventorship in a
provisional application.
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)
19

Electronic Papers filed under the following:
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.
37 CFR 1.48 – for correction of inventorship in a
provisional application.
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)
Total

15.

- - - - -

- - - -

$10,747,807.00

Reasons for Changes in Burden from the Current Inventory

The USPTO is submitting the following changes for this renewal:


Adjusting the estimated annual responses, times, and burden hours.



Adding electronic options for the petitions and the papers filed under 37 CFR 1.41,
1.48, and 1.53(c)(2)



Removing the capital start-up costs associated with the compact disc copies of
patent applications containing large computer program listings or mega tables.



Adjusting the postage costs to reflect changes in the estimated number of mailed
submissions and the postage rate. The postage cost adjustments also reflect the
introduction of electronic filing options for the petitions and the papers filed under 37
CFR 1.41, 1.48, and 1.53(c)(2) and the elimination of the oversized computer
program listing/mega table CD submissions.



Removing the recordkeeping costs associated with electronic filings and oversized
computer program/mega table submissions.

22



Adjusting the drawing costs to reflect changes in the estimated annual responses
and estimated production costs.



Removing the filing, search, examination, processing, and additional fee burden
estimates to avoid double-counting those annual (non-hour) costs in the USPTO’s
inventory. The fee burden associated with the items in this collection is estimated
and covered by information collection 0651-0072 America Invents Act Section 10
Patent Fee Adjustments. That collection was approved by OMB in January 2013 in
conjunction with the USPTO rulemaking “Setting and Adjusting Patent Fees” (RIN
0651-AC54).

This collection has also been updated with two requests for nonsubstantive change
since the previous renewal of this collection in January 2011:


July 2012: Added eight new forms related to the inventor’s oath or declaration:
o Declaration (37 CFR 1.63) for Utility or Design Patent Application using an
Application Data Sheet (37 CFR 1.76) (PTO/SB/AIA01)
o Substitute Statement in Lieu of an Oath or Declaration for Utility or Design
Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) (PTO/SB/AIA02),
Declaration
o Declaration (37 CFR 1.63) for Plant Patent Application using an Application
Data Sheet (37 CFR 1.76) (PTO/SB/AIA03)
o Substitute Statement in Lieu of an Oath or Declaration for Plant Patent
Application (35 U.S.C. 115(d) and 37 CFR 1.64) (PTO/SB/AIA04)
o Declaration for Utility or Design Patent Application (37 CFR 1.63)
(PTO/SB/AIA08)
o Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.162)
(PTO/SB/AIA09)
o Declaration (supplemental sheet for PTO/SB/AIA08 or PTO/SB/AIA09)
(PTO/SB/AIA10)
o Substitute Statement Supplemental Sheet (supplemental sheet for
PTO/SB/AIA02 or PTO/SB/AIA04) (PTO/SB/AIA11)



September 2012: Added 21 new forms related to the inventor’s oath or declaration
and application data sheet:
o Application Data Sheet 37 CFR 1.76
o Declaration (37 CFR 1.63) for Utility or Design Patent Application using an
Application Data Sheet (37 CFR 1.76) (PTO/SB/AIA01), translated into
Chinese, Dutch, French, German, Italian, Japanese, Korean, Russian,
Spanish, and Swedish (Forms 2 through 11)
o Substitute Statement in Lieu of an Oath or Declaration for Utility or Design
Patent Application (35 U.S.C. 115(d) and 37 CFR 1.64) (PTO/SB/AIA02),
translated into Chinese, Dutch, French, German, Italian, Japanese, Korean,
Russian, Spanish, and Swedish (Forms 12 through 21)

