[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]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Patent and Trademark Office
Patent Cooperation Treaty
ACTION: Proposed collection; comment request.
-----------------------------------------------------------------------
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: InformationCollection@uspto.gov. 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 Rafael.Bacares@uspto.gov 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.
--------------------------------------------------------------------------------------------------------------------------------------------------------
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.
----------------------------------------------------------------------------------------------------------------
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