[Federal Register Volume 89, Number 7 (Wednesday, January 10, 2024)]
[Notices]
[Pages 1557-1563]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-00268]


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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; Initial Patent Applications

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-
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.
    <bullet> Email: <a href="/cdn-cgi/l/email-protection#0d44636b627f606c796462634e626161686e796462634d787e7d7962236a627b"><span class="__cf_email__" data-cfemail="2e674048415c434f5a4741406d4142424b4d5a4741406e5b5d5e5a4100494158">[email protected]</span></a>. Include ``0651-
0032 comment'' in the subject line of the message.
    <bullet> Federal Rulemaking Portal: http://www.regulations.gov.
    <bullet> 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 <a href="/cdn-cgi/l/email-protection#394b584c55174d5854584056794c4a494d56175e564f"><span class="__cf_email__" data-cfemail="126073677e3c66737f736b7d52676162667d3c757d64">[email protected]</span></a> 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:
    <bullet> Noncontinuing, nonprovisional utility, plant and design 
applications,
    <bullet> Provisional applications,
    <bullet> Continuation/divisional applications of international 
applications,
    <bullet> Continued prosecution applications (design), and
    <bullet> 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)

<bullet> PTO/AIA/01 (Declaration (37 CFR 1.63) for Utility or Design 
Patent Application using an Application Data Sheet (37 CFR 1.76))
<bullet> 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))
<bullet> PTO/AIA/01DE (German Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01ES (Spanish Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01FR (French Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01IT (Italian Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01JP (Japanese Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01KR (Korean Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using An Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01NL (Dutch Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))

[[Page 1558]]

<bullet> PTO/AIA/01RU (Russian Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using An Application Data Sheet (37 CFR 
1.76))
<bullet> PTO/AIA/01SE (Swedish Language Declaration (37 CFR 1.63) for 
Utility or Design Application Using an Application Data Sheet (37 CFR 
1.76))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> 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))
<bullet> PTO/AIA/03 (Declaration (37 CFR 1.63) for Plant Patent 
Application Using an Application Data Sheet (37 CFR 1.76))
<bullet> 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))
<bullet> PTO/AIA/08 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63))
<bullet> PTO/AIA/09 (Plant Patent Application (35 U.S.C. 161) 
Declaration (37 CFR 1.162))
<bullet> PTO/AIA/10 (Supplemental Sheet for Declaration (Additional 
Inventor(s), Supplemental Sheet for PTO/AIA/08, 09))
<bullet> PTO/AIA/11 (Substitute Statement Supplemental Sheet 
(Inventor(s), Supplemental Sheet for PTO/AIA/02, 04, 07))
<bullet> PTO/AIA/14 (Application Data Sheet 37 CFR 1.76)
<bullet> PTO/AIA/15 (Utility Patent Application Transmittal)
<bullet> PTO/AIA/18 (Design Patent Application Transmittal)
<bullet> PTO/AIA/19 (Plant Patent Application Transmittal)
<bullet> PTO/SB/01 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63))
<bullet> PTO/SB/01A (Declaration (37 CFR 1.63) for Utility or Design 
Application Using an Application Data Sheet (37 CFR 1.76))
<bullet> PTO/SB/02 consisting of PTO/SB/02A (Declaration (Additional 
Inventor(s), Supplemental Sheet)) and PTO/SB/02B (Declaration--
Supplemental Priority Data Sheet)
<bullet> PTO/SB/02CN (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheets [2 pages] (Chinese Language 
Declaration for Additional Inventors)
<bullet> PTO/SB/02DE (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheets [2 pages] (German Language 
Declaration for Additional Inventors))
<bullet> PTO/SB/02ES (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Spanish Language 
Declaration for Additional Inventors))
<bullet> PTO/SB/02FR (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (French Language Declaration 
for Additional Inventors))
<bullet> PTO/SB/02IT (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Italian Language 
Declaration for Additional Inventors))
<bullet> 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))
<bullet> PTO/SB/02KR (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Korean Language Declaration 
for Additional Inventors))
<bullet> PTO/SB/02NL (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Dutch Language Declaration 
for Additional Inventors))
<bullet> PTO/SB/02RU (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Russian Language 
Declaration for Additional Inventors))
<bullet> PTO/SB/02SE (Declaration (Additional Inventors) and 
Supplemental Priority Data Sheet [2 pages] (Swedish Language 
Declaration for Additional Inventors))
<bullet> PTO/SB/02LR (Declaration Supplemental Sheet for Legal 
Representatives (35 U.S.C. 117) on Behalf of a Deceased or 
Incapacitated Inventor)
<bullet> PTO/SB/03 (Plant Patent Application (35 U.S.C. 161) 
Declaration (37 CFR 1.63))
<bullet> PTO/SB/04 (Supplemental Declaration for Utility or Design 
Patent Application (37 CFR 1.67))
<bullet> PTO/SB/05 (Utility Plant Application Transmittal)
<bullet> PTO/SB/06 (Patent Application Fee Determination Record 
(Substitute for Form PTO-875)
<bullet> PTO/SB/07 (Multiple Dependent Claim Fee Calculation Sheet 
(Substitute for Form PTO-1360; For Use With Form PTO/SB/06)
<bullet> PTO/SB/16 (Provisional Application for Patent Cover Sheet)
<bullet> PTO/SB/17 (Fee Transmittal)
<bullet> PTO/SB/29 (For Design Applications Only: Continued Prosecution 
Application (CPA) Request Transmittal)
<bullet> PTO/SB/29A (For Design Applications Only: Receipt for 
Facsimile Transmitted CPA)
<bullet> PTO/SB/101 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Chinese Language Declaration)
<bullet> PTO/SB/102 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Dutch Language Declaration)
<bullet> PTO/SB/103 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (German Language Declaration)
<bullet> PTO/SB/104 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Italian Language Declaration)
<bullet> PTO/SB/105 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (French Language Declaration)
<bullet> PTO/SB/106 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Japanese Language Declaration)
<bullet> PTO/SB/107 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Russian Language Declaration)

