[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
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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)
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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.
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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
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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)
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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.
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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 $300,472,525 per year, as outlined in Table
3 below.
Table 3--Filing Fees/Non-Hour Cost to Respondents
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Estimated
Item No. Item annual Filing fee Non-hourly cost
responses ($) burden
(a) (b) (a) x (b) = (c)
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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.
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Totals.......................... 585,338 .............. 300,472,525
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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]
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