DOCX Submission Requirements

ICR 202309-0651-002

OMB: 0651-0089

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2023-09-27
Supplementary Document
2023-09-27
Supporting Statement A
2023-09-27
Supplementary Document
2023-09-27
IC Document Collections
IC ID
Document
Title
Status
262307
New
262306
New
262305
New
262304
New
262303
New
262302
New
262301
New
262300
New
262299
New
262298
New
262258
New
ICR Details
202309-0651-002
Received in OIRA
DOC/PTO
DOCX Submission Requirements
New collection (Request for a new OMB Control Number)   No
Regular 09/27/2023
  Requested Previously Approved
36 Months From Approved
411,817 0
123,877 0
49,588,160 0
As specified in §1.16(u), the fee is due for any application filed under 35 U.S.C. 111 for an original patent—except design, plant, or provisional applications—where the specification, claims, and/or abstract do not conform to the USPTO requirements for submission in the DOCX format. Therefore, the fee is due for nonprovisional utility applications filed under 35 U.S.C. 111, including continuing applications, that are not filed in the DOCX format. The items in this new information collection relate solely to the impacts of the § 1.16(u) non-DOCX filing surcharge fee on the filing of nonprovisional utility applications under 35 U.S.C. 111, including continuing applications. In particular, this new information collection accounts for the § 1.16(u) non-DOCX filing surcharge fee itself, as well as an additional 30 minutes of time to accommodate (i) the extra review that some respondents may undertake as they start to become more familiar with the DOCX format and (ii) submission of the back-up applicant-generated PDF that some respondents will opt to submit. The estimated volumes for the items in this new information collection are based on the estimates for the corresponding nonprovisional utility applications filed under 35 U.S.C. 111, including continuing applications, that are covered under an existing OMB clearance (0651-0032; Initial Patent Applications). Respondents for the items in the new information collection will either take an extra 30 minutes to file their applications in DOCX format or they will pay the non-DOCX surcharge, they will not do both.
PL: Pub.L. 112 - 119 1 Name of Law: Leahy Smith America Invents Act
  
None
Not associated with rulemaking
  88 FR 37039 06/06/2023
88 FR 66414 09/27/2023
Yes
  Total Request 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 411,817 0 0 411,817 0 0
Annual Time Burden (Hours) 123,877 0 0 123,877 0 0
Annual Cost Burden (Dollars) 49,588,160 0 0 49,588,160 0 0
Yes
Changing Regulations
No
This is a new information collection to support the submission to the USPTO of applications in the DOCX format. The USPTO is adopting the DOCX format because it aligns with the USPTO’s plans to expand automation of the patent application process, which will increase efficiencies and reduce costs for applicants and the USPTO.
$0
No
    Yes
    No
No
No
No
No
Raul Tamayo 571 272-7728 [email protected]
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
09/27/2023
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