Patent Cooperation Treaty

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form PCT/RO/101 Request and Fee Calculation Sheet (Annex and Notes)	Form and Instruction	Unchanged	Available
Form PTO/SB/64/PCT Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	Form	Unchanged	Available
Form PTO/SB/61/PCT Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	Form	Unchanged	Available
Form PCT/IB/372 Notice of Withdrawal	Form	Unchanged	Available
Form PCT/IPEA/401 Demand and Fee Calculation Sheet	Form and Instruction	Unchanged	Available
Form PCT/RO/134 Indications Relating to Deposited Microorganism or Other Biological Material	Form	Unchanged	Available
Form PTO-1390 Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371	Form	Unchanged	Available
Form PTO-1382 Transmittal Letter to the United States Receiving Office	Form	Unchanged	Available
0651-0021 January 2016 Change Worksheet.docx	Justification for No Material/Nonsubstantive Change	Uploaded 2016-01-29	Available
0651-0021-SupStmt-Apr2013.pdf	Supporting Statement A	Uploaded 2013-04-23	Available
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf	Supplementary Document	Uploaded 2013-04-23	Available
pct_regs.pdf	Supplementary Document	Uploaded 2013-04-23	Available
pct.pdf	Supplementary Document	Uploaded 2013-04-23	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
4689	Request and Fee Calculation Sheet	Form and Instruction	Unchanged	Request and Fee Calculation Sheet (Annex and Notes)
219809	[PCT National Stage] Claims – multiple dependent		New
219808	[PCT National Stage] Claims – extra total (over 20)		New
219807	[PCT National Stage] Claims – extra independent (over three)		New
219806	National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets		New
219805	Supplemental examination fee per additional invention		New
219804	Preliminary examination fee – U.S. was not the ISA		New
219803	Preliminary examination fee – U.S. was the ISA		New
219802	Supplemental search fee when required, per additional invention		New
219801	Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16)		New
219800	Transmittal fee		New
219799	English translation after thirty months from priority date		New
219798	Search fee, examination fee or oath or declaration after thirty months from priority date		New
219797	National Stage Examination Fee – all other situations		New
219796	National Stage Search Fee – all other situations		New
219795	Transmitting application to Intl. Bureau to act as receiving office		New
219794	National Stage Examination Fee – U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)		New
219793	National Stage Search Fee - search report prepared and provided to USPTO		New
219792	National Stage Search Fee – U.S. was the ISA		New
219791	National Stage Search Fee - U.S. was the ISA or IPEA and al claims satisfy PCT Article 33(1)-(4)		New
219790	Basic National Stage Fee		New
219789	Acceptance of an unintentionally delayed claim for priority, or for filing a request for the restoration of the right of priority		New
191415	Request for the restoration of the right of priority		Unchanged
191414	Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))		Unchanged
191413	Petitions to the Commissioner in national stage examination		Unchanged
191412	Petitions to the Commissioner for international applications		Unchanged
191411	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	Form	Unchanged	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)
191410	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	Form	Unchanged	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)
191409	Translations		Unchanged
191408	Withdrawal of international application	Form	Unchanged	Notice of Withdrawal
191407	Requests to transmit copies of international application		Unchanged
191406	Fee Authorization		Unchanged
191405	Amendments (Article 34)		Unchanged
191404	Demand and Fee Calculation Sheet	Form and Instruction	Unchanged	Demand and Fee Calculation Sheet
191403	Request for rectification of obvious errors		Unchanged
191402	Response to invitation to correct defects		Unchanged
191401	Indications Relating to a Deposited Microorganism	Form	Unchanged	Indications Relating to Deposited Microorganism or Other Biological Material
191398	PCT/Model of General Power of Attorney		Unchanged
191397	PCT/Model of Power of Attorney		Unchanged
191396	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371	Form	Unchanged	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371
191395	Transmittal Letter to the United States Receiving Office (RO/US)	Form	Unchanged	Transmittal Letter to the United States Receiving Office
191394	Application Data Sheet (35 U.S.C. 371 applications)		Unchanged
191393	Description/claims/drawings/abstracts		Unchanged

ICR Details

OMB Control No: 0651-0021	ICR Reference No: 201601-0651-010
Status: Historical Active	Previous ICR Reference No: 201304-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Cooperation Treaty
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/21/2016
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/29/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2016	06/30/2016	06/30/2016
Responses	923,310	0	353,669
Time Burden (Hours)	371,626	0	348,686
Cost Burden (Dollars)	291,867,138	0	120,671,373

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Abstract: The purpose of the Patent Cooperation Treaty (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 USPTO to fulfill its obligation to process, search, and examine the application as directed by the treaty.

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Authorizing Statute(s): US Code: 35 USC 351-376
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 7759	02/04/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 24184	04/24/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 43

table that charts list of burden

IC Title	Form No.	Form Name
Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))
Acceptance of an unintentionally delayed claim for priority, or for filing a request for the restoration of the right of priority
Amendments (Article 34)
Application Data Sheet (35 U.S.C. 371 applications)
Basic National Stage Fee
Demand and Fee Calculation Sheet	PCT/IPEA/401	Demand and Fee Calculation Sheet
Description/claims/drawings/abstracts
English translation after thirty months from priority date
Fee Authorization
Indications Relating to a Deposited Microorganism	PCT/RO/134	Indications Relating to Deposited Microorganism or Other Biological Material
National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets
National Stage Examination Fee – U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)
National Stage Examination Fee – all other situations
National Stage Search Fee - U.S. was the ISA or IPEA and al claims satisfy PCT Article 33(1)-(4)
National Stage Search Fee - search report prepared and provided to USPTO
National Stage Search Fee – U.S. was the ISA
National Stage Search Fee – all other situations
PCT/Model of General Power of Attorney
PCT/Model of Power of Attorney
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 Unavoidably Under 37 CFR 1.137(a)
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	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)
Petitions to the Commissioner for international applications
Petitions to the Commissioner in national stage examination
Preliminary examination fee – U.S. was not the ISA
Preliminary examination fee – U.S. was the ISA
Request and Fee Calculation Sheet	PCT/RO/101	Request and Fee Calculation Sheet (Annex and Notes)
Request for rectification of obvious errors
Request for the restoration of the right of priority
Requests to transmit copies of international application
Response to invitation to correct defects
Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16)
Search fee, examination fee or oath or declaration after thirty months from priority date
Supplemental examination fee per additional invention
Supplemental search fee when required, per additional invention
Translations
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371	PTO-1390	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371
Transmittal Letter to the United States Receiving Office (RO/US)	PTO-1382	Transmittal Letter to the United States Receiving Office
Transmittal fee
Transmitting application to Intl. Bureau to act as receiving office
Withdrawal of international application	PCT/IB/372	Notice of Withdrawal
[PCT National Stage] Claims – extra independent (over three)
[PCT National Stage] Claims – extra total (over 20)
[PCT National Stage] Claims – multiple dependent

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	923,310	353,669	0	569,641	0	0
Annual Time Burden (Hours)	371,626	348,686	0	22,940	0	0
Annual Cost Burden (Dollars)	291,867,138	120,671,373	0	171,195,765	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Filing fees have been added to collection 0651-0021 from collection 0651-0072, following the discontinuation of 0651-0072. This program change results in an increase of responses, time burden, and cost burden.

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Annual Cost to Federal Government: $7,005,300

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/29/2016

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