Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 1557 

website at www.uspto.gov/patents/ 

initiatives/ 

PublicEngagementPartnership. Those 

interested in attending the meeting can 

register on the same web page. 

Katherine Kelly Vidal, 

Under Secretary of Commerce for Intellectual 

Property and Director of the United States 

Patent and Trademark Office. 

[FR Doc. 2024–00317 Filed 1–9–24; 8:45 am] 

BILLING CODE 3510–16–P 

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; Initial Patent Applications 

AGENCY: United States Patent and 

Trademark Office, Department of 

Commerce. 

ACTION: Notice of information collection; 

request for comment. 

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: 0651–0032 

Initial Patent Applications. 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 

March 11, 2024. 

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: InformationCollection@

uspto.gov. Include ‘‘0651–0032 

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: 

Requests for additional information 

should be directed to Raul Tamayo, 

Senior Legal Advisor, United States 

Patent and Trademark Office, P.O. Box 

1450, Alexandria, VA 22313–1450; by 

telephone at 571–272–7728; or by email 

at raul.tamayo@uspto.gov with ‘‘0651– 

0032 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 

The United States Patent and 

Trademark Office (USPTO) is required 

by title 35 of the United States Code, 

including 35 U.S.C. 131, to examine 

applications for patents. The USPTO 

administers the patent statutes relating 

to examination through various rules in 

chapter 37 of the Code of Federal 

Regulations (CFR), such as, for example, 

37 CFR 1.16 through 1.84. Each patent 

applicant must provide sufficient 

information to allow the USPTO to 

properly examine the application to 

determine whether it meets the criteria 

set forth in the patent statutes and 

regulations for issuance as a patent. The 

patent statutes and regulations require 

that an application for patent include 

the following information: 

(1) A specification containing a 

description of the invention and at least 

one claim defining the property right 

sought by the applicant; 

(2) A drawing(s) or photograph(s), 

where necessary for an understanding of 

the invention; 

(3) An oath or declaration signed by 

the applicant (under 35 U.S.C. 115(f), 

the time for filing the oath or 

declaration is no later than the date on 

which the issue fee for the patent is 

paid); and 

(4) A filing fee. 

Various types of patent applications 

are covered under this information 

collection: 

• Noncontinuing, nonprovisional 

utility, plant and design applications, 

• Provisional applications, 

• Continuation/divisional 

applications of international 

applications, 

• Continued prosecution applications 

(design), and 

• Continuation/divisional and 

continuation-in-part applications of 

utility, plant, and design applications. 

In addition, this information 

collection covers certain other papers 

filed by applicants, such as, for 

example, petitions to accept an 

unintentionally delayed priority or 

benefit claim, petitions to accept a filing 

by other than all of the inventors or a 

person not the inventor, and petitions 

requesting that applications filed under 

37 CFR 1.495(b) be accorded a receipt 

date. 

Furthermore, this information 

collection incorporates the lone item in 

0651–0073 (Patent Law Treaty): 

petitions to restore the right of priority 

to a foreign application under 37 CFR 

1.55(c) or the benefit of a prior-filed 

provisional application under 37 CFR 

1.78(b). The petitions are used to extend 

the 12-month periods set forth in 35 

U.S.C. 119(a) and (e) by an additional 2 

months where there is an unintentional 

delay in filing an application claiming 

priority to a foreign application or the 

benefit of a provisional application. 

Once this information collection is 

renewed, and the petitions are added, 

0651–0073 will be discontinued. 

II. Method of Collection 

The items in this information 

collection can be submitted through the 

USPTO patent electronic filing system 

(Patent Center), the USPTO’s online 

filing and viewing system for patent 

applications and related documents. 

The USPTO also will accept 

submissions by mail, hand delivery, and 

facsimile, except that facsimile 

submission of the information in this 

collection is limited to certain items in 

accordance with 37 CFR 1.6(d). 

III. Data 

OMB Control Number: 0651–0032. 

