[Federal Register Volume 75, Number 84 (Monday, May 3, 2010)]
[Notices]
[Pages 23227-23235]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-10288]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office


Initial Patent Applications

ACTION: Proposed collection; comment request.

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SUMMARY: The United States Patent and Trademark Office (USPTO), as part 
of its continuing efforts to reduce paperwork and respondent burden, 
invites the general public and other Federal agencies to take this 
opportunity to comment on this revision of a 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 July 2, 2010.

ADDRESSES: You may submit comments by any of the following methods:
     E-mail: [email protected]. Include ``0651-
0032 comment'' in the subject line of the message.
     Fax: 571-273-0112, marked to the attention of Susan K. 
Fawcett.
     Mail: Susan K. Fawcett, Records Officer, Office of the 
Chief Information Officer, U.S. Patent and Trademark Office, P.O. Box 
1450, Alexandria, VA 22313-1450.
     Federal e-Rulemaking Portal: http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to the attention of Raul Tamayo, Legal Advisor, 
Office of Patent Legal Administration, U.S. Patent and Trademark 
Office, P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-
272-7728; or by e-mail at [email protected] with ``Paperwork'' in 
the subject line.

SUPPLEMENTARY INFORMATION

I. Abstract

    The USPTO is required by Title 35 of the United States Code, 
including 35 U.S.C. 131, to examine applications for patents. The USPTO 
administers the patent statues through various rules in Chapter 37 of 
the Code of Federal Regulations, including 37 CFR 1.16 through 1.84. 
The patent statutes and regulations require applicants to provide 
sufficient information to allow the USPTO to properly examine the 
application to determine whether it meets the criteria set forth in the 
patent statutes and regulations to be issued as a patent.
    Most applications for patent, including new utility, design, and 
provisional applications, can be submitted to the USPTO on paper or 
through EFS-Web. EFS-Web is the USPTO's system for electronic filing of 
patent correspondence. EFS-Web is accessible via the Internet on the 
USPTO Web site. The system utilizes standard Web-based screens and 
prompts to enable users to submit patent documents in Portable Document 
Format (PDF) directly to the USPTO. The Legal Framework for EFS-Web, 
available at http://www.uspto.gov/patents/process/file/efs/guidance/New_legal_framework.jsp, provides a listing of patent applications 
and documents permitted to be filed via EFS-Web and patent applications 
and

[[Page 23228]]

documents not permitted to be filed via EFS-Web.
    The USPTO has identified continuation/divisional of an 
international application, utility continuation/divisional, design 
continuation/divisional, continued prosecution application--design, 
utility continuation-in-part, and design continuation-in-part 
applications as types of applications that can be filed electronically 
that were not identified as being able to be filed electronically in 
the last renewal of this collection.
    The USPTO has also determined that the papers filed under 37 CFR 
1.41 to supply the name or names of the inventor or inventors after the 
filing date without a cover sheet as prescribed by 37 CFR 1.51(c)(1) in 
a provisional application, 37 CFR 1.48 for correction of inventorship 
in a provisional application, and 37 CFR 1.53(c)(2) to convert a 
nonprovisional application filed under 37 CFR 1.53(b) to a provisional 
application under 37 CFR 1.53(c), which were originally overlooked, 
should be added into the collection at this time. These papers also 
have a processing fee associated with them that will be added into the 
collection as well. All of the other fees remain the same.
    In order to get a more specific accounting of the additional fees 
and surcharges that can be applied to the various applications and to 
simplify the entry of these items into ROCIS, additional application 
groups have been broken out in this renewal. Previously, the utility, 
design, and plant applications were broken out in a manner that helped 
calculate the filing, search, and examination fees, but not in a manner 
that help calculate the additional fees and surcharges, which made it 
difficult to calculate the total burden for some of these applications.
    There are 28 forms in this collection. The petitions and the papers 
filed to supply the name or names of the inventor or inventors after 
the filing date without a cover sheet in a provisional application, to 
correct inventorship in a provisional application, and to convert a 
nonprovisional application to a provisional application do not have 
forms associated with them.

II. Method of Collection

    By mail, facsimile (limited to petitions to accept delayed priority 
claims, petitions to accept non-signing inventors or legal 
representatives filing by other than all the inventors or a person not 
the inventor, petitions to accord applications a national stage entry 
date, papers providing the name or names of the inventor or inventors 
after the filing date without a cover sheet in a provisional 
application, requests for correction of inventorship in a provisional 
application, and requests to convert a nonprovisional application to a 
provisional application), or hand delivery to the USPTO. As set forth 
in the Legal Framework for EFS-Web, available at http://www.uspto.gov/patents/process/file/efs/guidance/New legal framework.jsp, many types 
of patent applications and documents can also be submitted 
electronically through EFS-Web.

