SUPPORTING STATEMENT
United States Patent and Trademark Office
Patent Cooperation Treaty
OMB CONTROL NUMBER 0651-0021
2025
A. JUSTIFICATION
Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.
This collection of information is required by the provisions of the Patent Cooperation Treaty (PCT), which became operational in June 1978 and is administered by the International Bureau (IB) of the World Intellectual Property Organization (WIPO) in Geneva, Switzerland. The provisions of the PCT have been implemented by the United States in Part IV of Title 35 of the U.S. Code (Chapters 35-37) and Subpart C of Title 37 of the Code of Federal Regulations (37 CFR §§ 1.401-1.499). The purpose of the PCT is to provide a standardized filing format and procedure that allows an applicant to seek protection for an invention in several countries by filing one international application in one location, in one language, and paying one initial set of fees.
The information in this collection is used by the public to submit a patent application under the PCT and by the United States Patent and Trademark Office (USPTO) to fulfill its obligation to process, search, and examine the application as directed by the treaty. The filing, search, written opinion, and publication procedures are provided for in Chapter I of the PCT. Additional procedures for a preliminary examination of PCT international applications are provided for in optional PCT Chapter II. Under Chapter I, an applicant can file an international application in the national or home office (Receiving Office (RO)) or the IB. The USPTO acts as the United States Receiving Office (RO/US) for international applications filed by residents and nationals of the United States. These applicants send most of their correspondence directly to the USPTO, but they may also file certain documents directly with the IB. The USPTO serves as an International Searching Authority (ISA) to perform searches and issues an international search report (ISR) and a written opinion (WOISA) on international applications. The USPTO also issues an international preliminary report on patentability (IPRP Chapter II) when acting as an International Preliminary Examining Authority (IPEA).
The RO reviews the application and, if it contains all of the necessary information, assigns a filing date to the application. The RO maintains the home copy of the international application and forwards the record copy of the application to the IB and the search copy to the ISA. The IB maintains the record copy of all international applications and publishes them 18 months after the earliest priority date, which is the earliest date for which a benefit is claimed. The ISA performs a search to determine whether there is any prior art relevant to the claims of the international application and will issue an international search report and written opinion as to whether each claim is novel, involves an inventive step, and is industrially applicable. The ISA then forwards the international search report and written opinion to the applicant and the IB. The IB will normally publish the application and search report 18 months after the priority date, unless early publication is requested by the applicant. Until international publication, no third person or national or regional office is allowed access to the international patent application unless so requested or authorized by the applicant. If the applicant wishes to withdraw the application (and does so before international publication), international publication does not take place.
Under optional Chapter II of the Treaty, an applicant who has filed an international application in a RO must file a demand for an international preliminary examination of the application by an IPEA, such as the USPTO. A Demand, including the form and required fees, must be filed within a prescribed time period. Usually, a Demand is filed with amendments and/or arguments under PCT Article 34 addressing objections raised in the WOISA. The International preliminary examination is a second evaluation of the potential patentability of the claimed invention (usually the claims have been amended), using the same standards on which the written opinion of the ISA was based. A copy of the examination report is sent to the applicant and to the IB. The IB then forwards a copy of the examination report to each Office elected by the applicant.
Table 1 provides the specific statutes and regulations authorizing the USPTO to collect the information discussed above:
Table 1: Information Requirements
Item No.
|
Requirement |
Statute |
Regulation |
1 |
Request and Fee Calculation |
PCT Articles 3 and 4, 35 U.S.C. §§ 361 and 376 |
PCT Rules 3, 4, 14-16, 37 CFR §§ 1.431-1.434, 1.445 |
2 |
Description/claims/drawings/abstracts |
PCT Articles 3.2, 5-7 |
PCT Rules 5-12, 37 CFR §§ 1.431(a), 1.435-1.438 |
3 |
Application Data Sheet (35 U.S.C. § 371 applications) |
PCT Article 8, 35 U.S.C. § 371 |
PCT Rule 26bis, 37 CFR §§ 1.76, 1.497(g) |
4 |
Transmittal Letter to the RO/US |
35 U.S.C. §§ 184 and 361 |
37 CFR §§ 1.10, 1.412, PCT Rule 14 |
5 |
Transmittal Letter to the DO/EO/US Concerning a Filing Under 35 U.S.C. 371 |
35 U.S.C. §§ 363 and 371 |
37 CFR §§ 1.414, 1.491-1.492 |
6 |
PCT/Model of Power of Attorney |
PCT Article 49 |
PCT Rules 90.4 and 90.5, 37 CFR § 1.455 |
7 |
PCT/Model of General Power of Attorney |
PCT Article 49 |
PCT Rules 90.4 and 90.5, 37 CFR § 1.455 |
8 |
Indications Relating to a Deposited Microorganism |
None |
PCT Rule 13bis |
9 |
Response to invitation to correct defects |
PCT Article 14 |
PCT Rules 26, 53 and 60 |
10 |
Response for rectification of obvious errors |
None |
PCT Rule 91 |
11 |
Demand and Fee Calculation |
PCT Article 31, 35 U.S.C. 362 and 376 |
PCT Rules 53-61, 37 CFR §§ 1.480-1.482 |
12 |
Amendments (Article 34) |
PCT Articles 14, 19, 34(2)(b) and 41, 35 U.S.C. 371(c)(3) |
PCT Rules 10, 11, 46 and 66, 37 CFR §§ 1.471-1.472, 1.485, 1.495 |
13 |
Fee Authorization |
35 U.S.C. 376 |
37 CFR 1.25 |
14 |
Requests to transmit copies of international application |
None |
PCT Rule 22 |
15 |
Withdrawal of international application |
PCT Administrative Sections 326 and 414, PCT Article 37, 35 U.S.C. 366 |
PCT Rules 90bis.1-.4 |
16 |
English translations after thirty months from priority date |
PCT Articles 36 and 46, 35 U.S.C. 371(c) |
PCT Rule 72, 37 CFR §§ 1.484, 1.492(f), 1.495 |
17 |
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally |
35 U.S.C. 371(c)-(d) |
37 CFR § 1.137(b), 37 CFR § 1.17(m) |
18 |
Petitions to the Commissioner for international applications |
35 U.S.C. 371 |
37 CFR § 1.10, 37 CFR §§ 1.181, 1.182 |
19 |
Petitions to the Commissioner in national stage examination |
35 U.S.C. 111, 116-118, and 371 |
37 CFR §§ 1.42, 1.47, 1.181, 1.182 |
20 |
Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3)) |
35 U.S.C. 119(e) and 120 |
37 CFR § 1.78 |
21 |
Request for the restoration of the right of priority |
PCT Article 8 |
PCT Rule 26bis.3 |
Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.
