[Federal Register Volume 87, Number 147 (Tuesday, August 2, 2022)]
[Notices]
[Pages 47192-47197]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-16530]


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DEPARTMENT OF COMMERCE

 Patent and Trademark Office


Agency Information Collection Activities; Submission to the 
Office of Management and Budget (OMB) for Review and Approval; Comment 
Request; Patent Cooperation Treaty

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

ACTION: Notice of information collection; request for comment.

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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 
the extension and revision of an existing information collection: 0651-
0021 Patent Cooperation Treaty. The purpose of this notice is to allow 
60 days for public comment preceding submission of the information 
collection to OMB.

DATES: To ensure consideration, comments regarding this information 
collection must be received on or before October 3, 2022.

ADDRESSES: Interested persons are invited to submit written comments by 
any of the following methods. Do not submit Confidential Business 
Information or otherwise sensitive or protected information.
     Email: [email protected]. Include ``0651-
0021 comment'' in the subject line of the message.
     Federal Rulemaking Portal: http://www.regulations.gov.
     Mail: Justin Isaac, Office of the Chief Administrative 
Officer, United States Patent and Trademark Office, P.O. Box 1450, 
Alexandria, VA 22313-1450.

FOR FURTHER INFORMATION CONTACT: Request 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 information 
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

[[Page 47193]]

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 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

    The survey may be submitted electronically or in paper form via 
postal mail.

III. Data

    OMB Control Number: 0651-0021.
    Forms: (IB = International Bureau; IPEA = International Prelimary 
Examination; RO = Receiving Office; SB = Specimen Book).

 PCT/IB/372 (Notice of Withdrawal)
 PCT/IPEA/401 (Demand and Fee Calculation Sheet)
 PCT/RO/101 (Request and Fee Calculation Sheet)
 PCT/RO/134 (Indications Relating to Deposited Microorganism or 
Other Biological Material)
 PTO-1382 (Transmittal Letter to the United States Receiving 
Office (RO/US))
 PTO-1390 (Transmittal Letter to the United States Designated/
Elected Office (DO/E.O./US) Concerning a Filing Under 35 U.S.C. 371)
 PTO/SB/64/PCT (Petition for Revival of an International 
Application for Patent Designating the U.S. Abandoned Unintentionally 
Under 37 CFR 1.137(b))

    Type of Review: Extension and revision of a currently approved 
information collection.
    Affected Public: Private sector; individuals or households.
    Respondent's Obligation: Required to obtain or retain benefits.
    Estimated Number of Annual Respondents: 420,816 respondents.
    Estimated Number of Annual Responses: 420,816 responses.
    Estimated Time per Response: The USPTO estimates that the responses 
in this information collection will take the public approximately 
between 15 minutes (0.25 hours) and 4 hours to complete. This includes 
the time to gather the necessary information, create the document, and 
submit the completed request to the USPTO.
    Estimated Total Annual Respondent Burden Hours: 358,269 hours.
    Estimated Total Annual Respondent Hourly Cost Burden: $155,847,015.
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    \1\ 2021 Report of the Economic Survey, published by the 
Committee on Economics of Legal Practice of the American 
Intellectual Property Law Association (AIPLA); pg. F-27. The USPTO 
uses the average billing rate for intellectual property attorneys in 
private firms which is $435 per hour. (https://www.aipla.org/home/news-publications/economic-survey.)

