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(a) 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	Removed
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 Supporting Statement May 2016 Draft.docx Supporting Statement A	2016-06-29
Regulations under the Patent Cooperation Treaty.pdf Supplementary Document	2016-06-28
Patent Cooperation Treaty.pdf Supplementary Document	2016-06-28
Information Quality Guidelines.pdf Supplementary Document	2016-06-28
0651-0021 30 Day Notice June 2016 Draft.docx Supplementary Document	2016-06-27
0651-0021 60 Day Notice Feb 2016 Draft.docx Supplementary Document	2016-06-27
0651-0021 January 2016 Change Worksheet.docx Justification for No Material/Nonsubstantive Change	2016-01-29

IC Document Collections

IC ID	Document Title	Status
4689	Request and Fee Calculation Sheet Form and Instruction	Modified
219809	[PCT National Stage] Claims – multiple dependent	Removed
219808	[PCT National Stage] Claims – extra total (over 20)	Removed
219807	[PCT National Stage] Claims – extra independent (over three)	Removed
219806	National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets	Removed
219805	Supplemental examination fee per additional invention	Removed
219804	Preliminary examination fee – U.S. was not the ISA	Removed
219803	Preliminary examination fee – U.S. was the ISA	Removed
219802	Supplemental search fee when required, per additional invention	Removed
219801	Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16)	Removed
219800	Transmittal fee	Removed
219799	English translation after thirty months from priority date	Removed
219798	Search fee, examination fee or oath or declaration after thirty months from priority date	Removed
219797	National Stage Examination Fee – all other situations	Removed
219796	National Stage Search Fee – all other situations	Removed
219795	Transmitting application to Intl. Bureau to act as receiving office	Removed
219794	National Stage Examination Fee – U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)	Removed
219793	National Stage Search Fee - search report prepared and provided to USPTO	Removed
219792	National Stage Search Fee – U.S. was the ISA	Removed
219791	National Stage Search Fee - U.S. was the ISA or IPEA and al claims satisfy PCT Article 33(1)-(4)	Removed
219790	Basic National Stage Fee	Removed
219789	Acceptance of an unintentionally delayed claim for priority, or for filing a request for the restoration of the right of priority	Removed
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(a) 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	Removed
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
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: 201603-0651-003
Status: Historical Active	Previous ICR Reference No: 201601-0651-010
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: 08/22/2016
	Date Received in OIRA: 06/30/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	08/31/2016
Responses	389,415	0	923,310
Time Burden (Hours)	356,191	0	371,626
Cost Burden (Dollars)	163,813,260	0	291,867,138

---

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.

---

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

Citations for New Statutory Requirements: None

---

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

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 22967	04/19/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 41524	06/27/2016
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 21

IC Title	Form No.	Form Name
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
Petitions to the Commissioner for international applications
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
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
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(a)	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)
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)
Application Data Sheet (35 U.S.C. 371 applications)
Transmitting application to Intl. Bureau to act as receiving office
National Stage Search Fee – all other situations
Search fee, examination fee or oath or declaration after thirty months from priority date
[PCT National Stage] Claims – extra independent (over three)
National Stage Search Fee - search report prepared and provided to USPTO
Transmittal fee
Preliminary examination fee – U.S. was the ISA
Preliminary examination fee – U.S. was not the ISA
Supplemental examination fee per additional invention
National Stage Application Size Fee – for each additional 50 sheets that exceed 100 sheets
[PCT National Stage] Claims – extra total (over 20)
[PCT National Stage] Claims – multiple dependent
Acceptance of an unintentionally delayed claim for priority, or for filing a request for the restoration of the right of priority
National Stage Examination Fee – all other situations
English translation after thirty months from priority date
Search fee – regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16)
Supplemental search fee when required, per additional invention
Basic National Stage Fee
National Stage Search Fee - U.S. was the ISA or IPEA and al claims satisfy PCT Article 33(1)-(4)
National Stage Search Fee – U.S. was the ISA
National Stage Examination Fee – U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)

---

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	389,415	923,310	0	35,773	-569,668	0
Annual Time Burden (Hours)	356,191	371,626	0	7,721	-23,156	0
Annual Cost Burden (Dollars)	163,813,260	291,867,138	0	43,141,887	-171,195,765	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The program changes were due to removing unnecessary IC lines from the collection and adjusting the relevant numbers in the remaining IC lines.

---

Annual Cost to Federal Government: $7,096,948

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

---

Common Form ICR:  No

---

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: 06/30/2016

---