23

This information collection is currently approved with a total of 513,221 responses,
11,553,888 burden hours, and $772,798,833 in annual (non-hour) costs.
Changes in Burden Estimates Since the 60-Day Federal Register Notice
In the 60-Day Federal Register Notice published on October 1, 2013, the USPTO
estimated that the total annual respondent burden hours for this collection would be
12,522,680 hours and that the annual non-hour respondent cost burden for this
collection would be $431,933,422.
The total annual respondent burden hours is calculated in part by using the estimated
response times for the items in the collection. On December 11, 2013, the USPTO held
a public roundtable to obtain additional public input regarding the burden associated
with this collection and ways to potentially reduce it. The USPTO received feedback
from the public concerning the response times for the various patent applications. In
light of this feedback, the USPTO decided to adjust the response times for the utility,
plant, design, and provisional application types in this collection.
The annual non-hour respondent cost burden estimate included $220,000 in filing fees
for the petitions to accept a filing by other than all the inventors or a person not the
inventor. The USPTO has since determined that these filing fees are accounted for in
0651-0072 America Invents Act Section 10 Patent Fee Adjustments (approved by OMB
in January 2013). Accordingly, these fees have been removed to avoid double-counting
them in the cost burden for this collection. With the removal of these fees, the annual
non-hour respondent cost burden for this collection does not include any fee cost
burden.
This estimate also included $384,075 in postage costs, which were calculated using a
flat-rate Express Mail rate of $19.95 and a first-class postage rate of 66 cents. As of
January 26, 2014, the United States Postal Service plans to adjust these rates to
$19.99 and 70 cents, respectively. Accordingly, the USPTO has adjusted its estimates
to reflect these new rates, for an estimated postage fee of $384,852.
The USPTO now estimates that the total annual respondent burden hours for this
collection will be 15,076,442 and that the total annual non-hour respondent cost burden
for this collection will be $431,714,199.
Changes in Responses and Burden Hours from the Current Inventory
The USPTO estimates total annual responses of 597,047 and total annual burden hours
of 15,076,442, which is an increase of 83,826 responses and 3,522,554 burden hours
from the currently approved burden for this collection.
These changes are due to administrative adjustments from updated annual response
and time estimates and program changes for the addition of electronic filing options for
the petitions and the papers filed under 37 CFR 1.41, 1.48, and 1.53(c)(2).

24

Table 6a: Changes in Responses from the Current Inventory
Item
#

Item

Currently
approved
responses

Updated
responses

Total
change in
responses

Change in
responses
(program)

Change in
responses
(admin.)

7,450

800

(6,650)

0

(6,650)

98,950

26,500

(72,450)

0

(72,450)

1

Original New Utility Applications – No
Application Data Sheet

1

Electronic Original New Utility Applications –
No Application Data Sheet

2

Original New Plant Applications – No
Application Data Sheet

660

100

(560)

0

(560)

3

Original New Design Applications – No
Application Data Sheet

795

100

(695)

0

(695)

3

Electronic Original Design Applications – No
Application Data Sheet

10,545

2,900

(7,645)

0

(7,645)

4

Original New Utility Applications –
Application Data Sheet

11,170

7,500

(3,670)

0

(3,670)

4

Electronic Original New Utility Applications –
Application Data Sheet

148,430

238,200

89,770

0

89,770

5

Original New Plant Applications – Application
Data Sheet

350

1,200

850

0

850

6

Original New Design Applications –
Application Data Sheet

970

800

(170)

0

(170)

6

Electronic New Design Applications –
Application Data Sheet

12,890

26,500

13,610

0

13,610

7

Continuation/Divisional of an International
Application

740

300

(440)

0

(440)

7

Electronic Continuation/Divisional of an
International Application

9,840

10,200

360

0

360

8

Utility Continuation/Divisional Applications

2,620

2,200

(420)

0

(420)

8

Electronic Utility Continuation/Divisional
Applications

34,900

71,600

36,700

0

36,700

9

Plant Continuation/Divisional Applications

150

200

50

0

50

10

Design Continuation/Divisional Applications

155

100

(55)

0

(55)

10

Electronic Design Continuation/Divisional
Applications

2,085

2,700

615

0

615

11

Continued Prosecution Applications –
Design (Request Transmittal and Receipt)

50

25

(25)

0

(25)

11

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

665

800

135

0

135

12

Utility Continuation-in-Part Applications

780

400

(380)

0

(380)