                                       Table 1--Total Burden Hours and Hourly Costs to Private Sector Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Estimated
 Item No.          Item            annual       Responses per   Estimated  annual    Estimated  time for   Estimated  burden    Rate   Estimated  annual
                                 respondents      respondent         responses        response  (hour)         (hour/year)      \1\        total cost
                                          (a)              (b)    (a) x (b) = (c)  (d)...................    (c) x (d) = (e)      (f)    (e) x (f) = (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.........  Request and Fee            56,768                1             56,768  1.....................             56,768     $435        $24,694,080
             Calculation
             Sheet (Annex and
             Notes).
2.........  Description/               56,768                1             56,768  3.....................            170,304      435         74,082,240
             claims/drawings/
             abstracts.
3.........  Application Data          105,124                1            105,124  0.38 (23 mins)........             39,947      435         17,376,945
             Sheet (35 U.S.C.
             371
             applications).
4.........  Transmittal                16,163                1             16,163  0.25 (15 mins)........              4,041      435          1,757,835
             Letter to the
             United States
             Receiving Office
             (RO/US).
5.........  Transmittal                89,616                1             89,616  0.25 (15 mins)........             22,404      435          9,745,740
             Letter to the
             United States
             Designated/
             Elected Office
             (DO/EO/US)
             Concerning a
             Submission Under
             35 U.S.C. 371.
6.........  PCT/Model of               14,022                1             14,022  0.25 (15 mins)........              3,506      435          1,525,110
             Power of
             Attorney.
7.........  PCT/Model of                1,400                1              1,400  0.25 (15 mins)........                350      435            152,250
             General Power of
             Attorney.
8.........  Indications                     1                1                  1  0.25 (15 mins)........                  1      435                435
             Relating to a
             Deposited
             Microorganism.
9.........  Response to                16,651                1             16,651  2.....................             33,302      435         14,486,370
             invitation to
             correct defects.
10........  Request for                   950                1                950  0.50 (30 mins)........                475      435            206,625
             rectification of
             obvious errors.
11........  Demand and Fee                198                1                198  1.....................                198      435             86,130
             Calculation
             Sheet (Annex and
             Notes).
12........  Amendments                    141                1                141  1.....................                141      435             61,335
             (Article 34).

[[Page 47194]]

 
13........  Fee Authorization          51,091                1             51,091  0.25 (15 mins)........             12,773      435          5,556,255
14........  Requests to                   601                1                601  0.25 (15 mins)........                150      435             65,250
             transmit copies
             of international
             application.
15........  Withdrawal of                  59                1                 59  0.25 (15 mins)........                 15      435              6,525
             international
             application.
16........  English                     2,043                1              2,043  2.....................              4,086      435          1,777,410
             Translations
             after thirty
             months from
             priority date.
17........  Petition for                  668                1                668  1.....................                668      435            290,580
             Revival of an
             International
             Application for
             Patent
             Designating the
             U.S. Abandoned
             Unintentionally
             Under 37 CFR
             1.137(a).
18........  Petitions to the               28                1                 28  4.....................                112      435             48,720
             Commissioner for
             international
             applications.
19........  Petitions to the              207                1                207  4.....................                828      435            360,180
             Commissioner in
             national stage
             examination.
20........  Acceptance of an              122                1                122  2.....................                244      435            106,140
             unintentionally
             delayed claim
             for priority (37
             CFR 1.78(a)(3)).
21........  Request for the               124                1                124  3.....................                372      435            161,820
             restoration of
             the right of
             priority.
                              --------------------------------------------------------------------------------------------------------------------------
               Totals........         412,745  ...............            412,745  ......................            350,685  .......        152,547,975
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                                  Table 2--Total Burden Hours and Hourly Costs to Individual and Household Respondents
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                  Estimated
 Item No.          Item            annual       Responses per   Estimated  annual    Estimated  time for   Estimated  burden    Rate   Estimated  annual
                                 respondents      respondent         responses        response  (hour)         (hour/year)      \2\        total cost
                                          (a)              (b)    (a) x (b) = (c)  (d)...................    (c) x (d) = (e)      (f)    (e) x (f) = (g)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.........  Request and Fee             1,216                1              1,216  1.....................              1,216     $435           $528,960
             Calculation
             Sheet (Annex and
             Notes).
2.........  Description/                1,216                1              1,216  3.....................              3,648      435          1,586,880
             claims/drawings/
             abstracts.
3.........  Application Data            1,703                1              1,703  0.38 (23 mins)........                647      435            281,445
             Sheet (35 U.S.C.
             371
             applications).
4.........  Transmittal                   344                1                344  0.25 (15 mins)........                 86      435             37,410
             Letter to the
             United States
             Receiving Office
             (RO/US).
5.........  Transmittal                 1,248                1              1,248  0.25 (15 mins)........                312      435            135,720
             Letter to the
             United States
             Designated/
             Elected Office
             (DO/EO/US)
             Concerning a
             Submission Under
             35 U.S.C. 371.
6.........  PCT/Model of                  471                1                471  0.25 (15 mins)........                118      435             51,330
             Power of
             Attorney.
7.........  PCT/Model of                   47                1                 47  0.25 (15 mins)........                 12      435              5,220
             General Power of
             Attorney.
8.........  Indications                     1                1                  1  0.25 (15 mins)........                  1      435                435
             Relating to a
             Deposited
             Microorganism.
9.........  Response to                   466                1                466  2.....................                932      435            405,420
             invitation to
             correct defects.
10........  Request for                    55                1                 55  0.50 (30 mins)........                 28      435             12,180
             rectification of
             obvious errors.
11........  Demand and Fee                 21                1                 21  1.....................                 21      435              9,135
             Calculation
             Sheet (Annex and
             Notes).
12........  Amendments                     21                1                 21  1.....................                 21      435              9,135
             (Article 34).
13........  Fee Authorization           1,094                1              1,094  0.25 (15 mins)........                274      435            119,190