III. Data

    OMB Number: 0651-0032.
    Form Number(s): PTO/SB/01/01A/02/02LR/03/03A/04/05/06/07/13/PCT/14/
16/17/18/19/29/29A/101-110.
    Type of Review: Revision of a currently approved collection.
    Affected Public: Individuals or households; businesses or other for 
profits; not-for-profit institutions; and the Federal Government.
    Estimated Number of Respondents: 513,221 responses per year.
    Estimated Time per Response: The USPTO estimates that it takes the 
public approximately 24 minutes to 33 hours and 12 minutes (0.40 to 
33.2 hours) to complete this information, depending on the request. 
This includes the time to gather the necessary information, prepare the 
application, petition, paper, or CD submission, and submit the 
completed request to the USPTO. The USPTO believes that, on balance, it 
takes the same amount of time to gather the necessary information, 
prepare the new utility, design, or provisional application, and submit 
it to the USPTO, whether the applicant submits it in paper form or 
electronically.
    Estimated Total Annual Respondent Burden Hours: 11,553,888 hours 
per year.
    Estimated Total Annual Respondent Cost Burden: $3,755,013,600 per 
year. The USPTO believes that all of the information in this collection 
will be prepared by an attorney. Using the professional hourly rate of 
$325 for attorneys in private firms, the USPTO estimates that the total 
respondent cost burden for this collection is $3,755,013,600 per year.

----------------------------------------------------------------------------------------------------------------
                                                                              Estimated annual  Estimated annual
              Item                       Estimated time for response              responses       burden hours
----------------------------------------------------------------------------------------------------------------
Original New Utility             33 hours and 12 minutes....................             7,450           247,340
 Applications--No Application
 Data Sheet.
Electronic Original New Utility  33 hours and 12 minutes....................            98,950         3,285,140
 Applications--No Application
 Data Sheet.
Original New Plant               7 hours and 36 minutes.....................               660             5,016
 Applications--No Application
 Data Sheet.
Original New Design              5 hours and 48 minutes.....................               795             4,611
 Applications--No Application
 Data Sheet.
Electronic Original Design       5 hours and 48 minutes.....................            10,545            61,161
 Applications--No Application
 Data Sheet.
Original New Utility             33 hours and 12 minutes....................            11,170           370,844
 Applications--Application Data
 Sheet.
Electronic Original New Utility  33 hours and 12 minutes....................           148,430         4,927,876
 Applications--Application Data
 Sheet.
Original New Plant               7 hours and 36 minutes.....................               350             2,660
 Applications--Application Data
 Sheet.
Original New Design              5 hours and 48 minutes.....................               970             5,626
 Applications--Application Data
 Sheet.
Electronic New Design            5 hours and 48 minutes.....................            12,890            74,762
 Applications--Application Data
 Sheet.
Continuation/Divisional of an    3 hours and 18 minutes.....................               740             2,442
 International Application.
Electronic Continuation/         3 hours and 18 minutes.....................             9,840            32,472
 Divisional of an International
 Application.
Utility Continuation/Divisional  3 hours and 18 minutes.....................             2,620             8,646
 Applications.
Electronic Utility Continuation/ 3 hours and 18 minutes.....................            34,900           115,170
 Divisional Applications.
Plant Continuation/Divisional    2 hours and 12 minutes.....................               150               330
 Applications.
Design Continuation/Divisional   1 hour and 6 minutes.......................               155               171
 Applications.
Electronic Design Continuation/  1 hour and 6 minutes.......................             2,085             2,294
 Divisional Applications.
Continued Prosecution            24 minutes.................................                50                20
 Applications--Design (Request
 Transmittal and Receipt).
Electronic Continued             24 minutes.................................               665               266
 Prosecution Applications--
 Design (Request Transmittal
 and Receipt).
Utility Continuation-in-Part     16 hours and 30 minutes....................               780            12,870
 Applications.
Electronic Utility Continuation- 16 hours and 30 minutes....................            10,340           170,610
 Part-Applications.