The information requested in this collection is necessary for respondents to file an international patent application and for the USPTO to process, search, and examine international applications and related correspondence under the PCT. If this information were not collected, the USPTO would not be able to fulfill its obligations under the PCT as a RO, ISA, or IPEA. The IB also uses this information to administer international applications as required by the PCT.
Some of the information in this collection has associated forms as indicated in Table 2 below. Use of the forms is not mandatory, but the USPTO advises applications to use these forms to ensure that all of the necessary information is provided and to assist the USPTO in processing the international applications quickly and efficiently. The Request and Demand forms include Annexes (Fee Calculation Sheets) and Notes with instructions on completing these forms. The WIPO also furnishes the PCT Applicant’s Guide and other documents to give the public additional guidance on preparing the international applications.
The information collected, maintained, and used in this collection is based on OMB and USPTO guidelines. This includes the basic information quality standards established in the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35), in OMB Circular A-130, and in the USPTO information quality guidelines.
Table 2 outlines how this collection of information is used by the public and the USPTO:
Table 2: Needs and Uses
Item No. |
Form/ Function |
Form No. |
Needs and Uses |
1 |
Request and Fee Calculation Sheet (Annex and Notes) |
PCT/RO/101 |
|
2 |
Description/claims/drawings/ abstracts |
No Form Associated |
|
3 |
Application Data Sheet |
No Form Associated |
|
4 |
Transmittal Letter to the United States Receiving Office (RO/US) |
PTO-1382 |
|
5
|
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371 |
PTO-1390 |
|
6
|
PCT/Model of Power of Attorney |
WIPTO form; PCT/Model of Power of Attorney |
|
7 |
PCT/Model of General Power of Attorney |
WIPTO form; PCT/Model of General Power of Attorney |
|
8 |
Indications Relating to a Deposited Microorganism |
PCT/RO/134 |
|
9 |
Response to invitation to correct defects |
No Form Associated |
|
10 |
Request for rectification of obvious errors |
No Form Associated |
|
11 |
Demand and Fee Calculation Sheet (Annex and Notes) |
PCT/IPEA/401 |
|
12 |
Amendments (Article 34) |
No Form Associated |
|
13 |
Fee Authorization |
No Form Associated |
|
14 |
Requests to transmit copies of international application
|
No Form Associated |
|
15 |
Withdrawal of international application |
PCT/IB/372 |
|
16 |
English translations after thirty months of international application |
No Form Associated |
|
17 |
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR § 1.137(a) |
PTO/SB/64/PCT |
|
18 |
Petitions to the Commissioner for international applications |
No Form Associated |
|
19 |
Petitions to the Commissioner in national stage examination |
No Form Associated |
|
20 |
Acceptance of an unintentionally delayed claim for priority (37 CFR § 1.78(a)(3)) |
No Form Associated |
|
21 |
Request for the restoration of the right of priority |
No Form Associated |
|
Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.
The forms associated with this information collection may be downloaded from the USPTO website in Portable Document Format (PDF), filled out electronically, and then either printed for mailing or submitted online to the USPTO.
The PCT provides for electronic filing of international applications, as long as the confidentiality requirements are met. Customers may submit PCT materials to the USPTO electronically through Patent Center, the USPTO’s online filing system for patent applications and related documents. Patent Center allows customers to file applications and associated documents through their standard web browser without downloading special software, changing their documentation preparation tools, or altering their workflow processes. Customers may create their patent applications and associated documents using the tools and processes that they already use and then convert those documents into standard PDF files that are submitted through Patent Center to the USPTO. The fillable PDF forms that can be submitted through Patent Center may be downloaded from the USPTO website and do not require special PDF creation software.
Registered and unregistered users can file documents through Patent Center. 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 Patent Center using Transport Layer Security (TLS) or Secure Socket Layer (SSL) protocol.
Patent Center offers many benefits to filers, including immediate notification that a submission has been received by the USPTO, automated processing of requests, and avoidance of postage and other paper delivery costs. Users can access Patent Center from any computer with an internet connection. Since Patent Center is hosted on the USPTO’s secure servers and not on the individual’s personal computer, USPTO staff can update Patent Center 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.
Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in Item 2 above.
The information is only collected when an applicant or representative submits an international application and is not collected elsewhere. Duplication of identifying information is required on subsequent correspondence to ensure that the correspondence can be associated with the correct application. In general, the PCT is designed to minimize the need for duplication by allowing an applicant to file a single application that has the effect of a national application filed in multiple countries.
If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.
The information in this collection is necessary in order to process requests related to PCT applications. The same information is required from every applicant and is not available from any other source.
