[Federal Register Volume 84, Number 77 (Monday, April 22, 2019)]
[Notices]
[Pages 16658-16662]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-08026]


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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 
required by the Paperwork Reduction Act of 1995, invites comments on a 
proposed extension of an existing collection: 0651-0021 (Patent 
Cooperation Treaty).

DATES: Written comments must be submitted on or before June 21, 2019.

ADDRESSES: You may submitted comments by any of the following methods:
     Email: [email protected]. Include ``0651-
0021 comment'' in the subject line of the message.
     Federal Register Portal: http://www.regulations.gov.
     Mail: Marcie Lovett, Chief, Records and Information 
Governance Branch, Office of the Chief Administrative Officer, United 
States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA 
22313-1450.

FOR FURTHER INFORMATION CONTACT: Requests for additional information 
should be directed to Rafael Bacares, Senior Legal Advisor, Office of 
Patent Legal Administration, United States Patent and Trademark Office, 
P.O. Box 1450, Alexandria, VA 22313-1450; by telephone at 571-272-3276; 
or by email at [email protected] with ``0651-0021 comment'' in 
the subject line. Additional information about this collection is also 
available at http://www.reginfo.gov under ``Information Collection 
Review.''

SUPPLEMENTARY INFORMATION: 

I. Abstract

    This collection of information is required by 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 USPTO acts 
as the United States

[[Page 16659]]

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 issue 
international search reports (ISR) and the written opinions of 
international applications. The USPTO also issues international 
preliminary reports on patentability (IPRP Chapter II) when acting as 
an International Preliminary Examining Authority (IPEA).

II. Method of Collection

    By mail, hand delivery, or electronic submission to the USPTO.

III. Data

    OMB Number: 0651-0021.
    IC Instruments and Forms: PCT/IB/372; PCT/IPEA/401; PCT/RO/101; 
PCT/RO/134; PTO-1382; PTO-1390; PTO/SB/64/PCT.
    Type of Review: Extension of a currently approved collection.
    Affected Public: Individuals or households; business or other for-
profits; and not-for-profit institutions.
    Estimated Number of Respondents: 431,135 responses per year.
    Estimated Time per Response: The USPTO estimates that it will take 
the public between 15 minutes (0.25 hours) and 4 hours to gather the 
necessary information, prepare the appropriate form or document, and 
submit the information to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 352,769.78 hours.
    Estimated Total Annual Respondent (Hourly) Cost Burden: 
$154,513,163.64. The USPTO expects that an attorney will complete the 
materials in this collection. The professional hourly rate for 
intellectual property attorneys in private firms is $438. The rate is 
established by estimates in the 2017 Report on the Economic Survey, 
published by the Committee on Economics of Legal Practice of the 
American Intellectual Property Law Association. Using this hourly rate, 
the USPTO estimates that the total respondent cost burden for this 
collection is $438 per year.