[[Page 23229]]

 
Plant Continuation-in-Part       3 hours and 48 minutes.....................                35               133
 Applications.
Design Continuation-in-Part      2 hours and 42 minutes.....................                40               108
 Applications.
Electronic Design Continuation-  2 hours and 42 minutes.....................               520             1,404
 in-Part Applications.
Provisional Application for      15 hours...................................            10,330           154,950
 Patent Cover Sheet.
Electronic Provisional           15 hours...................................           137,220         2,058,300
 Application for Patent Cover
 Sheet.
Petition to Accept               1 hour.....................................             1,090             1,090
 Unintentionally Delayed
 Priority Claim.
Petition to Accept Non-Signing   1 hour.....................................             1,950             1,950
 Inventors or Legal
 Representatives/Filing by
 Other Than all the Inventors
 or a Person not the Inventor.
Petition under 37 CFR 1.6(f) to  30 minutes.................................                 1                 1
 Accord the Application under
 37 CFR 1.495(b) a National
 Stage Entry Date.
Papers filed under the           45 minutes.................................             7,500             5,625
 following.
    1.41--to supply the name or
     names of the inventor or
     inventors after the filing
     date without a cover sheet
     as prescribed by 37 CFR
     1.51 (c)(1) in a
     provisional application.
    1.48--for correction of
     inventorship in a
     provisional application.
    1.53(c)(2)--to convert a
     nonprovisional application
     filed under 1.53(b) to a
     provisional application
     filed under 1.53(c).
                                --------------------------------------------------------------------------------
    Total......................  ...........................................           513,221        11,553,888
----------------------------------------------------------------------------------------------------------------

    Estimated Total Annual Non-hour Respondent Cost Burden: 
$771,767,698 per year. There are capital start-up, postage, 
recordkeeping, and drawing costs, as well as filing fees, associated 
with this information. There are no maintenance or operation costs 
associated with this collection.
    Applicants can use Compact Disk-Read Only Memory (CD-ROM) or 
Compact Disk-Recordables (CD-R) to submit patent applications 
containing large computer program listing/mega tables to the USPTO. 
Therefore, the cost for purchasing blank CD-R media (CDs), cases and 
labels for the CDs, and a padded mailing envelope for shipping, are 
being added to the annual (non-hour) cost for this collection. The 
USPTO researched the costs for these various supplies. Since these 
supplies are available in a variety of configurations and since this 
collection covers many applicants and their specific filing situation, 
the USPTO is using averages of the possible costs for the various 
quantities and configurations possible for these items.
    Blank CD-R media (with or without plastic jewel cases) can range 
from $5.99 to $38.99, depending on the quantity of CD-R purchased. The 
USPTO estimates that the average cost for these items is $20.19.
    If jewel cases for the CD-R are not included with the discs, they 
can be purchased separately in packages ranging from 10 to 100 cases, 
ranging in cost from $4.99 to $24.99. The USPTO estimates that the 
average cost for these cases is $13.16.
    Software to make the disc labels can be purchased with the labels 
included along with the software. In some cases, the software can be 
downloaded. Various companies, such as Avery, Fellowes, Memorex, etc., 
manufacture this software and prices range from $19.99 to $35.99. The 
USPTO estimates that the average cost for the software is $28.
    Padded mailing envelopes for sending the discs and applications to 
the USPTO are available in many size and quantity options. Looking at 
packages of envelopes in the larger 9 and 10 inches sizes, the USPTO 
found that the cost ranged from $14.99 to $66.99. The USPTO estimates 
that the average cost for the padded mailing envelopes is $35.38.
    In sum, the USPTO estimates the total cost for the blank CD-R 
media, the jewel cases if needed, software for labeling the CDs, and 
the padded mailing envelopes at approximately $96.73. The USPTO 
estimates that 232 patent applications will need to be submitted on CD 
per year.
    The USPTO estimates that the total capital start-up cost for this 
collection will be $22,441 per year.
    The applications, the petition to accept a delayed priority claim, 
the petition to accept non-signing inventors or legal representatives, 
and the oversized program listing/mega table CD submissions may be 
submitted by mail through the United States Postal Service. The USPTO 
recommends that applicants file initial patent applications (which also 
include the continued prosecution, continuation and divisional, 
continuation-in-part, and provisional applications) by Express Mail to 
establish the filing date (otherwise the filing date of the application 
will be the date that it is received at the USPTO). The USPTO estimates 
that an application package will weigh at least one pound. Averaging 
the Express Mail costs for the USPS's eight mailing zones, the USPTO 
estimates that the average cost for sending an initial application by 
Express Mail will be $22.56. The USPTO estimates that up to 36,295 
submissions per year may be mailed to the USPTO at an average Express 
Mail rate of $22.56, for a total postage cost of $818,815.
    The petitions for delayed priority claim, for acceptance of non-
signing inventors or legal representatives, and for according petitions 
under 37 CFR 1.495(b) a National Stage Entry Date can be sent by first-
class mail. The USPTO estimates that these submissions will average two 
ounces, for a first-class postage rate of 61 cents. The USPTO estimates 
that up to 3,041 submissions may be mailed per year. Therefore, the 
USPTO estimates that the average first-class postage cost for these 
petitions will be $1,855 per year.
    In the case of the oversized program listing/mega table CD 
submissions, applicants mail a CD, the application transmittal form, 
and the cover letter to the USPTO. The USPTO estimates that these 
submissions will average about three ounces and that they will be 
mailed in large padded mailing envelopes. The USPTO estimates that the 
average postage rate for these submissions will be $1.22 and that 232 
oversized program listing/mega table CD submissions will be received 
per year. Therefore, the USPTO estimates that the postage costs for 
these submissions will be $283 per year.
    The USPTO estimates that the total postage cost for this collection 
will be $820,953 per year.
    There are recordkeeping costs associated with the oversized program 
listing/mega table CD submissions and the electronic filing of new 
utility,