Pursuant to 35 U.S.C. 41(h)(1), the USPTO provides a fifty percent (50%) reduction in the fees charged under 35 U.S.C. 41(a) and (b) for small entities. The USPTO also provides a fifty percent (50%) reduction of the already-reduced small-entity fees for those entities asserting micro entity status. The USPTO’s regulations concerning the payment of reduced patent fees by small entities and micro entities are at 37 CFR §§ 1.27 and 1.28, and reduced patent fees for applicants with either small-entity or micro-entity status are shown in 37 CFR §§ 1.16, 1.17, 1.18 and 1.20.
No significant burden is placed on small or micro entities, in that small entities must only identify themselves as such in order to obtain these benefits, and micro entities must only provide a certification of micro entity status. An assertion or certification of small or micro entity status, respectively, only needs to be filed once in an application or patent (although a fee may be paid in the micro entity amount only if the applicant or patentee is still entitled to micro entity status on the date the fee is paid).
Describe the consequence to federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.
This information is collected only when an applicant or representative submits an international application. This collection of information is necessary to process an international application under the PCT and could not be conducted less frequently. If this information were not collected, the USPTO would not be able to process the application as required by 35 U.S.C. 364(a).
Explain any special circumstances that would cause an information collection to be conducted in a manner:
· requiring respondents to report information to the agency more often than quarterly;
· requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;
· requiring respondents to submit more than an original and two copies of any document;
· requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;
· in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;
· requiring the use of a statistical data classification that has not been reviewed and approved by OMB;
· that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or
· requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.
There are no special circumstances associated with this collection of information.
If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported. Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years - even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.
The 60-Day Federal Register Notice was published on June 23, 2025 (90 FR 26555).1 The comment period ended on August 22, 2025. One substantive comment was received. The main points of the comment and the USPTO response are listed below.
The comment suggested inexperienced filers face a greater burden in understanding USPTO procedures and rules during patent examination, which may necessitate greater support and increased time estimates to account for this variety of experienced levels. This comment also requested that the Agency separate respondent categories between attorneys and unrepresented filers. The commenter did not provide specific details about how the burden estimate should be revised for unrepresented filers.
Section A: Improved Pathways for Applicants with Varying Experience Levels
Comment:
The commentor suggests introducing custom ways to collect data from applicants and easier paths for applicants to make simple, low-risk filings. The commentor says that this would “keep the system working while making things less difficult when it’s not necessary.” They are concerned about the different effort/workload expected of individual inventors, small businesses, and big companies for filing PCT applications.
Response:
The information collected in this information collection is the minimum necessary to file an international application, and therefore the USPTO cannot adopt custom pathways for certain applicants. The USPTO tracks information about applications by entity status categories (undiscounted, small, and micro) and does not collect information about the experience level of applicants. As a result, the collection is based on applicants under these respective categories, and not by the levels of applicant experience. The USPTO offers discounts to certain filers. Small entity applicants receive a 60% discount and micro entity applicants receive an 80% discount on most USPTO fees. For more information on applicant entity statuses and discounted rates please see: https://www.uspto.gov/patents/apply/save-on-fees.
Section B: Burden Estimates
Comment:
The commentor stated that the burden hour assumptions listed in the 60-day notice “don’t account for varying experience levels, [application] complexity, [or] available support.” They are concerned that individuals filing applications without legal support face larger delays than small businesses or big companies filing similar applications. Therefore, the commentor recommended that the average burden estimates should reflect the “varying applicant experience levels, use of legal assistance, and time lost to technical and procedural problems.”
Response:
The burden estimates used by the USPTO are averages, which already take into account the participation of filers with varying patent filing experience. The USPTO does not collect information pertaining to the experience level of applicants. The commenter did not provide specific details about which items in the present collection require changes or specify exactly how an item’s burden estimate should be revised. The commenter’s generic estimation of excess burden cannot be applied wholesale to the information collection.
Section C: PCT User Experience
Comment:
The commentor provides three recommended process improvements to improve user experience when filing applications while also maintaining the USPTO’s data quality standards. These recommendations include:
Improved guidance systems for filers;
Comprehensive examples of completed forms used for common scenarios; and
Enhanced feedback mechanisms.
Response:
The USPTO appreciates the feedback and suggestions made. The USPTO understands that many filers have questions about the filing process and need assistance. The USPTO offers many resources to help applicants file their applications. The PCT page on the USPTO website offers numerous links to resources about the PCT. Information contained on the USPTO website covers PCT legal information, including the treaty, regulations, and guidelines. The website also includes forms, fees, and information to understand the PCT process, such as:
an FAQ about PCT;1
the PCT Applicant’s Guide;2
a PCT time limits calculator;
the time limit for the National or Regional phase;
the PCT newsletter;3 and
an introduction to the PCT (in the USPTO’s e-learning module).4
The website also includes assistance and contact information, including an International Patent Legal Administration (IPLA) email list to notify PCT applicants of updates to the forms and other information. It also includes the phone number for the PCT Helpdesk, which provides assistance to the public and answers questions that applicants have on the PCT process.5 The website also provides links to related international intellectual property and patent sites such as the World Intellectual Property Organization (WIPO), the European Patent Office (EPO), and the Korean Ministry of Intellectual Property (MOIP).
Additionally, the USPTO’s Patent Center is a web-based tool that incorporates filing, retrieving, and managing patent applications within a single, unified interface. A Patent Center User Guide provides applicants assistance in navigating the system.6 The USPTO implemented many of the suggestions for improvement it received during Patent Center’s extended rollout. For example, user feedback has resulted in improvements, such as:
facilitated document description selection with type ahead search of keywords;
saved submission storage for 14 days;
increased the number of documents that can be filed in one submission to 100;
ability to switch between attorneys without having to re-authenticate; and
searching by attorney docket number from the Patent Center sign-in page.