[[Page 1559]]

<bullet> PTO/SB/108 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Swedish Language Declaration)
<bullet> PTO/SB/109 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Spanish Language Declaration)
<bullet> PTO/SB/110 (Declaration for Utility or Design Patent 
Application (37 CFR 1.63) (Korean Language Declaration)
<bullet> 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)
<bullet> 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))
<bullet> 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
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                          Estimated
                                          Estimated     Responses per      annual      Estimated time     Estimated     Rate \1\ ($/    Estimated annual
    Item No.              Item             annual        respondent       responses     for response    annual burden       hour)            burden
                                         respondents                       (year)          (hours)       (hour/year)
                                                  (a)             (b)     (a) x (b) =             (d)     (c) x (d) =             (f)    (e) x (f) = (g)
                                                                                  (c)                             (e)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1...............  Noncontinuing,              214,000               1         214,000              40       8,560,000             447      3,826,320,000
                   Nonprovisisional
                   Utility
                   Applications.
2...............  Noncontinuing,                1,000               1           1,000               9           9,000             447          4,023,000
                   Nonprovisisional
                   Plant Applications.
3...............  Noncontinuing,               42,000               1          42,000               7         294,000             447        131,418,000
                   Nonprovisisional
                   Design
                   Applications.
4...............  Continuation/                26,000               1          26,000               4         104,000             447         46,488,000
                   Divisional of an
                   International
                   Application.
5...............  Utility                     114,000               1         114,000               4         456,000             447        203,832,000
                   Continuation/
                   Divisional
                   Applications.
6...............  Plant Continuation/               5               1               5               3              15             447              6,705
                   Divisional
                   Application.
7...............  Design Continuation/          6,000               1           6,000               1           6,000             447          2,682,000
                   Divisional
                   Application.
8...............  Continued                     1,500               1           1,500               1           1,500             447            670,500
                   Prosecution
                   Applications--Desi
                   gn (Request
                   Transmittal and
                   Receipt).
9...............  Utility                      11,000               1          11,000              20         220,000             447         98,340,000
                   Continuation-in-
                   Part Applications.
10..............  Design Continuation-            850               1             850               3           2,550             447          1,139,850
                   in-Part
                   Applications.
11..............  Provisional                 160,000               1         160,000              18       2,880,000             447      1,287,360,000
                   Application for
                   Patent Cover Sheet.
12..............  Petition To Accept            1,100               1           1,100               1           1,100             447            491,700
                   Unintentionally
                   Delayed Priority
                   or Benefit Claim.
13..............  Petition to be the            3,000               1           3,000               1           3,000             447          1,341,000
                   applicant under 37
                   CFR 1.46(b) by a
                   person who
                   otherwise shows a
                   sufficient
                   proprietary
                   interest in the
                   matter.
14..............  Papers filed under            7,000               1           7,000             .75           5,250             447          2,346,750
                   the following:
                  1.41(c) or
                   1.41(a)(2) (pre-
                   AIA)--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.