Forms: (AIA = America Invents Act; 

SB = Specimen Book) 

• PTO/AIA/01 (Declaration (37 CFR 

1.63) for Utility or Design Patent 

Application using an Application 

Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01CN (Chinese (simplified) 

Language Declaration (37 CFR 1.63) 

for Utility or Design Application 

Using an Application Data Sheet (37 

CFR 1.76)) 

• PTO/AIA/01DE (German Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01ES (Spanish Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01FR (French Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01IT (Italian Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01JP (Japanese Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01KR (Korean Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using An 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01NL (Dutch Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 


lotter on DSK11XQN23PROD with NOTICES1
1558 Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 

• PTO/AIA/01RU (Russian Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using An 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/01SE (Swedish Language 

Declaration (37 CFR 1.63) for Utility 

or Design Application Using an 

Application Data Sheet (37 CFR 1.76)) 

• PTO/AIA/02 (Substitute Statement in 

Lieu of an Oath or Declaration for 

Utility or Design Patent Application 

(35 U.S.C. 115(d) and 37 CFR 1.64)) 

• PTO/AIA/02CN (Chinese (Simplified) 

Language Substitute Statement in 

Lieu of an Oath or Declaration for 

Utility or Design Patent Application 

(35 U.S.C. 115(d) and 37 CFR 1.64)) 

• PTO/AIA/02DE (German Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02ES (Spanish Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02FR (French Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02IT (Italian Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02JP (Japanese Language 

Substitute Statement In Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02KR (Korean Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02NL (Dutch Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02RU (Russian Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/02SE (Swedish Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/03 (Declaration (37 CFR 

1.63) for Plant Patent Application 

Using an Application Data Sheet (37 

CFR 1.76)) 

• PTO/AIA/04 (Substitute Statement in 

Lieu of an Oath or Declaration for 

Plant Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/AIA/08 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63)) 

• PTO/AIA/09 (Plant Patent 

Application (35 U.S.C. 161) 

Declaration (37 CFR 1.162)) 

• PTO/AIA/10 (Supplemental Sheet for 

Declaration (Additional Inventor(s), 

Supplemental Sheet for PTO/AIA/08, 

09)) 

• PTO/AIA/11 (Substitute Statement 

Supplemental Sheet (Inventor(s), 

Supplemental Sheet for PTO/AIA/02, 

04, 07)) 

• PTO/AIA/14 (Application Data Sheet 

37 CFR 1.76) 

• PTO/AIA/15 (Utility Patent 

Application Transmittal) 

• PTO/AIA/18 (Design Patent 

Application Transmittal) 

• PTO/AIA/19 (Plant Patent 

Application Transmittal) 

• PTO/SB/01 (Declaration for Utility or 

Design Patent Application (37 CFR 

1.63)) 

• PTO/SB/01A (Declaration (37 CFR 

1.63) for Utility or Design Application 

Using an Application Data Sheet (37 

CFR 1.76)) 

• PTO/SB/02 consisting of PTO/SB/02A 

(Declaration (Additional Inventor(s), 

Supplemental Sheet)) and PTO/SB/ 

02B (Declaration—Supplemental 

Priority Data Sheet) 

• PTO/SB/02CN (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheets [2 

pages] (Chinese Language Declaration 

for Additional Inventors) 

• PTO/SB/02DE (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheets [2 

pages] (German Language Declaration 

for Additional Inventors)) 

• PTO/SB/02ES (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Spanish Language Declaration 

for Additional Inventors)) 

• PTO/SB/02FR (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (French Language Declaration 

for Additional Inventors)) 

• PTO/SB/02IT (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Italian Language Declaration 

for Additional Inventors)) 

• PTO/SB/02JP (Japanese Language 

Substitute Statement in Lieu of an 

Oath or Declaration for Utility or 

Design Patent Application (35 U.S.C. 

115(d) and 37 CFR 1.64)) 

• PTO/SB/02KR (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Korean Language Declaration 

for Additional Inventors)) 

• PTO/SB/02NL (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Dutch Language Declaration 

for Additional Inventors)) 

• PTO/SB/02RU (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Russian Language Declaration 

for Additional Inventors)) 

• PTO/SB/02SE (Declaration 

(Additional Inventors) and 

Supplemental Priority Data Sheet [2 

pages] (Swedish Language Declaration 

for Additional Inventors)) 

• PTO/SB/02LR (Declaration 

Supplemental Sheet for Legal 

Representatives (35 U.S.C. 117) on 

Behalf of a Deceased or Incapacitated 

Inventor) 

• PTO/SB/03 (Plant Patent Application 

(35 U.S.C. 161) Declaration (37 CFR 

1.63)) 

• PTO/SB/04 (Supplemental 

Declaration for Utility or Design 

Patent Application (37 CFR 1.67)) 

• PTO/SB/05 (Utility Plant Application 

Transmittal) 