Overall, Patent Center provides many enhancements to the patent application process, including:
incorporation of filing and application management within a single user interface for enhanced user experience;
utilization of the same USPTO.gov accounts and sponsorships that were used to log in to EFS-Web and PAIR;
submission of the specification, claims, abstract and drawings in a single DOCX document without the need to manually separate sections;
a “drag-and-drop" interface that allows filers to upload multiple files at once;
separate submission and payment receipts that clearly confirm the status of submitted documents and successful payments; and
a training mode which acts as an interactive simulation where applicants can safely practice filing their documents.
Section D: PCT Filing Process
Comment:
The commentor was concerned that PCT filings are “overwhelming for first-time applicants, small business, and those without legal support.” They cited complex forms, poor user experience, and high-risk errors as the main problems facing those filers.
The commentor provided suggestions for improvement, including: implementing smart forms, auto-filing information for repeat filers, accepting flexible file formats, providing real-time error checking, and linking up with WIPO’s ePCT platform.
Response:
The U.S. Receiving Office (RO/US) has previously implemented items suggested by the commentor in the filing of PCT applications. As indicated above, the USPTO has a number of resources available to applicants to assist them in filing their international application at the U.S. Receiving office (RO/US). In addition, the ePCT system addresses many of the commentor’s current concerns.
The ePCT system is a secure browser-based application that offers a wide range of services to U.S. applicants and makes the filing and management of international applications easier and more efficient. The RO/US allows the use of WIPO’s ePCT platform for filing international applications at the RO/US as it offers many benefits to U.S. applicants such as data validation and error detection, to help applicants properly complete the PCT Request form. During the filing process, formality errors are detected prior to submission and applicants can then correct them before the international application is filed at the US/RO. It also entitles U.S. applicants to a fee reduction by using ePCT in their international application filings.
The ePCT system also provides for auto-population filing of information for the PCT Request form, and other forms, such as the Declaration of Inventorship for the purpose of the U.S. If the declaration contains one inventor, the declaration form automatically populates the inventor’s details recorded in the International Bureau’s (IB) database. Also, applicants can submit a wide range of online requests with real-time validations for actions such as changes under Rule 92bis. For more information on ePCT, see https://pct.wipo.int/ePCT.
With respect to commentor’s suggestion on accepting flexible file format, commentor is directed to USPTO’s Legal Framework for Patent Electronic System, which informs the public about the file formats accepted for filing patent applications at the USPTO. See USPTO’s Legal Framework for Patent Electronic System.
The 30-Day Federal Register Notice was published on November 21, 2025 90 FR 52622).7 The comment period will end on December 22, 2025.
Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
This information collection does not involve a payment or gift to any respondent.
Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.
Confidentiality of patent applications is governed by statute (35 U.S.C. 122) and regulation (37 CFR §§ 1.11 and 1.14). The USPTO has a legal obligation to maintain the confidentiality of the contents of unpublished patent applications and related documents. For secure electronic access to the patent electronic filing system (Patent Center), the USPTO employs digital certificates and PKI technology to permit only authorized individuals to access private patent application information and to maintain the confidentiality and integrity of the information as it is transmitted over the Internet. Upon publication of an application or issuance of a patent, the patent application file is made available to the public, subject to the provisions for providing only a redacted copy of the file contents. The entire file of a reexamination proceeding is available to the public.
USPTO is required by 35 U.S.C. 131, to maintain the patenting process. Information is collected on petitions and applications for patent products including information regarding representation.
This collection contains information which is subject to the Privacy Act. This information is collected on petitions filed for patent maintenance. Privacy Act Statements are included on all of these forms. The following SORN provide privacy disclosures and information about USPTO’s handling of personally identifiable information (PII) that is part of this collection.
SORN PAT/TM-7 Patent Application Files, published March 29, 2013 (78 FRN 19243) provides information about USPTO’s handling of personally identifiable information that is collected regarding patent applications.8 SORN 7 identifies the categories of individuals covered by the system containing applicants for patent, including inventors, legal representatives for deceased or incapacitated inventors, and other persons authorized by law to make applications for patent. Categories of records in the system comprises the following: oath or declaration of applicant including name, citizenship, residence, post office address and other information pertaining to the applicant's activities in connection with the invention for which a patent is sought. Statements containing various kinds of information with respect to inventors who are deceased or incapacitated, or who are unavailable or unwilling to make application for patent.
The information in SORN 7 is protected from disclosure to third parties in accordance with the Privacy Act until the application is published under 35 U.S.C. 122(b) or issued as a patent under 35 U.S.C. 153. Prior to application publication or patent issuance, the information in SORN 7 is protected from disclosure to third parties in accordance with the Privacy Act, except that disclosure is permitted for the following routine uses including, but not limited to: law enforcement in the event that the system of records indicates a violation or potential violation of law; a federal, state, local, or international agency, in response to its request; an agency, organization, or individual for the purpose of performing audit or oversight operations as authorized by law; non-federal personnel under contract to the agency; the Department of Justice for Freedom of Information Act (FOIA) assistance; a member of Congress working on behalf of an individual to whom the record pertains, when the individual has requested the member’s assistance with respect to the subject matter of the record; the Office of Personnel Management (OPM) for personnel research purposes; and the Office of Management and Budget (OMB) for legislative coordination and clearance.
Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.
None of the required information in this collection is considered to be sensitive.
Provide estimates of the hour burden of the collection of information. The statement should:
Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.
If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.
Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under ‘Annual Cost to Federal Government’.
Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information.
Table 3 calculates the burden hours and costs of this information collection to the public, based on the following factors:
Respondent Calculation Factors
The USPTO estimates that it will receive approximately 412,493 responses per year from 412,493 respondents for this information collection, with approximately 20% of these responses submitted by small entities.
The USPTO estimates that 99% of the responses for this information collection will be submitted electronically via Patent Center, which customers may access through the USPTO website.