[[Page 47195]]

 
14........  Requests to                    30                1                 30  0.25 (15 mins)........                  8      435              3,480
             transmit copies
             of international
             application.
15........  Withdrawal of                   2                1                  2  0.25 (15 mins)........                  1      435                435
             international
             application.
16........  English                        47                1                 47  2.....................                 94      435             40,890
             Translations
             after thirty
             months from
             priority date.
17........  Petition for                   50                1                 50  1.....................                 50      435             21,750
             Revival of an
             International
             Application for
             Patent
             Designating the
             U.S. Abandoned
             Unintentionally
             Under 37 CFR
             1.137(a).
18........  Petitions to the                4                1                  4  4.....................                 16      435              6,960
             Commissioner for
             international
             applications.
19........  Petitions to the                6                1                  6  4.....................                 24      435             10,440
             Commissioner in
             national stage
             examination.
20........  Acceptance of an               12                1                 12  2.....................                 24      435             10,440
             unintentionally
             delayed claim
             for priority (37
             CFR 1.78(a)(3)).
21........  Request for the                17                1                 17  3.....................                 51      435             22,185
             restoration of
             the right of
             priority.
                              --------------------------------------------------------------------------------------------------------------------------
               Total.........           8,071  ...............              8,071  ......................              7,584  .......          3,299,040
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    Estimated Total Annual Respondent Non-hourly Cost Burden: 
$367,468,926.
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    \2\ Ibid.
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    There are no capital start-up, maintenance costs, or recordkeeping 
costs associated with this information collection. However, USPTO 
estimates that the total annual (non-hour) cost burden for this 
information collection, in the form of translations, drawings, filing 
fees, and postage is $367,468,926.

Translations

    Applicants entering the national stage in the U.S. are required to 
file an English translation of the international application if the 
international application was filed in another language and was not 
published under PCT Article 21(2) in English. A processing fee is 
required for accepting an English translation after 30 months from the 
priority date. This requirement may carry additional costs for the 
applicant to contract for a translation of the documents in questions. 
The USPTO believes that the average length of the document to be 
translated is 10 pages and that it will cost approximately $140 per 
page for the translation, for an average translation cost of $1,400 per 
document.
    The USPTO estimates that it will receive approximately 2,475 
English translations after 30 months from the priority date annually, 
for a total of $3,465,000 per year for English translations of non-
English language documents for PCT applications.

Drawings

    Applicants may also incur costs for drawings that are submitted as 
part of PCT applications. Some applicants may produce their own 
drawings, while others may contract out the work to various patent 
illustration firms. For the purpose of estimating burden for this 
collection, the USPTO will consider all applicants to have their 
drawings prepared by these firms.
    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 a estimate of $1,150 based 
on experience with domestic filings.
    The USPTO expects that it will receive 55,177 sets of drawings with 
a total of $63,453,550 per year.

Filing Fees

    There are fees associated with submitting the information in this 
collection, for a total of $300,472,525 per year, as outlined in Table 
3 below.

                                Table 3--Filing Fees/Non-Hour Cost to Respondents
----------------------------------------------------------------------------------------------------------------
                                                                  Estimated
        Item No.                          Item                     annual        Filing fee     Non-hourly  cost
                                                                  responses          ($)             burden
                                                                          (a)             (b)    (a) x (b) = (c)
----------------------------------------------------------------------------------------------------------------
1.......................  Request and Fee Calculation Sheet               551          $1,437           $791,787
                           (Annex and Notes--International
                           Filing Fee).