• PTO/SB/06 (Patent Application Fee 

Determination Record (Substitute for 

Form PTO–875) 

• PTO/SB/07 (Multiple Dependent 

Claim Fee Calculation Sheet 

(Substitute for Form PTO–1360; For 

Use With Form PTO/SB/06) 

• PTO/SB/16 (Provisional Application 

for Patent Cover Sheet) 

• PTO/SB/17 (Fee Transmittal) 

• PTO/SB/29 (For Design Applications 

Only: Continued Prosecution 

Application (CPA) Request 

Transmittal) 

• PTO/SB/29A (For Design 

Applications Only: Receipt for 

Facsimile Transmitted CPA) 

• PTO/SB/101 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Chinese Language Declaration) 

• PTO/SB/102 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Dutch Language Declaration) 

• PTO/SB/103 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (German Language Declaration) 

• PTO/SB/104 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Italian Language Declaration) 

• PTO/SB/105 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (French Language Declaration) 

• PTO/SB/106 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Japanese Language Declaration) 

• PTO/SB/107 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Russian Language Declaration) 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 1559 

• PTO/SB/108 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Swedish Language Declaration) 

• PTO/SB/109 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Spanish Language Declaration) 

• PTO/SB/110 (Declaration for Utility 

or Design Patent Application (37 CFR 

1.63) (Korean Language Declaration) 

• PTO/SB/445 (Petition To Accept an 

Unintentionally Delayed Claim Under 

35 U.S.C. 119(e) (37 CFR 1.78(c)) and/ 

or To Accept an Unintentionally 

Delayed Claim Under 35 U.S.C. 120, 

121, 365(c), or 386(c) (37 CFR 1.78(e)) 

for the Benefit of a Prior-Filed 

Application) 

• PTO/SB/458 (Petition To Accept an 

Unintentionally Delayed Claim Under 

35 U.S.C. 119(a)–(d) or (f), 365(a) or 

(b), or 386(a) or (b) for the Right of 

Priority to a Prior-Filed Foreign 

Application (37 CFR 1.55(e)) 

• PTO/SB/459 (Petition To Restore the 

Benefit of a Provisional Application 

(37 CFR 1.78(b)) or To Restore the 

Priority to a Foreign Application (37 

CFR 1.55(c)) 

Type of Review: Extension and 

revision of a currently approved 

information collection. 

Affected Public: Private sector. 

Respondent’s Obligation: Required to 

obtain or retain benefits. 

Estimated Number of Annual 

Respondents: 588,255 respondents. 

Estimated Number of Annual 

Responses: 588,255 responses. 

Estimated Time per Response: The 

USPTO estimates that the responses in 

this information collection will take the 

public approximately between 45 

minutes (0.75 hours) and 40 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: 12,543,215 hours. 

Estimated Total Annual Respondent 

Hourly Cost Burden: $5,606,817,105. 

TABLE 1—TOTAL BURDEN HOURS AND HOURLY COSTS TO PRIVATE SECTOR RESPONDENTS

Item No. Item 

Estimated 

annual 

respondents 

Responses 

per 

respondent 

Estimated 

annual 

responses 

(year) 

Estimated 

time for 

response 

(hours) 

Estimated 

annual 

burden 

(hour/year) 

Rate 1

($/hour) 

Estimated 

annual 

burden 

(a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) 

1 .............. Noncontinuing, 

Nonprovisisional Utility 

Applications.

214,000 1 214,000 40 8,560,000 447 3,826,320,000 

2 .............. Noncontinuing, 

Nonprovisisional Plant 

Applications.

1,000 1 1,000 9 9,000 447 4,023,000 

3 .............. Noncontinuing, 

Nonprovisisional Design 

Applications.

42,000 1 42,000 7 294,000 447 131,418,000 

4 .............. Continuation/Divisional of 

an International Application.

26,000 1 26,000 4 104,000 447 46,488,000 

5 .............. Utility Continuation/Divisional Applications.114,000 1 114,000 4 456,000 447 203,832,000 

6 .............. Plant Continuation/Divisional Application.5 1 5 3 15 447 6,705 

7 .............. Design Continuation/Divisional Application.6,000 1 6,000 1 6,000 447 2,682,000 

8 .............. Continued Prosecution Applications—Design (Request Transmittal and 

Receipt).

1,500 1 1,500 1 1,500 447 670,500 

9 .............. Utility Continuation-in-Part 

Applications.

