[Federal Register Volume 68, Number 177 (Friday, September 12, 2003)]
[Notices]
[Pages 53721-53724]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-23245]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Patent Cooperation Treaty

ACTION: Proposed collection; comment request.

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SUMMARY: The United States Patent and Trademark Office (USPTO), as part 
of its continuing effort to reduce paperwork and respondent burden, 
invites the general public and other Federal agencies to take this 
opportunity to comment on the continuing information collection, as 
required by the Paperwork Reduction Act of 1995, Public Law 104-13 (44 
U.S.C. 3506(c)(2)(A)).

DATES: Written comments must be submitted on or before November 12, 
2003.

ADDRESSES: Direct all written comments to Susan K. Brown, Records 
Officer, Office of the Chief Information Officer, Office of Data 
Architecture and Services, Data Administration Division, 703-308-7400, 
U.S. Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313, 
Attn: CPK 3 Suite 310; by e-mail at [email protected]; or by 
facsimile at 703-308-7407.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Rafael Bacares, Office of PCT Operations, U.S. 
Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450; 
by telephone at 703-308-6312; or by e-mail at [email protected].

SUPPLEMENTARY INFORMATION:

I. Abstract

    This collection of information is required by the provisions of the 
Patent Cooperation Treaty (PCT), a United Nations Treaty that was 
signed on June 19, 1970, by the 20 member states of the Paris Union for 
the Protection of Industrial Property, including the United States. The 
PCT 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 and Subpart C of Title 37 of the Code of Federal 
Regulations.
    The purpose of the PCT is to simplify the filing of patent 
applications for the same invention in different countries. The PCT 
provides a standardized filing format and procedure that allows an 
applicant to file one international application in one location, in one 
language, and pay one initial set of fees. The international 
application receives an international filing date (priority date) that 
serves as the actual filing date for the designated countries.
    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 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 also serves as an International Searching Authority (ISA) and 
an International Preliminary Examining Authority (IPEA).
    This collection currently includes 10 paper forms to assist the 
public with providing the required information for filing PCT 
applications and related documents. One additional form, Transmittal 
Letter to the United States Designated/Elected Office (DO/EO/US) 
Concerning a Filing Under 35 U.S.C. 371 (PTO-1390), is being added to 
the collection. Some of the items in this collection do not have any 
associated forms. The submission of biosequence listings and related 
tables for associated PCT applications is covered under the separate 
information collection 0651-0024 Requirements for Patent Applications 
Containing Nucleotide Sequence and/or Amino Acid Sequence Disclosures. 
The PCT also permits electronic filing of international applications, 
as long as the confidentiality requirements are met. The USPTO does not 
currently accept electronic submissions for international applications, 
but an electronic application system that will be fully compliant with 
the PCT specifications for electronic filing is under development.
    This collection was previously approved by OMB in December 2000 
with terms of clearance instructing the USPTO to report the filing fees 
for this collection as part of its annual (non-hour) cost burden. In 
April 2001, OMB approved a change worksheet to add annual (non-hour) 
cost burden to this collection in the form of filing fees. OMB also 
approved another change worksheet in April 2001 to decrease the annual 
responses and burden hours for two requirements, Descriptions/claims/
drawings/abstracts and Notices Effecting Later Elections (PCT/IB/328), 
in order to reflect the total burden for this collection more 
accurately.
    In August 2001, OMB approved a change worksheet that moved the 
burden for two forms, 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) and Petition for Revival of an 
International

[[Page 53722]]

Application for Patent Designating the U.S. Abandoned Unintentionally 
Under 37 CFR 1.137(b) (PTO/SB/64/PCT), into this collection from 
collection 0651-0031 Patent Processing (Updating). The Application Data 
Sheet, which was already an approved requirement in collection 0651-
0032 Initial Patent Application, was also added to 0651-0021 due to a 
rule change permitting some PCT applications to include an Application 
Data Sheet. In April 2003, OMB corrected the total annual (non-hour) 
cost figure listed for this collection in the USPTO's inventory so that 
the annualized costs would be listed properly in thousands of dollars.

II. Method of Collection

    By mail or hand delivery to the USPTO. Some communications related 
to PCT applications may also be submitted to the USPTO by facsimile.

III. Data

    OMB Number: 0651-0021.
    Form Number(s): PCT RO/101/134/144, PTO-1382, PTO-1390, PCT/IPEA/
401, PCT/IB/328, PTO/SB/61/PCT, PTO/SB/64/PCT, PCT/Model of power of 
attorney, PCT/Model of general power of attorney.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Individuals or households; businesses or other 
for-profits; not-for-profit institutions; farms; the Federal 
Government; and State, local, or tribal governments.
    Estimated Number of Respondents: 379,065 responses per year.
    Estimated Time Per Response: The USPTO estimates that it will take 
the public from 15 minutes (0.25 hours) to 8 hours to gather the 
necessary information; prepare the appropriate form, petition, or other 
request; and submit the information to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 367,842 hours per 
year.
    Estimated Total Annual Respondent Cost Burden: $92,696,184 per 
year. The USPTO expects that the information in this collection will be 
prepared by attorneys. Using the professional rate of $252 per hour for 
associate attorneys in private firms, the USPTO estimates that the 
respondent cost burden for submitting the information in this 
collection will be $92,696,184 per year.