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                                                                                           Estimated       Estimated                     Estimates total
          IC No.                      Item                     Estimated time              responses        burden            Rate             cost
                                                     (a)..............................             (b)  (c) = (a) x (b)             (d)  (e) = (c) x (d)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.........................  Request and Fee          1................................          55,177        55,177.00         $438.00   $24,167,526.00
                             Calculation Sheet
                             (Annex and Notes).
2.........................  Description/claims/      3................................          55,177       165,531.00          438.00    72,502,578.00
                             drawings/abstracts.
3.........................  Application Data Sheet   0.38 (23 minutes)................         104,281        39,626.78          438.00    17,356,529.64
                             (35 U.S.C. 371
                             applications).
4.........................  Transmittal Letter to    0.25 (15 minutes)................          49,659        12,414.75          438.00     5,437,660.50
                             the United States
                             Receiving Office (RO/
                             US).
5.........................  Transmittal Letter to    0.25 (15 minutes)................          86,080        21,520.00          438.00     9,425,760.00
                             the United States
                             Designated/Elected
                             Office (DO/EO/US)
                             Concerning a
                             Submission Under 35
                             U.S.C. 371.
6.........................  PCT/Model of Power of    0.25 (15 minutes)................           5,518         1,379.50          438.00       604,221.00
                             Attorney.
7.........................  PCT/Model of General     0.25 (15 minutes)................             551           137.75          438.00        60,334.50
                             Power of Attorney.
8.........................  Indications Relating to  0.25 (15 minutes)................              10             2.50          438.00         1,095.00
                             a Deposited
                             Microorganism.
9.........................  Response to invitation   2................................          15,500        31,000.00          438.00    13,578,000.00
                             to correct defects.
10........................  Request for              0.50 (30 minutes)................             921           460.50          438.00       201,699.00
                             rectification of
                             obvious errors.
11........................  Demand and Fee           1................................             667           667.00          438.00       292,146.00
                             Calculation Sheet
                             (Annex and Notes).
12........................  Amendments (Article 34)  1................................             429           429.00          438.00       187,902.00
13........................  Fee Authorization......  0.25 (15 minutes)................          49,659        12,414.75          438.00     5,437,660.50
14........................  Requests to transmit     0.25 (15 minutes)................             864           216.00          438.00        94,608.00
                             copies of
                             international
                             application.
15........................  Withdrawal of            0.25 (15 minutes)................           1,369           342.25          438.00       149,905.50
                             international
                             application.
16........................  English Translations     2................................           2,475         4,950.00          438.00     2,168,100.00
                             after thirty months
                             from priority date.
17........................  Petition for Revival of  1................................             928           928.00          438.00       406,464.00
                             an International
                             Application for Patent
                             Designating the U.S.
                             Abandoned
                             Unintentionally Under
                             37 CFR 1.137(a).
18........................  Petitions to the         4................................              87           348.00          438.00       154,424.00
                             Commissioner for
                             international
                             applications.
19........................  Petitions to the         4................................             751         3,004.00          438.00     1,315,752.00
                             Commissioner in
                             national stage
                             examination.

[[Page 16660]]

 
20........................  Acceptance of an         2................................             875         1,750.00          438.00       766,500.00
                             unintentionally
                             delayed claim for
                             priority (37 CFR
                             1.78(a)(3)).
21........................  Request for the          3................................             157           471.00          438.00       206,298.00
                             restoration of the
                             right of priority.
                                                                                       -----------------------------------------------------------------
    Totals................  .......................  .................................         431,135       352,769.78  ..............   154,513,163.64
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Estimated Total Annual (Non-hour) Respondent Cost Burden: 
$280,004,662.50. This collection has annual (non-hour) costs in the 
form of filling fees, translations, drawings, and postage costs.

Filing Fees

    This chart provides an estimate of the fees associated with this 
collection and details the various entity size costs associated with 
each fee.