[[Page 1560]]

 
                  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             800               1             800               1             800             447            357,600
                   the Right of
                   Priority under 37
                   CFR 1.55(c).
                  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
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                             Estimated
                 Item No.                      Fee code                         Item                          annual          Amount          Totals
                                                                                                             responses
                                                                                                                     (a)             (b)     (a) x (b) =
                                                                                                                                                     (c)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1, 4......................................            1011  Basic Filing Fee--Utility (Paper Filing--            250,450            $320     $80,144,000
                                                             Also Requires Non-Electronic Filing Fee
                                                             Under 1.16(t)) (undiscounted entity).
1, 4......................................            2011  Basic Filing Fee--Utility (Paper Filing--                260             128          33,280
                                                             Also Requires Non-Electronic Filing Fee
                                                             Under 1.16(t)) (small entity).
1, 4......................................            3011  Basic Filing Fee--Utility (Paper Filing--             14,520              64         929,280
                                                             Also Requires Non-Electronic Filing Fee
                                                             Under 1.16(t)) (micro entity).
1, 4......................................            4011  Basic Filing Fee--Utility (electronic filing          84,760              64       5,424,640
                                                             for small entities).
1, 4......................................            1081  Utility Application Size Fee--For Each                20,640             420       8,668,800
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (undiscounted entity).
1, 4......................................            2081  Utility Application Size Fee--For Each                11,630             168       1,953,840
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (small entity).
1, 4......................................            3081  Utility Application Size Fee--For Each                   220              84          18,480
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (micro entity).
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                249,600             800     199,680,000
                                                             entity).
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             42,020             480      20,169,600
                                                             (undiscounted entity).
1,2 4-6, and 9............................            2201  Each Independent Claim in Excess of Three             14,500             192       2,784,000
                                                             (small entity).
1,2 4-6, and 9............................            3201  Each Independent Claim in Excess of Three              1,400              96         134,400
                                                             (micro entity).
1,2 4-6, and 9............................            1202  Each Claim in Excess of 20 (undiscounted             304,230             100      30,423,000
                                                             entity).
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

[[Page 1561]]

 
1,2 4-6, and 9............................            1203  Multiple Dependent Claim (undiscounted                   730             860         627,800
                                                             entity).
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                    490             220         107,800
                                                             entity).
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                       1             420             420
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (undiscounted entity).
2, 5......................................            2083  Plant Application Size Fee--For Each                       1             168             168
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (small entity).
2, 5......................................            3083  Plant Application Size Fee--For Each                       1              84              84
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (micro entity).
3, 6......................................            1012  Basic Filing Fee--Design (undiscounted               20,0200             220       4,404,400
                                                             entity).
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             920             220         202,400
                                                             entity).
3, 6......................................            2017  Basic Filing Fee--Design (CPA) (small                    500              88          44,000
                                                             entity).
3, 6......................................            3017  Basic Filing Fee--Design (CPA) (micro                     85              44           3,740
                                                             entity).
3, 6......................................            1082  Design Application Size Fee--For Each                    170             420          71,400
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (undiscounted entity).
3, 6......................................            2082  Design Application Size Fee--For Each                     90             168          15,120
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (small entity).
3, 6......................................            3082  Design Application Size Fee--For Each                     30              84           2,520
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (micro entity).
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            11,180             420       4,695,600
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (undiscounted entity).
11........................................            2085  Provisional Application Size Fee--For Each            11,360             168       1,908,480
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (small entity).
11........................................            3085  Provisional Application Size Fee--For Each               110              84           9,240
                                                             Additional 50 Sheets That Exceeds 100
                                                             Sheets (micro entity).
11........................................            1005  Provisional Application Filing Fee                    63,710             300      19,113,000
                                                             (undiscounted entity).
11........................................            2005  Provisional Application Filing Fee (small             69,250             120       8,310,000
                                                             entity).
11........................................            3005  Provisional Application Filing Fee (micro             23,150              60       1,389,000
                                                             entity).
1-11......................................            1051  Surcharge--Late Filing Fee, Search Fee,               78,200             160      12,512,000
                                                             Examination Fee, Inventor's Oath or
                                                             Declaration, or Application Filed Without
                                                             at least One Claim or by Reference
                                                             (undiscounted entity).
1-11......................................            2051  Surcharge--Late Filing Fee, Search Fee,               33,010              64       2,112,640
                                                             Examination Fee, Inventor's Oath or
                                                             Declaration, or Application Filed Without
                                                             at least One Claim or by Reference (small
                                                             entity).
1-11......................................            3051  Surcharge--Late Filing Fee, Search Fee,                3,370              32         107,840
                                                             Examination Fee, Inventor's Oath or
                                                             Declaration, or Application Filed Without
                                                             at least One Claim or by Reference (micro
                                                             entity).
1-11......................................            1052  Surcharge--Late Provisional Filing Fee or              1,700              60         102,000
                                                             Cover Sheet (undiscounted entity).
1-11......................................            2052  Surcharge--Late Provisional Filing Fee or              2,440              24          58,560
                                                             Cover Sheet (small entity).
1-11......................................            3052  Surcharge--Late Provisional Filing Fee or              2,574              12          30,888
                                                             Cover Sheet (micro entity).
13........................................            1463  Electronic Petition To Be the Applicant                1,800             220         396,000
                                                             Under 37 CFR 1.46 by a Person Who Otherwise
                                                             Shows Sufficient Proprietary Interest in
                                                             the Matter (undiscounted entity).