11,000 1 11,000 20 220,000 447 98,340,000 

10 ............ Design Continuation-inPart Applications.850 1 850 3 2,550 447 1,139,850 

11 ............ Provisional Application for 

Patent Cover Sheet.

160,000 1 160,000 18 2,880,000 447 1,287,360,000 

12 ............ Petition To Accept Unintentionally Delayed Priority or Benefit Claim.1,100 1 1,100 1 1,100 447 491,700 

13 ............ Petition to be the applicant 

under 37 CFR 1.46(b) by 

a person who otherwise 

shows a sufficient proprietary interest in the matter.

3,000 1 3,000 1 3,000 447 1,341,000 

14 ............ Papers filed under the following: 7,000 1 7,000 .75 5,250 447 2,346,750 

1.41(c) or 1.41(a)(2) (preAIA)—to supply the 

name or names of the 

inventor or inventors 

after the filing date without a cover sheet as 

prescribed by 37 CFR 

1.51(c)(1) in a provisional application.

1.48(d)—for correction of 

inventorship in a provisional application.


lotter on DSK11XQN23PROD with NOTICES1
1560 Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 

TABLE 1—TOTAL BURDEN HOURS AND HOURLY COSTS TO PRIVATE SECTOR RESPONDENTS—Continued 

Item No. Item 

Estimated 

annual 

respondents 

Responses 

per 

respondent 

Estimated 

annual 

responses 

(year) 

Estimated 

time for 

response 

(hours) 

Estimated 

annual 

burden 

(hour/year) 

Rate 1

($/hour) 

Estimated 

annual 

burden 

(a) (b) (a) × (b) = (c) (d) (c) × (d) = (e) (f) (e) × (f) = (g) 

1.53 (c)(2) or 1.53(c)(2) 

(pre-PLT (AIA))—to convert a nonprovisional application filed under 

1.53(b) to a provisional 

application filed under 

1.53(c).

15 ............ Petition To Restore the 

Right of Priority under 37 

CFR 1.55(c).

800 1 800 1 800 447 357,600 

Or 

Petition To Restore the 

Benefit of a Prior-Filed 

Provisional Application 

under 37 CFR 1.78(b).

Totals ............................................ 588,255 ........................ 588,255 ........................ 12,543,215 ........................ 5,606,817,105 

1 2023 Report of the Economic Survey, published by the Committee on Economics of Legal Practice of the American Intellectual Property Law Association (AIPLA); 

pg. F–41. The USPTO uses the average billing rate for intellectual property work in all firms which is $447 per hour (https://www.aipla.org/home/news-publications/ 

economic-survey). 

Estimated Total Annual Respondent 

Non-hourly Cost Burden: 

$1,156,494,847 per year. 

There are no capital start-up, 

maintenance, or recordkeeping costs 

associated with this information 

collection. However, there is non-hour 

cost burden in the way of filing fees, 

drawing costs, and postage costs. 

The total annual (non-hour) 

respondent cost burden for this 

collection is estimated to be 

$1,156,494,847, which includes 

$672,189,140 in filing fees, 

$484,123,750 in drawing costs, and 

$181,957 in postage. 

Fees 

The filing fees associated with this 

information collection are listed in the 

table below. 

TABLE 2—FILING FEE COSTS TO PRIVATE SECTOR RESPONDENTS

Item No. Fee code Item 

Estimated 

annual 

responses 

Amount Totals 

(a) (b) (a) × (b) = (c) 

1, 4 .......... 1011 Basic Filing Fee—Utility (Paper Filing—Also Requires NonElectronic Filing Fee Under 1.16(t)) (undiscounted entity).250,450 $320 $80,144,000 

1, 4 .......... 2011 Basic Filing Fee—Utility (Paper Filing—Also Requires NonElectronic Filing Fee Under 1.16(t)) (small entity).260 128 33,280 

1, 4 .......... 3011 Basic Filing Fee—Utility (Paper Filing—Also Requires NonElectronic Filing Fee Under 1.16(t)) (micro entity).14,520 64 929,280 

1, 4 .......... 4011 Basic Filing Fee—Utility (electronic filing for small entities) ...... 84,760 64 5,424,640 

1, 4 .......... 1081 Utility Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (undiscounted entity).

20,640 420 8,668,800 

1, 4 .......... 2081 Utility Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (small entity).