[[Page 23230]]

design, and provisional applications; the continuation/divisional of 
international applications; utility continuation/divisionals; design 
continuation/divisionals, continued prosecution applications (design); 
utility continuation-in-part applications; and design continuation-in-
part applications. The USPTO advises applicants who submit applications 
with oversized computer listings/mega tables on CD to retain a back-up 
copy of the CD and a printed copy of the application transmittal form 
for their records. The USPTO estimates that it takes an additional 5 
minutes for the applicant to produce this back-up CD copy and 2 minutes 
to print the copy of the application transmittal form, for a total of 7 
minutes (0.12 hours) for each oversized submission. The USPTO estimates 
that approximately 232 applications per year will be submitted with 
oversized computer program listings/mega tables, for a total of 28 
hours per year for retaining the back-up CD and printed application 
transmittal form. The USPTO believes that these back-up copies will be 
prepared by paraprofessionals with an estimated hourly rate of $100, 
for a recordkeeping cost for these back-up copies of $2,800 per year.
    In addition, the USPTO also strongly advises applicants who file 
these applications electronically to retain a copy of the file 
submitted to the USPTO as evidence of authenticity, in addition to 
keeping the acknowledgement receipt as clear evidence that the file was 
received by the USPTO on the date noted. The USPTO estimates that it 
will take 5 seconds (0.001 hours) to print and retain a copy of the 
electronic submission and that approximately 466,385 submissions per 
year (292,620 utility, 26,705 design, 137,220 provisional, and 9,840 
international applications) will use this option, for a total of 466 
hours per year. Using the paraprofessional rate of $100 per hour, the 
USPTO estimates that the recordkeeping cost for retaining a copy of the 
acknowledgement receipt will be $46,600 per year.
    The USPTO estimates that the total recordkeeping cost for this 
collection will be $49,400 per year.
    Patent applicants can submit drawings with the utility, design, 
plant, and provisional applications. Applicants can prepare these 
drawings on their own or they can hire patent illustration services 
firms to create them. As a basis for calculating the drawing costs, the 
USPTO believes that all applicants will have their drawings prepared by 
the patent illustration firms. Estimates for the drawings can vary 
greatly, depending on the number of figures that need to be produced, 
the total number of pages for the drawings, and the complexity of the 
drawings. Because there are many variables involved, the USPTO is using 
the average of the cost ranges found for the application drawings to 
derive the estimated cost per sheet that is then used to calculate the 
total drawing costs.
    The utility, plant, and design continuation and divisional 
applications use the same drawings as the initial filings, so they are 
not included in these totals. The continuation-in-part applications may 
use some of the same drawings as the initial applications and some new 
drawings may be submitted, so those numbers are included in these 
estimates. The drawings for the continued prosecution applications are 
also included in the drawing cost totals. There are no continuation, 
divisional, or continuation-in-part provisional applications.
    Costs to produce utility drawings can range from $35 to $135 per 
sheet. The USPTO estimates that it can cost $85 per sheet to produce 
the utility drawings and that on average, 11 sheets of drawings are 
submitted, for an average cost of $935 to produce the utility drawings. 
Out of 277,120 utility applications submitted per year, the USPTO 
estimates that 91% or 252,179 applications will be submitted with 
drawings, for a total of $235,787,365 per year.
    Costs to produce design drawings can range from $35 to $155 per 
sheet. The USPTO estimates that it can cost $95 per sheet to produce 
design drawings and that on average 4.8 sheets of drawings are 
submitted, for an average cost of $456 to produce design drawings. Out 
of 26,475 design applications submitted per year, the USPTO estimates 
that 100% will be submitted with drawings, for a total of $12,072,600 
per year.
    Photographs are generally submitted for the plant applications, 
although drawings can also be submitted. The USPTO therefore estimates 
that the costs to produce the photographs or drawings could range from 
$35 to $100. The USPTO estimates that it can cost $68 per sheet to 
produce plant drawings and that on average 2 sheets of drawings are 
submitted, for an average cost of $136 to produce plant drawings. Out 
of 1,045 plant application submitted per year, the USPTO estimates that 
100% will be submitted with drawings, for a total of $142,120.
    Costs to produce the provisional drawings can range from $35 to 
$135 per sheet. The USPTO estimates that it can cost $85 per sheet to 
produce provisional drawings and that on average 7.5 sheets of drawings 
are submitted, for an average cost of $638 to produce provisional 
drawings. Out of 147,550 provisional applications submitted per year, 
the USPTO estimates that 78% or 115,089 applications will be submitted 
with drawings, for a total of $73,426,782 per year.
    The USPTO estimates that at least $321,428,867 could be added to 
the total non-hour cost burden as a result of patent applicants using 
patent illustration firms to produce the drawings for their utility, 
design, plant, and provisional applications.
    There is also annual non-hour cost burden in the way of filing, 
search, examination, processing, and additional fees associated with 
this collection. The filing, search, and examination fees for the 
utility, plant, design, and provisional applications (including the 
continuation and divisional, continued prosecution, and continuation-
in-part applications) are determined by the filing status (other entity 
or small entity) the applicant has selected. The filing fees for the 
electronically-filed new utility applications for small entities are 
$82, but for the rest of the applications the fees are the same as 
those for the paper applications. The small entity status does not 
apply to the petition to accept a delayed priority claim or to the 
petition to accept non-signing inventors or legal representatives/
filing by other than all the inventors or a person not the inventor.
    The total estimated filing costs of $449,446,037 for this 
collection are calculated in the following charts. The first chart 
shows the filing, search, and examination fees for the various 
applications. It also includes the processing fee for the papers filed 
under 37 CFR 1.41, 1.48, and 1.53(c)(2). The USPTO estimates that this 
collection will have $339,365,175 per year in the filing, search, 
examination, and processing fees.