[[Page 47196]]

 
1.......................  Request and Fee Calculation Sheet            18,603           1,329         24,723,387
                           (Annex and Notes--International
                           Filing Fee electronically filed
                           without ePCT or PCT-EASY zip file).
1.......................  Request and Fee Calculation Sheet            39,782           1,221         48,573,822
                           (Annex and Notes--International
                           Filing Fee electronically filed
                           with ePCT or PCT-EASY zip file).
2.......................  [PCT National Stage] Claims--extra            8,710             480          4,180,800
                           independent (over three) (Large
                           entity).
2.......................  [PCT National Stage] Claims--extra            3,151             240            756,240
                           independent (over three) (Small
                           entity).
2.......................  [PCT National Stage] Claims--extra              120             120             14,400
                           independent (over three) (Micro
                           entity).
2.......................  [PCT National Stage] Claims--extra           12,466             100          1,246,600
                           total (over 20) (Large entity).
2.......................  [PCT National Stage] Claims--extra            7,462              50            373,100
                           total (over 20) (Small entity).
2.......................  [PCT National Stage] Claims--extra              263              25              6,575
                           total (over 20) (Micro entity).
2.......................  [PCT National Stage] Claim--                    617             860            530,620
                           multiple dependent (Large entity).
2.......................  [PCT National Stage] Claim--                    431             430            185,330
                           multiple dependent (Small entity).
2.......................  [PCT National Stage] Claim--                     68             215             14,620
                           multiple dependent (Micro entity).
3.......................  National Stage Application Size               4,106             420          1,724,520
                           Fee--for each additional 50 sheets
                           that exceed 100 sheets (Large
                           entity).
3.......................  National Stage Application Size               2,428             210            509,880
                           Fee--for each additional 50 sheets
                           that exceed 100 sheets (Small
                           entity).
3.......................  National Stage Application Size                  36             105              3,780
                           Fee--for each additional 50 sheets
                           that exceed 100 sheets (Micro
                           entity).
4.......................  Transmittal fee (Large entity).....          66,305             260         17,239,300
4.......................  Transmittal fee (Small entity).....          23,311             130          3,030,430
4.......................  Transmittal fee (Micro entity).....           1,248              65             81,120
11......................  Demand and Fee Calculation Sheet                219             216             47,304
                           (Annex and Notes).
14......................  Transmitting application to Intl.               392             260            101,920
                           Bureau to act as receiving office
                           (Large entity).
14......................  Transmitting application to Intl.               272             130             35,360
                           Bureau to act as receiving office
                           (Small entity).
14......................  Transmitting application to Intl.                30              65              1,950
                           Bureau to act as receiving office
                           (Micro entity).
16......................  English translation after thirty              1,078             140            150,920
                           months from priority date (Large
                           entity).
16......................  English translation after thirty                965              70             67,550
                           months from priority date (Small
                           entity).
16......................  English translation after thirty                 47              35              1,645
                           months from priority date (Micro
                           entity).
18......................  Search fee--regardless of whether             7,943           2,180         17,315,740
                           there is a corresponding
                           application (see 35 U.S.C. 361(d)
                           and PCT Rule 16) (Large entity).
18......................  Search fee--regardless of whether            15,311           1,090         16,688,990
                           there is a corresponding
                           application (see 35 U.S.C. 361(d)
                           and PCT Rule 16) (Small entity).
18......................  Search fee--regardless of whether             1,179             545            642,555
                           there is a corresponding
                           application (see 35 U.S.C. 361(d)
                           and PCT Rule 16) (Micro entity).
18......................  Supplemental search fee when                    267           2,180            582,060
                           required, per additional invention
                           (Large entity).
18......................  Supplemental search fee when                    520           1,090            566,800
                           required, per additional invention
                           (Small entity).
18......................  Supplemental search fee when                     44             540             23,760
                           required, per additional invention
                           (Micro entity).
19......................  Basic National Stage Fee (Large              78,180             320         25,017,600
                           entity).
19......................  Basic National Stage Fee (Small              27,641             160          4,422,560
                           entity).
19......................  Basic National Stage Fee (Micro               1,757              80            140,560
                           entity).
19......................  National Stage Search Fee--U.S. was             662               0                  0
                           the ISA or IPEA and all claims
                           satisfy PCT Article 33(1)-(4).
19......................  National Stage Search Fee -U.S. was           2,817             140            394,380
                           the ISA (Large entity).
19......................  National Stage Search Fee--U.S. was           6,262              70            438,340
                           the ISA (Small entity).
19......................  National Stage Search Fee--U.S. was             262              35              9,170
                           the ISA (Micro entity).
19......................  National Stage Search Fee--search            72,877             540         39,353,580
                           report prepared and provided to
                           USPTO (Large entity).
19......................  National Stage Search Fee--search            20,560             270          5,551,200
                           report prepared and provided to
                           USPTO (Small entity).
19......................  National Stage Search Fee--search             1,325             135            178,875
                           report prepared and provided to
                           USPTO (Micro entity).
19......................  National Stage Search Fee--all                5,626             700          3,938,200
                           other situations (Large entity).
19......................  National Stage Search Fee--all                2,804             350            981,400
                           other situations (Small entity).
19......................  National Stage Search Fee--all                  385             175             67,375
                           other situations (Micro entity).
19......................  National Stage Examination Fee--all          77,908             800         62,326,400
                           other situations (Large entity).
19......................  National Stage Examination Fee--all          27,228             400         10,891,200
                           other situations (Small entity).
19......................  National Stage Examination Fee--all           1,704             200            340,800
                           other situations (Micro entity).
19......................  Preliminary examination fee--U.S.               260             640            166,400
                           was the ISA (Large entity).
19......................  Preliminary examination fee--U.S.               690             320            220,800
                           was the ISA (Small entity).
19......................  Preliminary examination fee--U.S.                85             160             13,600
                           was the ISA (Micro entity).
19......................  Preliminary examination fee--U.S.               145             800            116,000
                           was not the ISA (Large entity).
19......................  Preliminary examination fee--U.S.                93             400             37,200
                           was not the ISA (Small entity).
19......................  Preliminary examination fee--U.S.                 1             200                200
                           was not the ISA (Micro entity).
19......................  Supplemental examination fee per                  7             640              4,480
                           additional invention (Large
                           entity).
19......................  Supplemental examination fee per                 21             320              6,720
                           additional invention (Small
                           entity).
19......................  Supplemental examination fee per                  1             160                160
                           additional invention (Micro
                           entity).