11,630 168 1,953,840 

1, 4 .......... 3081 Utility Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (micro entity).

220 84 18,480 

1, 4 .......... 1111 Utility Search Fee (undiscounted entity) .................................... 248,740 700 174,118,000 

1, 4 .......... 2111 Utility Search Fee (small entity) ................................................. 83,900 280 23,492,000 

1, 4 .......... 3111 Utility Search Fee (micro entity) ................................................. 14,330 140 2,006,200 

1, 4 .......... 1311 Utility Examination Fee (undiscounted entity) ............................ 249,600 800 199,680,000 

1, 4 .......... 2311 Utility Examination Fee (small entity) ......................................... 84,100 320 26,912,000 

1, 4 .......... 3311 Utility Examination Fee (micro entity) ........................................ 14,360 160 2,297,600 

1,2 4–6, 

and 9.

1201 Each Independent Claim in Excess of Three (undiscounted 

entity).

42,020 480 20,169,600 

1,2 4–6, 

and 9.

2201 Each Independent Claim in Excess of Three (small entity) ....... 14,500 192 2,784,000 

1,2 4–6, 

and 9.

3201 Each Independent Claim in Excess of Three (micro entity) ...... 1,400 96 134,400 

1,2 4–6, 

and 9.

1202 Each Claim in Excess of 20 (undiscounted entity) .................... 304,230 100 30,423,000 

1,2 4–6, 

and 9.

2202 Each Claim in Excess of 20 (small entity) ................................. 158,280 40 6,331,200 

1,2 4–6, 

and 9.

3202 Each Claim in Excess of 20 (micro entity) ................................. 7,790 20 155,800 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 1561 

TABLE 2—FILING FEE COSTS TO PRIVATE SECTOR RESPONDENTS—Continued 

Item No. Fee code Item 

Estimated 

annual 

responses 

Amount Totals 

(a) (b) (a) × (b) = (c) 

1,2 4–6, 

and 9.

1203 Multiple Dependent Claim (undiscounted entity) ....................... 730 860 627,800 

1,2 4–6, 

and 9.

2203 Multiple Dependent Claim (small entity) .................................... 470 344 161,680 

1,2 4–6, 

and 9.

3203 Multiple Dependent Claim (micro entity) .................................... 70 172 12,040 

2, 5 .......... 1313 Plant Examination Fee (undiscounted entity) ............................ 490 660 323,400 

2, 5 .......... 2313 Plant Examination Fee (small entity) ......................................... 480 264 126,720 

2, 5 .......... 3313 Plant Examination Fee (micro entity) ......................................... 10 132 1,320 

2, 5 .......... 1013 Basic Filing Fee—Plant (undiscounted entity) ........................... 490 220 107,800 

2, 5 .......... 2013 Basic Filing Fee—Plant (small entity) ........................................ 480 88 42,240 

2, 5 .......... 3013 Basic Filing Fee—Plant (micro entity) ........................................ 10 44 440 

2, 5 .......... 1113 Plant Search Fee (undiscounted entity) ..................................... 490 440 215,600 

2, 5 .......... 2113 Plant Search Fee (small entity) .................................................. 480 176 84,480 

2, 5 .......... 3113 Plant Search Fee (micro entity) ................................................. 10 88 880 

2, 5 .......... 1083 Plant Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (undiscounted entity).

1 420 420 

2, 5 .......... 2083 Plant Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (small entity).

1 168 168 

2, 5 .......... 3083 Plant Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (micro entity).

1 84 84 

3, 6 .......... 1012 Basic Filing Fee—Design (undiscounted entity) ........................ 20,0200 220 4,404,400 

3, 6 .......... 2012 Basic Filing Fee—Design (small entity) ..................................... 19,480 88 1,714,240 

3, 6 .......... 3012 Basic Filing Fee—Design (micro entity) ..................................... 15,890 44 699,160 

3, 6 .......... 1017 Basic Filing Fee—Design (CPA) (undiscounted entity) ............. 920 220 202,400 

3, 6 .......... 2017 Basic Filing Fee—Design (CPA) (small entity) .......................... 500 88 44,000 

3, 6 .......... 3017 Basic Filing Fee—Design (CPA) (micro entity) .......................... 85 44 3,740 

3, 6 .......... 1082 Design Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (undiscounted entity).

170 420 71,400 

3, 6 .......... 2082 Design Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (small entity).

