Patent Cooperation Treaty

Forms and Documents

Document Name	Status
Form PCT/RO/101 Request and Fee Calculation Sheet Form and Instruction	Modified
Form 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) Form	Modified
Form PTO/SB/61/PCT Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a) Form	Modified
Form PCT/IB/372 Withdrawal of international application Form	Modified
Form PCT/IPEA/401 Demand and Fee Calculation Sheet Form and Instruction	Modified
Form PCT/RO/134 Indications Relating to a Deposited Microorganism Form	Modified
Form PTO-1390 Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 Form	Modified
Form PTO-1382 Transmittal Letter to the United States Receiving Office (RO/US) Form	Modified
0651-0021-SupStmt-Apr2013.pdf Supporting Statement A	2013-04-23
0651-USPTO-InfoQuality-Guidelines-01_07_2013.pdf Supplementary Document	2013-04-23
pct_regs.pdf Supplementary Document	2013-04-23
pct.pdf Supplementary Document	2013-04-23

IC Document Collections

IC ID	Document Title	Status
4689	Request and Fee Calculation Sheet Form and Instruction	Modified
191415	Request for the restoration of the right of priority	Modified
191414	Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))	Modified
191413	Petitions to the Commissioner in national stage examination	Modified
191412	Petitions to the Commissioner for international applications	Modified
191411	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b) Form	Modified
191410	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a) Form	Modified
191409	Translations	Modified
191408	Withdrawal of international application Form	Modified
191407	Requests to transmit copies of international application	Modified
191406	Fee Authorization	Modified
191405	Amendments (Article 34)	Modified
191404	Demand and Fee Calculation Sheet Form and Instruction	Modified
191403	Request for rectification of obvious errors	Modified
191402	Response to invitation to correct defects	Modified
191401	Indications Relating to a Deposited Microorganism Form	Modified
191400	Priority documents	Removed
191399	Extensions of time	Removed
191398	PCT/Model of General Power of Attorney	Modified
191397	PCT/Model of Power of Attorney	Modified
191396	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371 Form	Modified
191395	Transmittal Letter to the United States Receiving Office (RO/US) Form	Modified
191394	Application Data Sheet (35 U.S.C. 371 applications)	Modified
191393	Description/claims/drawings/abstracts	Modified

ICR Details

OMB Control No: 0651-0021	ICR Reference No: 201304-0651-002
Status: Historical Active	Previous ICR Reference No: 200911-0651-001
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Patent Cooperation Treaty
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/20/2013
	Date Received in OIRA: 04/24/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2016	36 Months From Approved	06/30/2013
Responses	353,669	0	363,809
Time Burden (Hours)	348,686	0	341,840
Cost Burden (Dollars)	120,671,373	0	282,024,234

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Abstract: The purpose of the Patent Cooperation Treaty (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 USPTO to fulfill its obligation to process, search, and examine the application as directed by the treaty.

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Authorizing Statute(s): US Code: 35 USC 351-376 Name of Law: null
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 7759	02/04/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 24184	04/24/2013
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 22

IC Title	Form No.	Form Name
Extensions of time
Request for the restoration of the right of priority
Petitions to the Commissioner in national stage examination
Response to invitation to correct defects
Request for rectification of obvious errors
Description/claims/drawings/abstracts
Priority documents
Indications Relating to a Deposited Microorganism	PCT/RO/134	Indications Relating to Deposited Microorganism or Other Biological Material
Demand and Fee Calculation Sheet	PCT/IPEA/401	Demand and Fee Calculation Sheet
Amendments (Article 34)
PCT/Model of General Power of Attorney
Acceptance of an unintentionally delayed claim for priority (37 CFR 1.78(a)(3))
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unintentionally Under 37 CFR 1.137(b)	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)
Petitions to the Commissioner for international applications
Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Submission Under 35 U.S.C. 371	PTO-1390	Transmittal Letter to the United States Designated/Elected Office (DO/EO/US) Concerning a Filing Under 35 U.S.C. 371
PCT/Model of Power of Attorney
Request and Fee Calculation Sheet	PCT/RO/101	Request and Fee Calculation Sheet (Annex and Notes)
Fee Authorization
Requests to transmit copies of international application
Translations
Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)	PTO/SB/61/PCT	Petition for Revival of an International Application for Patent Designating the U.S. Abandoned Unavoidably Under 37 CFR 1.137(a)
Transmittal Letter to the United States Receiving Office (RO/US)	PTO-1382	Transmittal Letter to the United States Receiving Office
Withdrawal of international application	PCT/IB/372	Notice of Withdrawal
Application Data Sheet (35 U.S.C. 371 applications)

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	353,669	363,809	0	-21,020	10,880	0
Annual Time Burden (Hours)	348,686	341,840	0	-5,255	12,101	0
Annual Cost Burden (Dollars)	120,671,373	282,024,234	0	-187,581,973	26,229,112	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: Program changes to annual responses and burden hours are due to the removal of two information requirements, extensions of time and priority documents, because the information is no longer being collected. All other changes to annual responses and burden hours are administrative adjustments from revised estimates. Program changes to annual cost burden are primarily due to the removal of several fees from this collection that have been moved into collection 0651-0072, which was approved by OMB in January 2013 in conjunction with the USPTO rulemaking Setting and Adjusting Patent Fees (RIN 0651-AC54). The corresponding fees are now being deleted from 0651-0021 to avoid double-counting those annual (non-hour) costs in the USPTO's inventory. The USPTO has also removed recordkeeping costs associated with retaining acknowledgment receipts from online submissions because keeping these items is a suggestion and not a requirement and has removed the postage costs associated with the two deleted information requirements, extensions of time and priority documents. Other changes to annual costs are due to administrative adjustments from revised estimates of costs associated with translations, drawings, and postage.

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Annual Cost to Federal Government: $7,005,300

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 04/24/2013

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