12

Electronic Utility Continuation-in-Part
Applications

10,340

13,100

2,760

0

2,760

13

Plant Continuation-in-Part Applications

35

1

(34)

0

(34)

25

Item
#

Item

Currently
approved
responses
40

Updated
responses
20

Total
change in
responses
(20)

Change in
responses
(program)
0

Change in
responses
(admin.)
(20)

520

800

280

0

280

10,330

5,500

(4,830)

0

(4,830)

137,220

178,600

41,380

0

41,380

1,090

30

(1,060)

(1,060)

0

14

Design Continuation-in-Part Applications

14

Electronic Design Continuation-in-Part
Applications

15

Provisional Application for Patent Cover
Sheet

15

Electronic Provisional Application for Patent
Cover Sheet

16

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

16

Electronic Petition to Accept Unintentionally
Delayed Priority/Benefit Claim

0

970

970

970

0

17

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

1,950

33

(1,917)

(1,917)

0

17

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

0

1,067

1,067

1,067

0

18

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

1

1

0

0

0

19

Papers filed under the following:

7,500

114

(7,386)

(7,386)

0

0

3,686

3,686

3,686

0

513,221

597,047

83,826

(4,640)

88,466

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.
37 CFR 1.48 – for correction of inventorship
in a provisional application.
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)
19

Electronic Papers filed under the following:
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.
37 CFR 1.48 – for correction of inventorship
in a provisional application.
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)
Totals

26

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

Item

1

Original New Utility Applications – No
Application Data Sheet

1

Electronic Original New Utility Applications –
No Application Data Sheet

2

Currently
approved
hours

Updated
hours

Total
change in
hours

Change in
hours
(program)

Change in
hours
(admin.)

247,340

32,000

(215,340)

0

(215,340)

3,285,140

1,060,000

(2,225,140)

0

(2,225,140)

Original New Plant Applications – No
Application Data Sheet

5,016

900

(4,116)

0

(4,116)

3

Original New Design Applications – No
Application Data Sheet

4,611

700

(3,911)

0

(3,911)

3

Electronic Original Design Applications – No
Application Data Sheet

61,161

20,300

(40,861)

0

(40,861)

4

Original New Utility Applications – Application
Data Sheet

370,844

300,000

(70,844)

0

(70,844)

4

Electronic Original New Utility Applications –
Application Data Sheet

4,927,876

9,528,000

4,600,124

0

4,600,124

5

Original New Plant Applications – Application
Data Sheet

2,660

10,800

8,140

0

8,140

6

Original New Design Applications –
Application Data Sheet

5,626

5,600

(26)

0

(26)

6

Electronic New Design Applications –
Application Data Sheet

74,762

185,500

110,738

0

110,738

7

Continuation/Divisional of an International
Application

2,442

1,200

(1,242)

0

(1,242)

7

Electronic Continuation/Divisional of an
International Application

32,472

40,800

8,328

0

8,328

8

Utility Continuation/Divisional Applications

8,646

8,800

154

0

154

8

Electronic Utility Continuation/Divisional
Applications

115,170

286,400

171,230

0

171,230

9

Plant Continuation/Divisional Applications

330

600

270

0

270

10

Design Continuation/Divisional Applications

171

100

(71)

0

(71)

10

Electronic Design Continuation/Divisional
Applications

2,294

2,700

406

0

406

11

Continued Prosecution Applications – Design
(Request Transmittal and Receipt)

20

25

5

0

5

11

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

266

800

534

0

534

12

Utility Continuation-in-Part Applications

12,870

8,000

(4,870)

0

(4,870)

12

Electronic Utility Continuation-in-Part
Applications

170,610

262,000

91,390

0

91,390

13

Plant Continuation-in-Part Applications

133

5

(128)

0

(128)

14

Design Continuation-in-Part Applications

108

60

(48)

0

(48)

27

Item
#

Item

14

Electronic Design Continuation-in-Part
Applications

15

Provisional Application for Patent Cover Sheet

15

Electronic Provisional Application for Patent
Cover Sheet

16

Petition to Accept Unintentionally Delayed
Priority/Benefit Claim

16

Currently
approved
hours

Updated
hours

Total
change in
hours

Change in
hours
(program)

Change in
hours
(admin.)