90 168 15,120 

3, 6 .......... 3082 Design Application Size Fee—For Each Additional 50 Sheets 

That Exceeds 100 Sheets (micro entity).

30 84 2,520 

3, 6 .......... 1112 Design Search Fee (undiscounted entity) .................................. 20,660 160 3,305,600 

3, 6 .......... 2112 Design Search Fee (small entity) ............................................... 19,690 64 1,260,160 

3, 6 .......... 3112 Design Search Fee (micro entity) .............................................. 15,880 32 508,160 

3, 6 .......... 1312 Design Examination Fee (undiscounted entity) ......................... 20,670 640 13,228,800 

3, 6 .......... 2312 Design Examination Fee (small entity) ...................................... 19,710 256 5,045,760 

3, 6 .......... 3312 Design Examination Fee (micro entity) ...................................... 15,880 128 2,032,640 

11 ............ 1085 Provisional Application Size Fee—For Each Additional 50 

Sheets That Exceeds 100 Sheets (undiscounted entity).

11,180 420 4,695,600 

11 ............ 2085 Provisional Application Size Fee—For Each Additional 50 

Sheets That Exceeds 100 Sheets (small entity).

11,360 168 1,908,480 

11 ............ 3085 Provisional Application Size Fee—For Each Additional 50 

Sheets That Exceeds 100 Sheets (micro entity).

110 84 9,240 

11 ............ 1005 Provisional Application Filing Fee (undiscounted entity) ........... 63,710 300 19,113,000 

11 ............ 2005 Provisional Application Filing Fee (small entity) ........................ 69,250 120 8,310,000 

11 ............ 3005 Provisional Application Filing Fee (micro entity) ........................ 23,150 60 1,389,000 

1–11 ........ 1051 Surcharge—Late Filing Fee, Search Fee, Examination Fee, Inventor’s Oath or Declaration, or Application Filed Without at 

least One Claim or by Reference (undiscounted entity).

78,200 160 12,512,000 

1–11 ........ 2051 Surcharge—Late Filing Fee, Search Fee, Examination Fee, Inventor’s Oath or Declaration, or Application Filed Without at 

least One Claim or by Reference (small entity).

33,010 64 2,112,640 

1–11 ........ 3051 Surcharge—Late Filing Fee, Search Fee, Examination Fee, Inventor’s Oath or Declaration, or Application Filed Without at 

least One Claim or by Reference (micro entity).

3,370 32 107,840 

1–11 ........ 1052 Surcharge—Late Provisional Filing Fee or Cover Sheet 

(undiscounted entity).

1,700 60 102,000 

1–11 ........ 2052 Surcharge—Late Provisional Filing Fee or Cover Sheet (small 

entity).

2,440 24 58,560 

1–11 ........ 3052 Surcharge—Late Provisional Filing Fee or Cover Sheet (micro 

entity).

2,574 12 30,888 

13 ............ 1463 Electronic Petition To Be the Applicant Under 37 CFR 1.46 by 

a Person Who Otherwise Shows Sufficient Proprietary Interest in the Matter (undiscounted entity).

1,800 220 396,000 


lotter on DSK11XQN23PROD with NOTICES1
1562 Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 

TABLE 2—FILING FEE COSTS TO PRIVATE SECTOR RESPONDENTS—Continued 

Item No. Fee code Item 

Estimated 

annual 

responses 

Amount Totals 

(a) (b) (a) × (b) = (c) 

13 ............ 2463 Electronic Petition To Be the Applicant Under 37 CFR 1.46 by 

a Person Who Otherwise Shows Sufficient Proprietary Interest in the Matter (small entity).

900 88 79,200 

13 ............ 3463 Electronic Petition To Be the Applicant Under 37 CFR 1.46 by 

a Person Who Otherwise Shows Sufficient Proprietary Interest in the Matter (micro entity).

300 44 13,200 

15 ............ 1454 Grantable Petition To Restore the Right of Priority Under 37 

CFR 1.55(c) (undiscounted entity).

310 2,100 651,000 

15 ............ 2454 Grantable Petition To Restore the Right of Priority Under 37 

CFR 1.55(c) (small entity).

65 840 54,600 

15 ............ 3454 Grantable Petition To Restore the Right of Priority Under 37 

CFR 1.55(c) (micro entity).

25 420 10,500 

15 ............ 1454 Grantable Petition To Restore the Benefit of a Prior-Filed Provisional Application Under 37 CFR 1.78(b) (undiscounted 

entity).