[[Page 23231]]



--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                         Total non-hour
                    Item                       Resps (yr) (a)      Filing fee        Search fee      Examination fee   Total fees (b)   cost burden (yr)
                                                                                                                                            (a) x (b)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Original New Utility Applications--No                    5,585           $330.00           $540.00           $220.00         $1,090.00     $6,087,650.00
 Application Data Sheet--Other Entity.......
Original New Utility Applications-No                     1,865            165.00            270.00            110.00            545.00      1,016,425.00
 Application Data Sheet--Small Entity.......
Electronic Original New Utility                         74,210            330.00            540.00            220.00          1,090.00     80,888,900.00
 Applications--No Application Data Sheet--
 Other Entity...............................
Electronic Original New Utility                         24,740             82.00            270.00            110.00            462.00     11,429,880.00
 Applications--No Application Data Sheet--
 Small Entity...............................
Original New Plant Applications--No                        495            220.00            330.00            170.00            720.00        356,400.00
 Application Data Sheet--Other Entity.......
Original New Plant Applications--No                        165            110.00            165.00             85.00            360.00         59,400.00
 Application Data Sheet--Small Entity.......
Original New Design Applications--No                       415            220.00            100.00            140.00            460.00        190,900.00
 Application Data Sheet--Other Entity.......
Original New Design Applications--No                       380            110.00             50.00             70.00            230.00         87,400.00
 Application Data Sheet--Small Entity.......
Electronic Original New Design Applications--            5,485            220.00            100.00            140.00            460.00      2,523,100.00
 No Application Data Sheet--Other Entity....
Electronic Original New Design Applications--            5,060            110.00             50.00             70.00            230.00      1,163,800.00
 No Application Data Sheet--Small Entity....
Original New Utility Applications--                      8,380            330.00            540.00            220.00          1,090.00      9,134,200.00
 Application Data Sheet--Other Entity.......
Original New Utility Applications--                      2,790            165.00            270.00            110.00            545.00      1,520,550.00
 Application Data Sheet--Small Entity.......
Electronic Original New Utility                        111,325            330.00            540.00            220.00          1,090.00    121,344,250.00
 Applications--Application Data Sheet--Other
 Entity.....................................
Electronic Original New Utility                         37,105             82.00            270.00            110.00            462.00     17,142,510.00
 Applications--Application Data Sheet--Small
 Entity.....................................
Original New Plant Applications--Application               260            220.00            330.00            170.00            720.00        187,200.00
 Data Sheet--Other Entity...................
Original New Plant Applications--Application                90            110.00            165.00             85.00            360.00         32,400.00
 Data Sheet--Small Entity...................
Original New Design Applications--                         505            220.00            100.00            140.00            460.00        232,300.00
 Application Data Sheet--Other Entity.......