1,404

2,400

996

0

996

154,950

99,000

(55,950)

0

(55,950)

2,058,300

3,214,800

1,156,500

0

1,156,500

1,090

30

(1,060)

(1,060)

0

Electronic Petition to Accept Unintentionally
Delayed Priority/Benefit Claim

0

970

970

970

0

17

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

1,950

33

(1,917)

(1,917)

0

17

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

0

1,067

1,067

1,067

0

18

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

1

1

0

0

0

19

Papers filed under the following:

5,625

86

(5,539)

(5,539)

0

0

2,765

2,765

2,765

0

11,553,888

15,076,442

3,522,554

(3,714)

3,526,268

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.
37 CFR 1.48 – for correction of inventorship in
a provisional application.
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)
19

Electronic Papers filed under the following:
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.
37 CFR 1.48 – for correction of inventorship in
a provisional application.
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)
Totals

Changes in Annual (Non-Hour) Costs from the Current Inventory
The total annual (non-hour) cost burden for this renewal submission of $431,714,199 is
a decrease of $341,084,634 from the currently approved total of $772,798,833. This
decrease in annual costs is due to both program changes and administrative
adjustments.

28

Program changes


Capital Start-up: Removed costs associated with purchasing blank compact discs,
cases and labels for the discs, and padded mailing envelopes for making disc copies
of patent applications containing large computer program listings or mega tables.
These costs were removed because they are usual and customary costs that are
part of everyday business activities.



Postage: Removed postage costs for the CD submissions of patent applications
containing oversized program listings or mega tables because the USPTO projects
that a negligible number of these applications will be submitted. Also adjusted the
postage costs for the petitions and the papers filed under 37 CFR 1.41, 1.48, and
1.53(c)(2) because these submissions can also be submitted electronically.



Recordkeeping: Removed costs associated with retaining copies of electronicallyfiled patent application files and acknowledgement receipts because the USPTO
only suggests but does not require, that applicants keep copies of their
electronically-filed applications. Also removed costs associated with retaining the
printed copy of the application transmittal form and back-up copies of the CD
submissions of applications containing oversized computer program listings or mega
tables.



Fees: Removed the fees in this collection because they have been moved into
collection 0651-0072.

Administrative Adjustments


Postage: Decrease due in part to estimated decreases in the number of mailed
submissions as well as a change in how the postage rates for submissions using
Express Mail were derived. In the current renewal, the Express Mail rate was
calculated by averaging the postal rates for the United States Postal Service’s eight
mailing zones. A flat rate mailing envelope is now available and this rate was used
to calculate the Express Mail costs.



Drawings: Increase due in part to estimated increases for the production costs
associated with the drawings due to updated estimates for the cost per sheet and
the number of drawing sheets that are submitted. The increase is also due to an
estimated overall increase in the annual responses for the collection, plus updated
estimates for the percentage of utility and provisional applications filed with patent
drawings.

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

Capital Start-Up

Currently approved
annual cost burden
$22,441.00

Program
changes

Administrative
adjustments

($22,441.00)

29

0

Total change in
costs
($22,441.00)

Updated annual
cost burden
$0.00

Cost

Currently approved
annual cost burden
$825,528.00

Program
changes
($6,589.00)

Administrative
adjustments
($434,087.00)

Total change in
costs
($440,676.00)

Updated annual
cost burden
$384,852.00

$1,402,000.00

($1,402,000.00)

0

($1,402,000.00)

$0.00

Drawings

$321,102,827.00

0

$110,226,520.00

$110,226,520.00

$431,329,347.00

Fees

$449,446,037.00

($449,446,037.00)

0

($449,446,037.00)

$0.00

Totals

$772,798,833.00

($450,877,067.00)

$109,792,433.00

($341,084,634.00)

$431,714,199.00

Postage
Recordkeeping

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.

30