310 2,100 651,000 

15 ............ 2454 Grantable Petition To Restore the Benefit of a Prior-Filed Provisional Application Under 37 CFR 1.78(b) (small entity).65 840 54,600 

15 ............ 3454 Grantable Petition To Restore the Benefit of a Prior-Filed Provisional Application Under 37 CFR 1.78(b) (micro entity).25 420 10,500 

Total Filing Fees 2,083,472 ........................ 672,189,140 

Drawing Costs 

Patent applicants can submit 

drawings with their utility, design, 

plant, and provisional applications. 

Applicants can prepare these drawings 

on their own or they can hire patent 

illustration services firms to create 

them. As a basis for estimating the 

drawing costs, the USPTO expects that 

all applicants will have their drawings 

prepared by a patent illustration firm. 

Estimates for the patent drawing can 

vary greatly, depending on the number 

of figures 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 the average of the 

estimated cost ranges for the application 

drawings to derive the estimated cost 

per sheet that is then used to calculate 

the total drawing costs seen the table 

below. 

The utility, plant, and design 

continuation and divisional 

applications use the same drawings as 

the initial filings, so they are not 

included in these totals. New drawings 

may be submitted in the continuationin-part applications, so those numbers 

are included in these estimates. The 

drawings for the continued prosecution 

applications also are included in the 

drawing cost totals for designs. There 

are no continuation, divisional, or 

continuation-in-part provisional 

applications. 

• Utility Application Drawings—The 

USPTO estimates that the costs to 

produce these drawings can range from 

$50 to $200 per sheet. Taking the 

average of this range, the USPTO 

estimates that it can cost $125 per sheet 

to produce the drawings and that, on 

average, 10 sheets of drawings are 

submitted for an average cost of $1,250 

to produce the utility drawings. Out of 

339,000 utility applications submitted, 

the USPTO estimates that 68% (or 

230,520) applications will be submitted 

with drawings. 

• Plant Application Drawings—In 

general, photographs are submitted for 

the plant applications, although 

drawings can also be submitted. The 

USPTO estimates that the cost to 

produce the photographs or drawings 

for the plant applications can range 

from $50 to $100. Taking the average of 

this range, the USPTO estimates that it 

can cost $75 per sheet to produce the 

photographs or drawings for the plant 

applications. On average, 10 sheets of 

drawings are submitted for an average 

cost of $750 to produce the 

photographs/drawings for the plant 

applications. Out of 1,005 plant 

applications submitted per year, the 

USPTO estimates that all of them will 

be submitted with drawings. 

• Design Application Drawings—The 

USPTO estimates that the costs to 

produce design drawings can range from 

$50 to $350 per sheet. Taking the 

average of this range, the USPTO 

estimates that it can cost $200 per sheet 

to produce design drawings. On average, 

10 sheets of drawings are submitted for 

an average cost of $2,000 to produce the 

design drawings. Out of 48,850 design 

applicants submitted per year, the 

USPTO estimates that all of them will 

be submitted with drawings. 

• Provisional Application Drawings— 

The USPTO estimates that the cost to 

produce the provisional drawings can 

range from $30 to $200 per sheet. 

Taking the average of this range, the 

USPTO estimates that it can cost $115 

per sheet to produce the provisional 

drawings. On average, 10 sheets of 

drawings are submitted for an average 

cost of $1,150 to produce the 

provisional drawings. Out of 160,000 

provisional applications submitted per 

year, the USPTO estimates that 53% (or 

84,800) applications will be submitted 

with drawings. 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 89, No. 7 / Wednesday, January 10, 2024 / Notices 1563 

TABLE 3—DRAWING COSTS TO PRIVATE SECTOR RESPONDENTS

Item No. Item 

Estimated 

annual 

responses 

Estimated 

drawing 

costs amount 

($) 

Drawing cost 

totals 

(a) (b) (a) × (b) = (c) 

1 .............. Utility Application Drawings ..................................................................................................................... 230,520 $1,250 $288,150,000 

2 .............. Plant Application Drawings (Photographs) ............................................................................................. 1,005 750 753,750 

3 .............. Design Applications Drawings ................................................................................................................ 48,850 2,000 97,700,000 

11 ............ Provisional Application Drawings ............................................................................................................ 84,800 1,150 97,520,000 

Total Drawing Costs ............................................................................................................................ ........................ 365,175 484,123,750 

Postage 

Although the USPTO prefers that the 

items in this information collection be 

submitted electronically, the items may 

be submitted by mail through the 

United States Postal Service (USPS). 