[[Page 23232]]

 
Original New Design Applications--                         465            110.00             50.00             70.00            230.00        106,950.00
 Application Data Sheet--Small Entity.......
Electronic New Design Applications--                     6,700            220.00            100.00            140.00            460.00      3,082,000.00
 Application Data Sheet--Other Entity.......
Electronic New Design Applications--                     6,190            110.00             50.00             70.00            230.00      1,423,700.00
 Application Data Sheet--Small Entity.......
Continuation/Divisional of an International                570            330.00            540.00            220.00          1,090.00        621,300.00
 Application--Other Entity..................
Continuation/Divisional of an International                170            165.00            270.00            110.00            545.00         92,650.00
 Application--Small Entity..................
Electronic Continuation/Divisional of an                 7,580            330.00            540.00            220.00          1,090.00      8,262,200.00
 International Application--Other Entity....
Electronic Continuation/Divisional of an                 2,260             82.00            270.00            110.00            462.00      1,044,120.00
 International Application--Small Entity....
Utility Continuation/Divisional                          1,965            330.00            540.00            220.00          1,090.00      2,141,850.00
 Applications--Other Entity.................
Utility Continuation/Divisional                            655            165.00            270.00            110.00            545.00        356,975.00
 Applications--Small Entity.................
Electronic Utility Continuation/Divisional              26,175            330.00            540.00            220.00          1,090.00     28,530,750.00
 Applications--Other Entity.................
Electronic Utility Continuation Divisional               8,725             82.00            270.00            110.00            462.00      4,030,950.00
 Applications--Small Entity.................
Plant Continuation/Divisional Applications--               115            220.00            330.00            170.00            720.00         82,800.00
 Other Entity...............................
Plant Continuation/Divisional Applications--                35            110.00            165.00             85.00            360.00         12,600.00
 Small Entity...............................
Design Continuation/Divisional Applications                 80            220.00            100.00            140.00            460.00         36,800.00
 --Other Entity.............................
Design Continuation/Divisional Applications--               75            110.00             50.00             70.00            230.00         17,250.00
 Small Entity...............................
Electronic Design Continuation/Divisional                1,085            220.00            100.00            140.00            460.00        499,100.00
 Applications--Other Entity.................
Electronic Design Continuation/Divisional                1,000            110.00             50.00             70.00            230.00        230,000.00
 Applications--Small Entity.................
Continued Prosecution Applications--Design                  26            220.00            100.00            140.00            460.00         11,960.00
 (Request Transmittal and Receipt)--Other
 Entity.....................................
Continued Prosecution Applications--Design                  24            110.00             50.00             70.00            230.00          5,520.00
 (Request Transmittal and Receipt) Small
 Entity.....................................

[[Page 23233]]