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                                                                                     Estimated       Estimated
               Item                        Form No.          Estimated  time for      annual      annual  burden
                                                                  response           responses         hours
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Request and Fee Calculation Sheet   PCT/RO/101              1 hour..............          42,200          42,200
 (Annex and Notes).
Description/claims/drawings/        N/A                     3 hours.............          42,200         126,600
 abstracts.
Application Data Sheet............  N/A                     23 minutes..........           3,000           1,140
Transmittal Letter to the United    PTO-1382                15 minutes..........          29,500           7,375
 States Receiving Office (RO/US).
Transmittal Letter to the United    PTO-1390                15 minutes..........          22,385           5,596
 States Designated/Elected Office
 (DO/EO/US) Concerning a Filing
 Under 35 U.S.C. Sec.   371.
PCT/Model of Power of Attorney....  (\1\)                   15 minutes..........          30,700           7,675
PCT/Model of General Power of       (\1\)                   15 minutes..........           3,000             750
 Attorney.
Extensions of time................  N/A                     15 minutes..........          25,000           6,250
Priority documents................  N/A                     15 minutes..........          63,000          15,750
Indications Relating to a           PCT/RO/134              15 minutes..........             400             100
 Deposited minutes Microorganism.
Response to invitation to correct   N/A                     2 hours.............          30,000          60,000
 defects.
Request for rectification of        N/A                     30 minutes..........           2,000           1,000
 obvious errors.
Notice of Confirmation of           PCT/RO/144              15 minutes..........             260              65
 Precautionary Designations.
Demand and Fee Calculation Sheet    PCT/IPEA/401            1 hour..............          27,800          27,800
 (Annex and Notes).
Amendments........................  N/A                     1 hour..............          15,000          15,000
Notice Effecting Later Elections..  PCT/IB/328              15 minutes..........              50              13
Fee Authorization.................  N/A                     15 minutes..........          15,000           3,750
Petitions.........................  N/A                     4 hours.............           3,000          12,000
Requests to transmit copies of      N/A                     15 minutes..........           2,300             575
 international application.
Withdrawal of international         N/A                     15 minutes..........           5,000           1,250
 application/designations of the
 state/demands/elections/priority
 claims.
Request/authorization to access     N/A                     15 minutes..........             600             150
 international application.
Translations......................  N/A                     2 hours.............          16,000          32,000
Petition for Revival of an          PTO/SB/61/PCT           8 hours.............              19             152
 International Application for
 PatentDesignating the U.S.
 Abandoned UnavoidablyUnder 37 CFR
 1.137(a).
Petition for Revival of an          PTO/SB/64/PCT           1 hour..............             651             651
 International Application for
 PatentDesignating the U.S.
 Abandoned Unintentionally Under
 37 CFR 1.137(b).
                                   -------------------------
    Total.........................  ......................  ....................         379,065         367,842
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\1\ Same as title.

    Estimated Total Annual Non-hour Respondent Cost Burden: 
$149,320,674 per year. There are no capital start-up costs, maintenance 
costs, or recordkeeping costs associated with this information 
collection. However, this collection does have annual (non-hour) costs 
in the form of translation costs, filing fees, and postage costs.
    Under the terms of the PCT, the USPTO may require documents 
submitted for a PCT application to be translated into English when 
necessary. This requirement carries additional costs for the party to 
contract for a translation of the documents in question. Depending on 
the particular circumstances, the documents to be translated can vary 
greatly in size. Firms that perform translation services do not have 
set fees for these services. The cost of translating a document is 
dependent upon the length of the document, the complexity of the 
document, whether the document is technical, and the languages that the 
document has to be translated to and from. Due to these

[[Page 53723]]

variables, many firms require customers to submit the documents in 
question to the firm so that they can be reviewed and a price quote 
prepared. There are translation firms that deal specifically with 
translations of intellectual property. Due to all of these factors, 
however, the USPTO cannot precisely estimate the costs that parties may 
incur for these translations. Based on experience, the USPTO believes 
that on average the documents to be translated will be 10 pages in 
length and that it will cost $150 per page for the translation, for an 
average translation cost of $1,500 per document. The USPTO estimates 
that it receives approximately 16,000 English translations per year. 
Multiplying the 16,000 translation submissions by $1,500 results in a 
total cost of $24,000,000 per year. Therefore, the USPTO estimates a 
total non-hour cost burden of $24,000,000 per year for English 
translations of non-English language documents for PCT applications.
    The total estimated annual filing fees for this collection are 
calculated in the accompanying chart. The fees listed in the chart 
represent an estimate of the average fees for filing the appropriate 
items associated with the requirements for an international 
application. The USPTO estimates that the total filing costs associated 
with this collection will be $125,180,420 per year.