Burden Hour Calculation Factors
The USPTO estimates that it takes the public approximately 15 minutes (0.25 hours) to 4 hours, depending on the complexity of the situation and item, to gather the necessary information, prepare the appropriate document(s), and submit the item to the USPTO. Using these burden factors, USPTO estimates that the total respondent hourly burden for this information collection is 343,739 hours per year.
Cost Burden Calculation Factors
The USPTO uses a professional rate of $447 per hour for respondent cost burden calculations, which is the median rate for intellectual property attorneys in private firms as shown in the 2023 Report of the Economic Survey published by the American Intellectual Property Law Association (AIPLA).
Using these hourly rates, the USPTO estimates that the total respondent cost burden for this information collection is $153,651,333 per year.
Table 3: Total Burden Hours and Hourly Costs to Private Sector Respondents
Item No. |
Item |
Estimated Annual Respondents
(a) |
Responses per Respondent
(b) |
Estimated Annual Responses
(a) x (b) = (c) |
Estimated Time for Response (hours)
(d) |
Estimated Burden (hour/year)
(c) x (d) = (e) |
Rate9 ($/hour)
(f) |
Estimated Annual Respondent Cost Burden
(e) x (f) = (g) |
1 |
Request and Fee Calculation Sheet (Annex and Notes) |
52,400 |
1 |
52,400 |
1 |
52,400 |
$447 |
$23,422,800 |
2 |
Description/Claims/Drawings/Abstracts |
52,400 |
1 |
52,400 |
3 |
157,200 |
$447 |
$70,268,400 |
3 |
Application Data Sheet (35 U.S.C. 371 Applications) |
108,371 |
1 |
108,371 |
0.38 (23 minutes) |
41,181 |
$447 |
$18,407,907 |
4 |
Transmittal Letter to the United States Receiving Office (RO/US) |
13,926 |
1 |
13,926 |
0.25 (15 minutes) |
3,482 |
$447 |
$1,556,454 |
5 |
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 |
94,228 |
1 |
94,228 |
0.25 (15 minutes) |
23,557 |
$447 |
$10,529,979 |
6 |
PCT/Model of Power of Attorney |
13,371 |
1 |
13,371 |
0.25 (15 minutes) |
3,343 |
$447 |
$1,494,321 |
7 |
PCT/Model of General Power of Attorney |
1,486 |
1 |
1,486 |
0.25 (15 minutes) |
372 |
$447 |
$166,284 |
8 |
Indications Relating to a Deposited Microorganism |
10 |
1 |
10 |
0.25 (15 minutes) |
3 |
$447 |
$1,341 |
9 |
Response to Invitation to Correct Defects |
18,609 |
1 |
18,609 |
2 |
37,218 |
$447 |
$16,636,446 |
10 |
Request for Rectification of Obvious Errors |
1,989 |
1 |
1,989 |
0.50 (30 minutes) |
995 |
$447 |
$444,765 |
11 |
Demand and Fee Calculation Sheet (Annex and Notes) |
688 |
1 |
688 |
1 |
688 |
$447 |
$307,536 |
12 |
Amendments (Article 34) |
611 |
1 |
611 |
1 |
611 |
$447 |
$273,117 |
13 |
Fee Authorization |
48,600 |
1 |
48,600 |
0.25 (15 minutes) |
12,150 |
$447 |
$5,431,050 |
14 |
Requests to Transmit Copies of International Application |
514 |
1 |
514 |
0.25 (15 minutes) |
129 |
$447 |
$57,663 |
15 |
Withdrawal of International Application |
225 |
1 |
225 |
0.25 (15 minutes) |
56 |
$447 |
$25,032 |
16 |
English Translations After Thirty Months from Priority Date |
3,238 |
1 |
3,238 |
2 |
6,476 |
$447 |
$2,894,772 |
17 |
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(a) |
928 |
1 |
928 |
1 |
928 |
$447 |
$414,816 |
18 |
Petitions to the Commissioner for International Applications |
49 |
1 |
49 |
4 |
196 |
$447 |
$87,612 |
19 |
Petitions to the Commissioner in National Stage Examination |
424 |
1 |
424 |
4 |
1,696 |
$447 |
$758,112 |
20 |
Acceptance of an Unintentionally Delayed Claim for Priority (37 CFR 1.78(a)(3)) |
220 |
1 |
220 |
2 |
440 |
$447 |
$196,680 |
21 |
Request for the Restoration of the Right of Priority |
206 |
1 |
206 |
3 |
618 |
$447 |
$276,246 |
|
Totals |
412,493 |
- - - |
412,493 |
- - - |
343,739 |
- - - |
$153,651,333 |
Provide an estimate for the total annual cost burden to respondents or record keepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).
The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.
There are no capital start-up costs, maintenance costs, or recordkeeping costs associated with this information collection. However, there are non-hour costs in the form of filing fees, translations, drawings, and associated postage costs for mailing items to USPTO.
The total non-hour respondent cost for this collection is estimated to be $452,882,158 per year, which includes $285,961,858 in filing fees, $4,533,200 in translation costs, $162,340,900 in drawing costs, and $46,200 in postage.
Filing Fees
There are fees associated with submitting items as part of this information collection, for a total of $285,961,858 per year as outlined in Table 4 below.