 
Electronic Continued Prosecution                           345            220.00            100.00            140.00            460.00        158,700.00
 Applications--Design (Request Transmittal
 and Receipt)--Other Entity.................
Electronic Continued Prosecution                           320            110.00             50.00             70.00            230.00         73,600.00
 Applications--Design (Request Transmittal
 and Receipt)--Small Entity.................
Utility Continuation-in-Part Applications--                585            330.00            540.00            220.00          1,090.00        637,650.00
 Other Entity...............................
Utility Continuation-In- Part Applications--               195            165.00            270.00            110.00            545.00        106,275.00
 Small Entity...............................
Electronic Utility Continuation-in-Part                  7,755            330.00            540.00            220.00          1,090.00      8,452,950.00
 Applications--Other Entity.................
Electronic Utility Continuation-in-Part                  2,585             82.00            270.00            110.00            462.00      1,194,270.00
 Applications--Small Entity.................
Plant Continuation-In-Part Applications--                   26            220.00            330.00            170.00            720.00         18,720.00
 Other Entity...............................
Plant Continuation-In-Part Applications--                    9            110.00            165.00             85.00            360.00          3,240.00
 Small Entity...............................
Design Continuation-In-Part Applications--                  21            220.00            100.00            140.00            460.00          9,660.00
 Other Entity...............................
Design Continuation-In-Part Applications--                  19            110.00             50.00             70.00            230.00          4,370.00
 Small Entity...............................
Electronic Design Continuation-in-Part                     270            220.00            100.00            140.00            460.00        124,200.00
 Applications--Other Entity.................
Electronic Design Continuation-in-Part                     250            110.00             50.00             70.00            230.00         57,500.00
 Applications--Small Entity.................
Provisional Application for Patent Cover                 3,820            220.00               N/A               N/A            220.00       840,400.000
 Sheets--Other Entity.......................
Provisional Application for Patent Cover                 6,510            110.00               N/A               N/A            110.00        716,100.00
 Sheets--Small Entity.......................
Electronic Provisional Application for                  50,770            220.00               N/A               N/A            220.00     11,169,400.00
 Patent Cover Sheets--Other Entity..........
Electronic Provisional Application for                  86,450            110.00               N/A               N/A            110.00      9,509,500.00
 Patent Cover Sheets--Small Entity..........
Petition to Accept Unintentionally Delayed               1,090          1,410.00               N/A               N/A          1,410.00      1,536,900.00
 Priority Claims............................
Petition to Accept Non-Signing Inventors or              1,950            200.00               N/A               N/A            200.00        390,000.00
 Legal Representatives/Filing by Other Than
 all the Inventors or a Person not the
 Inventor...................................
Petition under 37 CFR 1.6(f) to accord the                   1               N/A               N/A               N/A               N/A              0.00
 Application under 37 CFR 1.495(b) a
 National Stage Entry Date..................

[[Page 23234]]

 
Processing Fee under 37 CFR 1.17(q) for                  7,500             50.00               N/A               N/A             50.00        375,000.00
 papers filed under the following:..........
    1.41--to supply the name or names of the
     inventor or inventors after the filing
     date without a cover sheet as
     prescribed by 37 CFR 1.51(c)(1) in a
     provisional application.
    1.48--for correction of inventorship in
     a provisional application
    1.53(c)(2)--to convert a non provisional
     application filed under 1.53(b) to a
     provisional application filed under
     1.53(c)
                                             -----------------------------------------------------------------------------------------------------------
        Totals..............................           513,221  ................  ................  ................  ................    339,365,175.00
--------------------------------------------------------------------------------------------------------------------------------------------------------

    The second chart calculates the additional fees incurred when an 
application is filed with additional sheets or excess claims. The USPTO 
estimates that these fees apply to 252,471 of the 505,721 total 
applications filed per year. This chart is a subset of the first chart 
and adds an additional $96,203,957 to the annualized (non-hour) costs; 
however, it does not change the number of responses. These fees are 
also determined by the filing status. Plant applications do not have 
independent claims in excess of 3 or 20, so these items are not 
included in the chart below.

----------------------------------------------------------------------------------------------------------------
                                                            Filing fee for                        Total non-hour
                Item                   Responses (yr)   additional sheets and   Average fee (b)    cost burden
                                            (a)                 claims                            (Yr) (a) x (b)
----------------------------------------------------------------------------------------------------------------
Provisional Application Size Fee for            1,837  $270.00 per each 50              $540.00      $991,980.00
 Each Provisional Application for                       Sheets over 100.
 Patent Cover Sheet, filed for Each
 Additional 50 Sheets Exceeding 100
 Sheets--Other Entity.
Provisional Application Size Fee for            1,709  135.00 per each 50                270.00       461,430.00
 Each Provisional Application for                       Sheets over 100.
 Patent Cover Sheet, filed for Each
 Additional 50 Sheets Exceeding 100
 Sheets--Small Entity.
Utility Applications, with                     71,363  220.00 for each claim             440.00    31,399,720.00
 independent claims in excess of 3--                    over 3.
 Other Entity.
Utility Applications, with                     25,211  110.00 for each claim             220.00     5,546,420.00
 independent claims in excess of 3--                    over 3.
 Small Entity.
Utility Applications, filed with               99,777  52.00 for each claim              416.00    41,507,232.00
 Claims in Excess of 20--Other                          over 20.
 Entity.
Utility Applications, filed with               40,894  26.00 for each claim              260.00    10,632,440.00
 Claims in Excess of 20--Small                          over 20.
 Entity.
Utility Application Size Fee for                9,301  270.00 for each                   540.00     5,022,540.00
 Each Original New Utility                              additional 50 sheets
 Application, filed with each                           over 100.
 additional 50 sheets exceeding 100
 Sheets--Other Entity.
Utility Application Size Fee for                2,358  135.00 for each                   270.00       636,660.00
 Each Original New Utility                              additional 50 sheets
 Application, filed with each                           over 100.
 additional 50 sheets exceeding 100
 sheets--Small Entity.
Plant Application Size Fee for Each                 2  270.00 for each                   270.00           540.00
 Original New Plant Application,                        additional 50 sheets
 filed with each additional 50                          over 100.
 sheets exceeding 100 sheets--Other
 Entity.
Plant Application Size Fee for Each                 1  135.00 for each                   135.00           135.00
 Original New Plant Application,                        additional 50 sheets
 filed with each additional 50                          over 100.
 sheets exceeding 100 sheets--Small
 Entity.
Design Application Size Fee for Each               14  270.00 for each                   270.00         3,780.00
 Original New Design Application,                       additional 50 sheets
 filed for each additional 50 sheets                    over 100.
 that exceeds 100 sheets--Other
 Entity.