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             IC No.                          Item                 Responses         Fees        Total fee amount
                                                                          (a)             (b)    (c) = (a) x (b)
----------------------------------------------------------------------------------------------------------------
1..............................  Request and Fee Calculation           55,177       $1,254.00     $69,191,958.00
                                  Sheet (Annex and Notes).
----------------------------------------------------------------------------------------------------------------
2..............................  [PCT National Stage] Claims--          6,549          460.00       3,012,540.00
                                  extra independent (over
                                  three) (Large entity).
2..............................  [PCT National Stage] Claims--          2,298          230.00         528,540.00
                                  extra independent (over
                                  three) (Small entity).
2..............................  [PCT National Stage] Claims--             99          115.00          11,385.00
                                  extra independent (over
                                  three) (Micro entity).
2..............................  [PCT National Stage] Claims--          9,145          100.00         914,500.00
                                  extra total (over 20)
                                  (Large entity).
2..............................  [PCT National Stage] Claims--          5,347           50.00         264,350.00
                                  extra total (over 20)
                                  (Small entity).
2..............................  [PCT National Stage] Claims--            238           25.00           5,950.00
                                  extra total (over 20)
                                  (Micro entity).
2..............................  [PCT National Stage] Claim--             650          820.00        533,000..00
                                  multiple dependent (Large
                                  entity).
2..............................  [PCT National Stage] Claim--             361          410.00         148,010.00
                                  multiple dependent (Small
                                  entity).
2..............................  [PCT National Stage] Claim--              37          205.00          7,585.000
                                  multiple dependent (Micro
                                  entity).
3..............................  National Stage Application             2,476          400.00         990,400.00
                                  Size Fee--for each
                                  additional 50 sheets that
                                  exceed 100 sheets (Large
                                  entity).
3..............................  National Stage Application             1,590          200.00         318,000.00
                                  Size Fee--for each
                                  additional 50 sheets that
                                  exceed 100 sheets (Small
                                  entity).
3..............................  National Stage Application                23          100.00           2,300.00
                                  Size Fee--for each
                                  additional 50 sheets that
                                  exceed 100 sheets (Micro
                                  entity).
4..............................  Transmittal fee (Large                36,489          240.00       8,757,360.00
                                  entity).
4..............................  Transmittal fee (Small                17,603          120.00       2,112,360.00
                                  entity).
4..............................  Transmittal fee (Micro                 1,085           60.00          65,100.00
                                  entity).
11.............................  Demand and Fee Calculation               667          213.00         142,071.00
                                  Sheet (Annex and Notes).
14.............................  Transmitting application to              425          240.00         102,000.00
                                  Intl. Bureau to act as
                                  receiving office (Large
                                  entity).
14.............................  Transmitting application to              289          120.00             34,680
                                  Intl. Bureau to act as
                                  receiving office (Small
                                  entity).
14.............................  Transmitting application to               32           60.00           1,920.00
                                  Intl. Bureau to act as
                                  receiving office (Micro
                                  entity).
16.............................  English translation after              1,485          140.00         207,900.00
                                  thirty months from priority
                                  date (Large entity).
16.............................  English translation after                914           70.00          63,980.00
                                  thirty months from priority
                                  date (Small entity).
16.............................  English translation after                 76           35.00           2,660.00
                                  thirty months from priority
                                  date (Micro entity).
18.............................  Search fee--regardless of              7,576          140.00       1,060,640.00
                                  whether there is a
                                  corresponding application
                                  (see 35 U.S.C. 361(d) and
                                  PCT Rule 16) (Large entity).
18.............................  Search fee--regardless of             12,837           70.00         898,590.00
                                  whether there is a
                                  corresponding application
                                  (see 35 U.S.C. 361(d) and
                                  PCT Rule 16) (Small entity).
18.............................  Search fee--regardless of              1,073           35.00           3,745.00
                                  whether there is a
                                  corresponding application
                                  (see 35 U.S.C. 361(d) and
                                  PCT Rule 16) (Micro entity).
18.............................  Supplemental search fee when             248        2,080.00         515,840.00
                                  required, per additional
                                  invention (Large entity).
18.............................  Supplemental search fee when             366        1,040.00            380,640
                                  required, per additional
                                  invention (Small entity).
18.............................  Supplemental search fee when              44          520.00          22,880.00
                                  required, per additional
                                  invention (Micro entity).
19.............................  Basic National Stage Fee              71,090          300.00      21,327,000.00
                                  (Large entity).
19.............................  Basic National Stage Fee              22,965          150.00       3,444,750.00
                                  (Small entity).
19.............................  Basic National Stage Fee               1,527           75.00         114,525.00
                                  (Micro entity).
19.............................  National Stage Search Fee--              674            0.00               0.00
                                  U.S. was the ISA or IPEA
                                  and all claims satisfy PCT
                                  Article 33(1)-(4).

[[Page 16661]]