Table 4: Filing Fees
Item No. |
Fee Code |
Item |
Estimated Annual Responses
(a) |
Filing Fee ($)
(b) |
Estimated Non-hourly Cost Burden
(a) x (b) = (c) |
1 |
1702 |
Request and Fee Calculation Sheet (Annex and Notes – International Filing Fee) first 30 pages |
26 |
$1,457 |
$37,882 |
1 |
1701 |
Request and Fee Calculation Sheet (Annex and Notes - International Filing Fee electronically filed without ePCT or PCT-EASY zip file) |
11,865 |
$1,347 |
$15,982,155 |
1 |
1710 |
Request and Fee Calculation Sheet (Annex and Notes - International Filing Fee electronically filed with ePCT or PCT-EASY zip file) |
40,433 |
$1,238 |
$50,056,054 |
2 |
1614 |
[PCT National Stage] Claims – extra independent (over three) (Undiscounted entity) |
8,143 |
$600 |
$4,885,800 |
2 |
2614 |
PCT National Stage] Claims – extra independent (over three) (Small entity) |
2,724 |
$240 |
$653,760 |
2 |
3614 |
PCT National Stage] Claims – extra independent (over three) (Micro entity) |
100 |
$120 |
$12,000 |
2 |
1615 |
[PCT National Stage] Claims – extra total (over 20) (Undiscounted entity) |
11,162 |
$200 |
$2,232,400 |
2 |
2615 |
[PCT National Stage] Claims – extra total (over 20) (Small entity) |
7,010 |
$80 |
$560,800 |
2 |
3615 |
[PCT National Stage] Claims – extra total (over 20) (Micro entity) |
204 |
$40 |
$8,160 |
2 |
1616 |
[PCT National Stage] Claim – multiple dependent (Undiscounted entity) |
453 |
$925 |
$419,025 |
2 |
2616 |
[PCT National Stage] Claim – multiple dependent (Small entity) |
509 |
$370 |
$188,330 |
2 |
3616 |
[PCT National Stage] Claim – multiple dependent (Micro entity) |
54 |
$185 |
$9,990 |
3 |
1681 |
National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets (Undiscounted entity) |
4,273 |
$450 |
$1,922,850 |
3 |
2681 |
National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets (Small entity) |
3,175 |
$180 |
$571,500 |
3 |
3681 |
National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets (Micro entity) |
32 |
$90 |
$2,880 |
3 |
1602 |
Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) (Undiscounted entity) |
6,586 |
$2,400 |
$15,806,400 |
3 |
2602 |
Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) (Small entity) |
14,049 |
$960 |
$13,487,040 |
3 |
3602 |
Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) (Micro entity) |
722 |
$480 |
$346,560 |
3 |
1604 |
Supplemental search fee when required, per additional invention (Undiscounted entity) |
265 |
$2,400 |
$636,000 |
3 |
2604 |
Supplemental search fee when required, per additional invention (Small entity) |
528 |
$960 |
$506,880 |
3 |
3604 |
Supplemental search fee when required, per additional invention (Micro entity) |
31 |
$480 |
$14,880 |
3 |
1631 |
Basic National Stage Fee (Undiscounted entity) |
78,355 |
$350 |
$27,424,250 |
3 |
2631 |
Basic National Stage Fee (Small entity) |
28,565 |
$140 |
$3,999,1000 |
3 |
3631 |
Basic National Stage Fee (Micro entity) |
1,451 |
$70 |
$101,570 |
3 |
N/A |
National Stage Search Fee – U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4) |
741 |
$0 |
$0 |
3 |
1641 |
National Stage Search Fee –U.S. was the ISA (Undiscounted entity) |
2,596 |
$150 |
$389,400 |
3 |
2641 |
National Stage Search Fee – U.S. was the ISA (Small entity) |
6,815 |
$60 |
$408,900 |
3 |
3641 |
National Stage Search Fee – U.S. was the ISA (Micro entity) |
213 |
$30 |
$6,390 |
3 |
1642 |
National Stage Search Fee – search report prepared and provided to USPTO (Undiscounted entity) |
74,373 |
$580 |
$43,136,340 |
3 |
2642 |
National Stage Search Fee – search report prepared and provided to USPTO (Small entity) |
20,551 |
$232 |
$4,767,832 |
3 |
3642 |
National Stage Search Fee – search report prepared and provided to USPTO (Micro entity) |
1,096 |
$116 |
$127,136 |
3 |
1632 |
National Stage Search Fee – all other situations (Undiscounted entity) |
1,116 |
$770 |
$859,320 |
3 |
2632 |
National Stage Search Fee – all other situations (Small entity) |
766 |
$308 |
$235,928 |
3 |
3632 |
National Stage Search Fee – all other situations (Micro entity) |
104 |
$154 |
$16,016 |
3 |
1633 |
National Stage Examination Fee – all other situations (Undiscounted entity) |
78,048 |
$880 |
$68,682,240 |
3 |
2633 |
National Stage Examination Fee – all other situations (Small entity) |
28,108 |
$352 |
$9,894,016 |
3 |
3633 |
National Stage Examination Fee – all other situations (Micro entity) |
1,410 |
$176 |
$248,160 |
3 |
1605 |
Preliminary examination fee – U.S. was the ISA (Undiscounted entity) |
146 |
$705 |
$102,930 |
3 |
2605 |
Preliminary examination fee – U.S. was the ISA (Small entity) |
375 |
$282 |
$105,750 |
3 |
3605 |
Preliminary examination fee – U.S. was the ISA (Micro entity) |
58 |
$141 |
$8,178 |
3 |
1606 |
Preliminary examination fee – U.S. was not the ISA (Undiscounted entity) |
94 |
$880 |
$82,720 |
3 |
2606 |
Preliminary examination fee – U.S. was not the ISA (Small entity) |
23 |
$352 |
$8,096 |
3 |
3606 |
Preliminary examination fee – U.S. was not the ISA (Micro entity) |
1 |
$176 |
$176 |
3 |
1607 |
Supplemental examination fee per additional invention (Undiscounted entity) |
5 |
$705 |
$3,525 |
3 |
2607 |
Supplemental examination fee per additional invention (Small entity) |
23 |
$282 |
$6,486 |
3 |
3607 |
Supplemental examination fee per additional invention (Micro entity) |
1 |
$141 |
$141 |
3 |
1617 |
Search fee, examination fee or oath of declaration after thirty months from priority date (Undiscounted entity) |
20,529 |
$170 |
$3,489,930 |
3 |
2617 |
Search fee, examination fee or oath of declaration after thirty months from priority date (Small entity) |