[[Page 23235]]

 
Design Application Size Fee for Each                4  135.00 for each                   270.00         1,080.00
 Original New Design Application,                       additional 50 sheets
 filed for each additional 50 sheets                    over 100.
 that exceeds 100 sheets--Small
 Entity.
                                     ---------------------------------------------------------------------------
    Totals..........................          252,471  .......................  ...............    96,203,957.00
----------------------------------------------------------------------------------------------------------------

    The third chart calculates the surcharges and fees incurred when an 
application, the search or examination fee, or the oath or declaration 
is filed late, when the application is filed with multiple dependent 
claims, or when the application is filed with a non-English 
specification. The USPTO estimates that these fees apply to 111,231 of 
the 505,721 applications filed per year. This chart is a subset of the 
first chart and adds an additional $13,876,905 to the annualized (non-
hour) costs; however, it does not change the number of responses. 
Except for the fee for the non-English specification, these fees are 
also determined by the filing status. Plant applications are not filed 
with multiple dependent claims so they are not included in this chart.

----------------------------------------------------------------------------------------------------------------
                                                                                 Surcharge fee
                                                                                    for late
                                                                                    filing,
                                                                                    multiple      Total non-hour
                             Item                               Responses (yr)     dependent       cost burden
                                                                     (a)        claims, or non-   (yr) (a) x (b)
                                                                                    english
                                                                                 specification
                                                                                      fees
----------------------------------------------------------------------------------------------------------------
Surcharge for Late Filing of Provisional Application for                 2,588           $50.00      $129,400.00
 Patent Cover Sheets--Other Entity...........................
Surcharge for Late Filing of Provisional Application for                 4,675            25.00       116,875.00
 Patent Cover Sheets--Small Entity...........................
Utility Applications, filed with Multiple Dependent Claims--             7,101           390.00     2,769,390.00
 Other Entity................................................
Utility Applications, filed with Multiple Dependent Claims--             2,739           195.00       534,105.00
 Small Entity................................................
Utility Applications, filed with a Surcharge for Late filing,           55,935           130.00     7,271,550.00
 search or examination fee, or oath/declaration--Other Entity
Utility Applications, Filed with a Surcharge for Late Filing,           27,158            65.00     1,765,270.00
 search or examination fee, or oath/declaration--Small Entity
Plant Applications, filed with a Surcharge for Late Filing,                172           130.00        22,360.00
 Search or Examination Fee, or Oath/Declaration--Other Entity
Plant Applications, filed with a Surcharge for Late Filing,                 83            65.00         5,395.00
 Search or Examination Fee, or Oath/Declaration--Small Entity
Design Applications, filed with a Surcharge for Late Filing,             4,400           130.00       572,000.00
 Search or Examination Fee, or Oath/Declaration--Other Entity
Design Applications, filed with a Surcharge for Late Filing,             2,136            65.00       138,840.00
 Search or Examination Fee, or Oath/Declaration--Small Entity
Non-English Specification....................................            4,244           130.00       551,720.00
                                                              --------------------------------------------------
    Totals...................................................          111,231  ...............    13,876,905.00
----------------------------------------------------------------------------------------------------------------

    The USPTO estimates that the total non-hour respondent cost burden 
for this collection, in the form of capital start-up, postage, 
recordkeeping, and drawing costs, in addition to the filing fees, is 
$771,767,698 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, including through 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.

    Dated: April 27, 2010.
Susan K. Fawcett,
Records Officer, USPTO, Office of the Chief Information Officer, Office 
of Information anagement Services, Data Administration Division.
[FR Doc. 2010-10288 Filed 4-30-10; 8:45 am]
BILLING CODE 3510-16-P