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                                                                Estimated                           Estimated
               Item                         Form No.              annual         Fee amount      annual  filing
                                                                responses                             costs
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Request and Fee Calculation Sheet   PCT/RO/101                        42,200         $2,396.00   $101,111,200.00
 (Annex and Notes).
Description/claims/drawings/        N/A                               42,200              0                 0
 abstracts.
Application Data Sheet............  N/A                                3,000              0                 0
Transmittal Letter to the United    PTO-1382                          29,500              0                 0
 States Receiving Office (RO/US).
Transmittal Letter to the United    PTO-1390                          22,385              0                 0
 States Designated/Elected Office
 (DO/EO/US) Concerning a Filing
 Under 35 U.S.C. Sec.   371.
PCT/Model of Power of Attorney....  (\1\)                             30,700              0                 0
PCT/Model of General Power of       (\1\)                              3,000              0                 0
 Attorney.
Extensions of time................  N/A                               25,000              0                 0
Priority documents................  N/A                               63,000             20.00      1,260,000.00
Indications Relating to a           PCT/RO/134                           400              0                 0.00
 Deposited Microorganism.
Response to invitation to correct   N/A                               30,000              0                 0.00
 defects.
Request for rectification of        N/A                                2,000              0                 0.00
 obvious errors.
Notice of Confirmation of           PCT/RO/144                           260            104.00         27,040.00
 Precautionary Designations.
Demand and Fee Calculation Sheet    PCT/IPEA/401                      27,800            778.00     21,628,400.00
 (Annex and Notes).
Amendments........................  N/A                               15,000              0                 0
Notice Effecting Later Elections..  PCT/IB/328                            50              0                 0
Fee Authorization.................  N/A                               15,000              0                 0
Petitions.........................  N/A                                3,000            130.00        390,000.00
Requests to transmit copies of      N/A                                2,300              0                 0
 international application.
Withdrawal of international         N/A                                5,000              0                 0
 application/designations of the
 state/demands/elections/priority
 claims.
Request/authorization to access     N/A                                  600              0                 0
 international application.
Translations......................  N/A                               16,000              0                 0
Petition for Revival of an          PTO/SB/61/PCT                          2             55.00            110.00
 International Application for
 Patent Designating the U.S.
 Abandoned Unavoidably Under 37
 CFR 1.137(a)--small entity.
Petition for Revival of an          PTO/SB/61/PCT                         17            110.00          1,870.00
 International Application for
 Patent Designating the U.S.
 Abandoned Unavoidably Under 37
 CFR 1.137(a)--large entity.
Petition for Revival of an          PTO/SB/64/PCT                        130            650.00         84,500.00
 International Application for
 Patent Designating the U.S.
 Abandoned Unintentionally Under
 37 CFR 1.137(b)-- small entity.
Petition for Revival of an          PTO/SB/64/PCT                        521          1,300.00        677,300.00
 International Application for
 Patent Designating the U.S.
 Abandoned Unintentionally Under
 37 CFR 1.137(b)-- large entity.
                                   --------------------------
    Total.........................  .......................          379,065  ................    125,180,420
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\1\ Same as title.

    Customers may incur postage costs when submitting the information 
in this collection to the USPTO by mail. The USPTO estimates that the 
average first-class postage cost for a mailed submission will be 37 
cents and that up to 379,065 submissions will be mailed to the USPTO 
per year. The total estimated postage cost for this collection is 
$140,254 per year.
    The total non-hour respondent cost burden for this collection in 
the form of translation costs, filing fees, and postage costs is 
$149,320,674 per year.

IV. Request for Comments

    Comments are invited on: (a) Whether the proposed collection of 
information is necessary for the proper performance of the functions of 
the agency, including whether the information shall have practical 
utility; (b) the accuracy of the agency's estimate of the burden 
(including hours and cost) of the proposed collection of information; 
(c) ways to enhance the quality, utility, and clarity of the 
information to be collected; and (d) ways to minimize the burden of the 
collection of information on respondents, e.g., the use of automated 
collection techniques or other forms of information technology.
    Comments submitted in response to this notice will be summarized or 
included in the request for OMB approval of this information 
collection; they also will become a matter of public record.


[[Page 53724]]


    Dated: September 8, 2003.
Susan K. Brown,
Records Officer, USPTO, Office of the Chief Information Officer, Office 
of Data Architecture and Services, Data Administration Division.
[FR Doc. 03-23245 Filed 9-11-03; 8:45 am]
BILLING CODE 3510-16-P