 
19.............................  National Stage Search Fee --           2,197          140.00         307,580.00
                                  U.S. was the ISA (Large
                                  entity).
19.............................  National Stage Search Fee--            4,773           70.00         334,110.00
                                  U.S. was the ISA (Small
                                  entity).
19.............................  National Stage Search Fee--              275           35.00           9,625.00
                                  U.S. was the ISA (Micro
                                  entity).
19.............................  National Stage Search Fee--           65,507          520.00      34,063,640.00
                                  search report prepared and
                                  provided to USPTO (Large
                                  entity).
19.............................  National Stage Search Fee--           16,660          260.00       4,331,600.00
                                  search report prepared and
                                  provided to USPTO (Small
                                  entity).
19.............................  National Stage Search Fee--            1,056          130.00         137,280.00
                                  search report prepared and
                                  provided to USPTO (Micro
                                  entity).
19.............................  National Stage Examination               674            0.00               0.00
                                  Fee--U.S. was the ISA or
                                  IPEA and all claims satisfy
                                  PCT Article 33(1)-(4).
19.............................  National Stage Search Fee--            3,156          660.00       2,082,960.00
                                  all other situations (Large
                                  entity).
19.............................  National Stage Search Fee--            1,110          330.00         366,300.00
                                  all other situations (Small
                                  entity).
19.............................  National Stage Search Fee--              174          165.00          28,710.00
                                  all other situations (Micro
                                  entity).
19.............................  National Stage Examination            70,771          760.00      53,785,960.00
                                  Fee--all other situations
                                  (Large entity).
19.............................  National Stage Examination            22,437          380.00       8,526,060.00
                                  Fee--all other situations
                                  (Small entity).
19.............................  National Stage Examination             1,480          190.00         281,200.00
                                  Fee--all other situations
                                  (Micro entity).
19.............................  Preliminary examination fee--            205          600.00         123,000.00
                                  U.S. was the ISA (Large
                                  entity).
19.............................  Preliminary examination fee--            278          300.00          83,400.00
                                  U.S. was the ISA (Small
                                  entity).
19.............................  Preliminary examination fee--             44          150.00           6,600.00
                                  U.S. was the ISA (Micro
                                  entity).
19.............................  Preliminary examination fee--            102          760.00          77,520.00
                                  U.S. was not the ISA (Large
                                  entity).
19.............................  Preliminary examination fee--             39          380.00          14,820.00
                                  U.S. was not the ISA (Small
                                  entity).
19.............................  Preliminary examination fee--              1          190.00             190.00
                                  U.S. was not the ISA (Micro
                                  entity).
19.............................  Supplemental examination fee               2          600.00           1,200.00
                                  per additional invention
                                  (Large entity).
19.............................  Supplemental examination fee               2          300.00             600.00
                                  per additional invention
                                  (Small entity).
19.............................  Supplemental examination fee               1          150.00             150.00
                                  per additional invention
                                  (Micro entity).
19.............................  Search fee, examination fee           22,466        2,080.00      46,729,280.00
                                  or oath of declaration
                                  after thirty months from
                                  priority date (Large
                                  entity).
19.............................  Search fee, examination fee           10,550        1,040.00      10,972,000.00
                                  or oath of declaration
                                  after thirty months from
                                  priority date (Small
                                  entity).
19.............................  Search fee, examination fee              259          520.00         134,680.00
                                  or oath of declaration
                                  after thirty months from
                                  priority date (Micro
                                  entity).
20.............................  Acceptance of an                       1,032        2,000.00       2,064,000.00
                                  unintentionally delayed
                                  claim for priority, or for
                                  filing a request for the
                                  restoration of the right of
                                  priority.
                                                              --------------------------------------------------
    Totals.....................  ............................         535,399  ..............     279,652,624.00
----------------------------------------------------------------------------------------------------------------

Translations and Drawings

    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. 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. 
According to the PCT Applicant's Guide--National Phase--National 
Chapter--US, put out by WIPO, the average cost for such a translation 
is $140. The USPTO estimates that it received approximately 2,475 
English translations after 30 months from the priority date annually, 
for a total of $346,500 per year for English translations of non-
English language documents for PCT applications.
    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 Applicant's 
Guide--National Phase--National Chapter--US, drawings may cost an 
average of $400 to produce. The USPTO expects that it will receive 3 
sets of drawings for a total of $1,200 per year.

Postage Costs

    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 $0.50 
and that approximately 7,440 submissions (approximately 2% of the total 
responses) will be mailed to the USPTO per year, for a total estimated 
postage cost of $4,298.50 per year.
    The USPTO estimates that the total annual (non-hour) cost burden 
for this collection, in the form of translations ($346,500), drawings 
($1,200), filing fees ($279,652,624), and postage costs ($4,298.50), is 
$280,004,622.50 per year.

IV. Request for Comment

    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.
    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

[[Page 16662]]

collection techniques or other forms of information technology.

Marcie Lovett,
Chief, Records and Information Governance Branch, OCAO, United States 
Patent and Trademark Office.
[FR Doc. 2019-08026 Filed 4-19-19; 8:45 am]
 BILLING CODE 3510-16-P