11,479 |
$68 |
$780,572 |
3 |
3617 |
Search fee, examination fee or oath of declaration after thirty months from priority date (Micro entity) |
250 |
$34 |
$8,500 |
4 |
1601 |
Transmittal fee (Undiscounted entity) |
32,857 |
$285 |
$9,364,245 |
4 |
2601 |
Transmittal fee (Small entity) |
18,756 |
$114 |
$2,138,184 |
4 |
3601 |
Transmittal fee (Micro entity) |
787 |
$57 |
$44,859 |
11 |
N/A |
Demand and Fee Calculation Sheet (Annex and Notes) |
688 |
$216 |
$148,608 |
14 |
1621 |
Transmitting application to Intl. Bureau to act as receiving office (Undiscounted entity) |
239 |
$285 |
$68,115 |
14 |
2621 |
Transmitting application to Intl. Bureau to act as receiving office (Small entity) |
242 |
$114 |
$27,588 |
14 |
3621 |
Transmitting application to Intl. Bureau to act as receiving office (Micro entity) |
33 |
$57 |
$1,881 |
16 |
1618 |
English translation after thirty months from priority date (Undiscounted entity) |
2,263 |
$150 |
$339,450 |
16 |
2618 |
English translation after thirty months from priority date (Small entity) |
1,328 |
$60 |
$79,680 |
16 |
3618 |
English translation after thirty months from priority date (Micro entity) |
84 |
$30 |
$2,520 |
17 |
1628 |
Petition for the extension of the twelve-month (six-month for designs) period for filing a subsequent application (undiscounted entity) |
52 |
$2,260 |
$117,520 |
17 |
2628 |
Petition for the extension of the twelve-month (six-month for designs) period for filing a subsequent application (small entity) |
78 |
$904 |
$70,512 |
17 |
3628 |
Petition for the extension of the twelve-month (six-month for designs) period for filing a subsequent application (micro entity) |
20 |
$452 |
$9,040 |
20 |
1454 |
Petition for the delayed submission of a priority or benefit claim, an unintentionally delayed claim for priority or benefit, delay less than or equal to two years (undiscounted entity) |
83 |
$2,260 |
$187,580 |
20 |
2454 |
Petition for the delayed submission of a priority or benefit claim, , delay less than or equal to two years (small entity) |
127 |
$904 |
$114,808 |
20 |
3454 |
Petition for the delayed submission of a priority or benefit claim, , delay less than or equal to two years (micro entity) |
10 |
$452 |
$4,520 |
20 |
1469 |
Petition for the delayed submission of a priority or benefit claim, delay greater than two years (undiscounted entity) |
2 |
$3,000 |
$6,000 |
20 |
2469 |
Petition for the delayed submission of a priority or benefit claim, delay greater than two years (small entity) |
1 |
$1,200 |
$1,200 |
20 |
3469 |
Petition for the delayed submission of a priority or benefit claim, delay greater than two years (micro entity) |
1 |
$600 |
$600 |
|
|
Totals |
527,287 |
- - - |
$285,961,858 |
Translations
Applicants entering the national stage in the U.S. are required to file an English translation of the international application if the international application was filed in another language and was not published under PCT Article 21(2) in English.10 A processing fee is required for accepting an English translation after 30 months from the priority date. This requirement may carry additional costs for the applicant to contract for a translation of the documents in questions. The USPTO believes that the average length of the document to be translated with 10 pages and that it will cost approximately $140 per page for the translation, for an average translation cost of $1,400 per document.
The USPTO estimates that it will receive approximately 3,238 English translations after 30 months from the priority date annually, for a total of $4,533,200 year for English translations of non-English language documents for PCT applications.
Drawings
Applicants may also incur costs for drawings that are submitted as part of PCT applications. Some applicants may produce their own drawings, while others may contract out the work to various patent illustration firms. For the purpose of estimating burden for this collection, the USPTO will consider all applicants to have their drawings prepared by these firms. According to the PCT Applicants Guide - National Phase, the average cost to produce a drawing is $1,150.
The USPTO expects that it will receive 141,166 sets of drawings with a total of $162,340,900 per year for PCT application drawing costs.
Postage Costs
Although the USPTO prefers that the items in this information collection be submitted electronically, responses may be submitted by mail through the United States Postal Service. The USPTO estimates that approximately 1% of the 412,493 items will be submitted in the mail resulting 4,125 mailed items. The USPTO estimates that the average postage cost for a mailed submission, using a Priority Mail legal flat rate envelope, will be $11.20. Therefore, the USPTO estimates the total mailing costs for this information collection at $46,200.
Provide estimates of annualized costs to the federal government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.
The USPTO employs GS-9 and GS-15 employees to process submissions for this information collection.
The USPTO estimates that the cost of a GS-9, step 1 employee is $45.64 per hour (GS hourly rate of $33.50 with 36.25% ($12.14) added for benefits and overhead).
The USPTO estimates that the cost of a GS-15, step 1 employee is $109.42 per hour (GS hourly rate of $80.31 with 36.25% ($29.11) added for benefits and overhead).
The USPTO estimates that it takes an employee between 9 minutes (0.15 hours) and 6.5 hours to process the information submitted by the public in this collection.