[[Page 47197]]

 
19......................  Search fee, examination fee or oath          25,628             160          4,100,480
                           of declaration after thirty months
                           from priority date (Large entity).
19......................  Search fee, examination fee or oath          11,903              80            952,240
                           of declaration after thirty months
                           from priority date (Small entity).
19......................  Search fee, examination fee or oath             306              40             12,240
                           of declaration after thirty months
                           from priority date (Micro entity).
20......................  Acceptance of an unintentionally                275           2,100            577,500
                           delayed claim for priority, or for
                           filing a request for the
                           restoration of the right of
                           priority.
                                                              --------------------------------------------------
                             Totals..........................         585,338  ..............        300,472,525
----------------------------------------------------------------------------------------------------------------

Postage Costs

    Although the USPTO prefers that the items in this information 
collection be submitted electronically, responses may be submitted by 
mail through the United States Postal Service (USPS). The USPTO 
estimates that 2% of the 420,816 items will be submitted in the mail 
resulting in 8,416 mailed items. The USPTO estimates that the average 
postage cost for a mailed submission, using a Priority Mail 2-day flat 
rate legal envelope, will be $9.25. Therefore, the USPTO estimates the 
total mailing costs for this information collection at $77,848.

IV. Request for Comments

    The USPTO is soliciting public comments to:
    (a) Evaluate whether the collection of information is necessary for 
the proper performance of the functions of the Agency, including 
whether the information will have practical utility;
    (b) Evaluate the accuracy of the Agency's estimate of the burden of 
the collection of information, including the validity of the 
methodology and assumptions used;
    (c) Enhance the quality, utility, and clarity of the information to 
be collected; and
    (d) Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses.
    All comments submitted in response to this notice are a matter of 
public record. USPTO will include or summarize each comment in the 
request to OMB to approve this information collection. Before including 
an address, phone number, email address, or other personally 
identifiable information (PII) in a comment, be aware that the entire 
comment--including PII--may be made publicly available at any time. 
While you may ask in your comment to withhold PII from public view, 
USPTO cannot guarantee that it will be able to do so.

Justin Isaac,
Acting Information Collections Officer, Office of the Chief 
Adminstrative Officer, United States Patent and Trademark Office.
[FR Doc. 2022-16530 Filed 8-1-22; 8:45 am]
BILLING CODE 3510-16-P