[[Page 1562]]

 
13........................................            2463  Electronic Petition To Be the Applicant                  900              88          79,200
                                                             Under 37 CFR 1.46 by a Person Who Otherwise
                                                             Shows Sufficient Proprietary Interest in
                                                             the Matter (small entity).
13........................................            3463  Electronic Petition To Be the Applicant                  300              44          13,200
                                                             Under 37 CFR 1.46 by a Person Who Otherwise
                                                             Shows Sufficient Proprietary Interest in
                                                             the Matter (micro entity).
15........................................            1454  Grantable Petition To Restore the Right of               310           2,100         651,000
                                                             Priority Under 37 CFR 1.55(c) (undiscounted
                                                             entity).
15........................................            2454  Grantable Petition To Restore the Right of                65             840          54,600
                                                             Priority Under 37 CFR 1.55(c) (small
                                                             entity).
15........................................            3454  Grantable Petition To Restore the Right of                25             420          10,500
                                                             Priority Under 37 CFR 1.55(c) (micro
                                                             entity).
15........................................            1454  Grantable Petition To Restore the Benefit of             310           2,100         651,000
                                                             a Prior-Filed Provisional Application Under
                                                             37 CFR 1.78(b) (undiscounted entity).
15........................................            2454  Grantable Petition To Restore the Benefit of              65             840          54,600
                                                             a Prior-Filed Provisional Application Under
                                                             37 CFR 1.78(b) (small entity).
15........................................            3454  Grantable Petition To Restore the Benefit of              25             420          10,500
                                                             a Prior-Filed Provisional Application Under
                                                             37 CFR 1.78(b) (micro entity).
                                                                                                         -----------------------------------------------
                                            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 
continuation-in-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.
    <bullet> 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.
    <bullet> 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.
    <bullet> 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.
    <bullet> 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.

[[Page 1563]]



                              Table 3--Drawing Costs to Private Sector Respondents
----------------------------------------------------------------------------------------------------------------
                                                                     Estimated       Estimated
           Item No.                           Item                    annual       drawing costs   Drawing cost
                                                                     responses      amount ($)        totals
                                                                             (a)             (b)     (a) x (b) =
                                                                                                             (c)
----------------------------------------------------------------------------------------------------------------
1............................  Utility Application Drawings.....         230,520          $1,250    $288,150,000
2............................  Plant Application Drawings                  1,005             750         753,750
                                (Photographs).
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:
    <bullet> 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[supreg] 
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[supreg] flat rate cost for mailing envelopes, the 
USPTO estimates that the average cost for sending a patent application 
by Priority Mail Express[supreg] will be $28.95; resulting in a cost of 
$180,793.
    <bullet> 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


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