The USPTO estimates the following: 

• If an applicant decides to file a 

patent application covered under this 

information collection by mail, the 

USPTO recommends that the patent 

application be filed by Priority Mail 

Express® in accordance with 37 CFR 

1.10 to establish the date of deposit with 

the USPS as the filing date (otherwise 

the filing date of the application will be 

the date that it is received at the 

USPTO). The USPTO estimates that 

about 1.5% of patent applicants (lines 

1–10) will be filed by mail resulting in 

6,245 mailed applications. Using the 

Priority Mail Express® flat rate cost for 

mailing envelopes, the USPTO estimates 

that the average cost for sending a 

patent application by Priority Mail 

Express® will be $28.95; resulting in a 

cost of $180,793. 

• If an applicant decides to file a 

petition or a paper filed under 37 CFR 

1.41(c), 1.41(a)(2) (pre-AIA), 1.48(d), 

1.53(c)(2), 1.53(c)(2) (pre-PLT (AIA)), 

1.55(c), or 1.78(b) by mail, the USPTO 

estimates that the petition or paper will 

be sent by Priority Mail. The USPTO 

estimates that about 1.5% of these 

petitions (lines 14 and 15) will be filed 

by mail resulting in 117 mailed items. 

Using the Priority Mail USPTO further 

estimates that the average cost for a 

Priority Mail legal flat rate envelope 

shipped via USPS is $9.95; resulting in 

an cost of $1,164. 

Therefore, the total estimated postage 

cost for this collection is $181,957. 

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, 

Information Collections Officer, Office of the 

Chief Administrative Officer, United States 

Patent and Trademark Office. 

[FR Doc. 2024–00268 Filed 1–9–24; 8:45 am] 

BILLING CODE 3510–16–P 

DEPARTMENT OF COMMERCE 

Patent and Trademark Office 

[Docket No. PTO–P–2023–0013] 

Guidelines for Assessing Enablement 

in Utility Applications and Patents in 

View of the Supreme Court Decision in 

Amgen Inc. et al. v. Sanofi et al. 

AGENCY: United States Patent and 

Trademark Office, Department of 

Commerce. 

ACTION: Notice. 

SUMMARY: The United States Patent and 

Trademark Office (USPTO) is 

publishing guidelines for USPTO 

employees to use, regardless of the 

technology, for ascertaining compliance 

with the enablement requirement of the 

patent laws during the examination of 

utility patent applications and the 

review of utility patents in light of the 

recent U.S. Supreme Court decision in 

Amgen Inc. et al. v. Sanofi et al. These 

guidelines, which also inform the public 

of the USPTO’s practices, provide that 

when considering whether claims in a 

utility patent application or patent are 

enabled, USPTO personnel will 

continue to use the In re Wands factors 

to ascertain whether the amount of 

experimentation required to enable the 

full scope of the claimed invention is 

reasonable. Publishing these guidelines 

will promote consistent analysis of the 

enablement requirement of the patent 

laws by USPTO employees and will 

result in clearer USPTO 

communications to applicants, 

patentees, and relevant third parties 

concerning any deficiencies in 

enablement compliance. These 

guidelines will also promote the 

consistent treatment of enablement, 

both by the patent examining corps in 

patent applications and reexamination 

proceedings and by the Patent Trial and 

Appeal Board (PTAB) in ex parte 

appeals and post-patent issuance 

proceedings. 

DATES: These guidelines are effective 

January 10, 2024. 

FOR FURTHER INFORMATION CONTACT: 

Mary C. Till, Senior Legal Advisor, 

Office of Patent Legal Administration, at 

Mary.Till@uspto.gov or 571–272–7755; 

or Andrea S. Grossman, Legal Advisor, 

Office of Patent Legal Administration, at 

Andrea.Grossman@uspto.gov or 571– 

270–3314. 

SUPPLEMENTARY INFORMATION: These 

guidelines are intended to inform 

USPTO personnel and the public on the 

USPTO’s implementation of the 

Supreme Court decision in Amgen Inc. 

et al. v. Sanofi et al., 143 S. Ct. 1243 

(2023) (hereafter Amgen). These 


lotter on DSK11XQN23PROD with NOTICES1