Table 5 calculates the burden hours and costs to the federal government for processing this information collection:
Table 5: Burden Hour/Cost to the Federal Government
Item No. |
Item |
Estimated Annual Responses
(a) |
Estimated Burden Hours
(b) |
Estimated Hourly Burden
(a) x (b) = (c) |
Rate11 ($/hr)
(d) |
Total Federal Government Cost
(c) x (d) = (e) |
1
|
Request and Fee Calculation Sheet (Annex and Notes) |
52,400 |
0.50 (30 minutes) |
26,200 |
$45.64 |
$1,195,768 |
2
|
Description/claims/drawings/abstracts |
52,400 |
0.50 (30 minutes) |
26,200 |
$45.64 |
$1,195,768 |
3
|
Application Data Sheet (35 U.S.C. 371 applications) |
108,371 |
0.50 (30 minutes) |
54,186 |
$45.64 |
$2,473,049 |
4
|
Transmittal Letter to the United States Receiving Office (RO/US) |
13,926 |
0.15 (9 minutes) |
2,089 |
$45.64 |
$95,342 |
5
|
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 |
94,228 |
0.15 (9 minutes) |
14,134 |
$45.64 |
$645,076 |
6
|
PCT/Model of Power of Attorney |
13,371 |
0.15 (9 minutes) |
2,006 |
$45.64 |
$91,554 |
7
|
PCT/General Power of Attorney |
1,486 |
0.15 (9 minutes) |
223 |
$45.64 |
$10,178 |
8
|
Indications Relating to a Deposited Microorganism |
10 |
0.15 (9 minutes) |
2 |
$45.64 |
$91 |
9
|
Response to invitation to correct defects |
18,609 |
1 (60 minutes) |
18,609 |
$45.64 |
$849,315 |
10
|
Request for rectification of obvious errors |
1,989 |
1.50 (90 minutes) |
2,984 |
$45.64 |
$136,190 |
11
|
Demand and Fee Calculation Sheet (Annex and Notes) |
688 |
0.30 (18 minutes) |
206 |
$45.64 |
$9,402 |
12
|
Amendments (Article 34) |
611 |
0.75 (45 minutes) |
458 |
$45.64 |
$20,903 |
13
|
Fee Authorization |
48,600 |
0.15 (9 minutes) |
7,290 |
$45.64 |
$332,716 |
14
|
Requests to transmit copies of international application |
514 |
0.15 (9 minutes) |
77 |
$45.64 |
$3,514 |
15
|
Withdrawal of international application |
225 |
1 (60 minutes) |
225 |
$45.64 |
$10,269 |
16
|
English Translations after thirty months from priority date |
3,238 |
0.30 (18 minutes) |
971 |
$45.64 |
$44,316 |
17
|
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(a) |
928 |
2.50 (150 minutes) |
2,320 |
$109.42 |
$253,854 |
18
|
Petitions to the Commissioner for international applications |
49 |
6.50 (390 minutes) |
319 |
$109.42 |
$34,905 |
19
|
Petitions to the Commissioner in national stage examination |
424 |
6.50 (390 minutes) |
2,756 |
$109.42 |
$301,562 |
20
|
Acceptance of an unintentionally delayed claim for priority or benefit claim (37 CFR 1.78 or 37 CFR 1.55) |
220 |
2.50 (150 minutes) |
550 |
$109.42 |
$60,181 |
21
|
Request for the restoration of the right of priority |
206 |
2.50 (150 minutes) |
515 |
$45.64 |
$23,505 |
|
Totals |
412,493 |
- - - |
162,320 |
- - - |
Explain the reasons for any program changes or adjustments reported on the burden worksheet.
Table 6: ICR Summary of Burden
|
Requested |
Program Change Due to New Statute |
Program Change Due to Agency Discretion |
Change Due to Adjustment in Agency Estimate |
Change Due to Potential Violation of the PRA |
Previously Approved |
Annual Number of Responses |
412,493 |
0 |
0 |
-8,323 |
0 |
420,816 |
Annual Time Burden (Hr) |
343,739 |
0 |
0 |
-14,530 |
0 |
358,269 |
Annual Cost Burden ($) |
452,882,158 |
0 |
0 |
70,873,405 |
0 |
382,008,753 |
Changes in the Collection Since the Last Renewal
Two nonsubstantive change requests (change worksheets) were filed since the last renewal.
The first change worksheet was submitted to OMB in March 2023. In this worksheet, the USPTO reduced the filing fees paid to the agency by small entities and micro entities as a part of RIN 0651-AD66 (Reducing Patent Fees for Small Entities and Micro Entities Under the Unleashing American Innovators Act of 2022). This rulemaking resulted in a reduction in filing fees paid by small entity and micro entity filers.
The second change worksheet was submitted to OMB in November 2024. In this worksheet, the USPTO changed the amount of the fee codes to comply with rulemaking RIN 0651-AD64 (Setting and Adjusting Patent Fees During Fiscal Year 2024).
Change in Responses and Hourly Burden due to Adjustment in Agency Estimate
The total number of responses has decreased by 8,323 due to estimated fluctuations in the number of respondents/submissions in this information collection. This results in a corresponding decrease of 14,530 hours in the annual time burden estimates.
Change in Annual Non-hour Costs due to Adjustment in Agency Estimate
For this renewal, the USPTO estimates that the total annual non-hour costs will increase by $70,873,405 from the previous approval. This increase is due to estimated fluctuations in submissions for items that have translation costs and drawing costs, especially with the estimated number of respondents who are submitting applications that have associated drawing costs.
For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.
The USPTO does not plan to publish this information for statistical use. However, patent assignment records are available to the public at the USPTO Public Search Facilities and on the USPTO website.
If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that display would be inappropriate.
The forms in this information collection will display the OMB Control Number and the expiration date of OMB approval.
Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”
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.
9 2023 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); pg. F–41. The USPTO uses the average billing rate for intellectual property work in all firms which is $447 per hour (https://www.aipla.org/home/news-publications/economic-survey).
11 https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/salary-tables/pdf/2025/DCB_h.pdf.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Hall, Drew (AMBIT) |
| File Modified | 0000-00-00 |
| File Created | 2025-11-23 |