Initial Patent Applications

OMB Control No: 0651-0032	ICR Reference No: 200702-0651-008
Status: Historical Active	Previous ICR Reference No: 200509-0651-002
Agency/Subagency: DOC/PTO	Agency Tracking No:
Title: Initial Patent Applications
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/05/2007
Retrieve Notice of Action (NOA)	Date Received in OIRA: 02/28/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2010	36 Months From Approved	06/30/2007
Responses	543,591	0	454,287
Time Burden (Hours)	10,677,624	0	4,171,568
Cost Burden (Dollars)	243,201,076	0	575,550,000

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Abstract: This information collection is necessary to conduct a thorough examination of patent applications, in accordance with 35 U.S.C. 131 and 37 CFR 1.16 through 1.84. An applicant must provide sufficient information so the USPTO can properly examine the application to determine whether it meets the requirements outlined in the patent statutes and regulations. This collection covers new original utility, plant, design, provisional, continued prosecution applications (design) and provisional applications, in addition to petitions. The utility, design, and provisional applications can be filed electronically. Two new fees from the Consolidated Appropriations Act, 2005, five existing fees and surcharges previously overlooked, and one petition that was previously overlooked are being added to the collection at this time. The USPTO believes that the primary respondents to this information collection will be individuals or households.

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Authorizing Statute(s): US Code: 35 USC 131 Name of Law: null

Citations for New Statutory Requirements: US Code: 35 USC 41(d)(1)(D) Name of Law: Consolidated Appropriations Act

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	71 FR 53669	09/12/2006
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 8355	02/26/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 18

IC Title Form No. Form Name Utility Continuation/Divisional Applications PTO/SB/05, PTO/SB/17 Utility Patent Application Transmittal ,   Fee Transmittal Form Plant Continuation/Divisional Applications PTO/SB/19, PTO/SB/17 Plant Patent Application Transmittal ,   Fee Transmital Form Provisional Application for Patent Cover Sheet PTO/SB/16 Provisional Application for Patent Cover Sheet Design Continuation/Divisional Applications PTO/SB/18, PTO/SB/17 Design Patent Application Transmittal ,   Fee Transmittal Form Utility Continuation-in-Part Applications PTO/SB/103, PTO/SB/101, PTO/SB/107, PTO/SB/110, PTO/SB/05, PTO/SB/17, PTO/SB/108, PTO/SB/109, PTO/SB/01, PTO/SB/04, PTO/SB/104, PTO/SB/105, PTO/SB/106, PTO/SB/02A and PTO/SB/02B, PTO/SB/02LR, PTO/SB/102 Declaration and Power of Attorney for Patent Application ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Utility Patent Application Transmittal ,   Fee Transmittal Form Plant Continuation-in-Part Applications PTO/SB/02A and PTO/SB/02B, PTO/SB/19, PTO/SB/17, PTO/SB/02LR, PTO/SB/03 Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.63) ,   Plant Patent Application Transmittal ,   Fee Transmittal Form Design Continuation-in-Part Applications PTO/SB/02LR, PTO/SB/18, PTO/SB/17, PTO/SB/04, PTO/SB/01, PTO/SB/02A and PTO/SB/02B Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors - Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 11) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Design Patent Application Transmittal ,   Fee Transmittal Form Petition to Accept Unintentionally Delayed Priority Claim Petition to Accept Non-Signing Inventors or Legal Representatives/Filing by Other Than All the Inventors or a Person not the Inventor Petition under 37 CFR 1.6(f) to Accord the Application under 37 CFR 1.495(b) a National Stage Entry Date Continued Prosecution Applications - Design (Request Transmittal and Receipt) PTO/SB/29, PTO/SB/29A For Design Applications Only: Continued Prosecution Application (CPA) Request Transmittal ,   For Design Applications Only Receipt for Facsimile Transmitted CPA Original New Design Applications - No Application Data Sheet PTO/SB/02LR, PTO/SB/01, PTO/SB/106, PTO/SB/105, PTO/SB/18, PTO/SB/17, PTO/SB/02A and PTO/SB/02B, PTO/SB/04 Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors-Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Design Patent Application Transmittal ,   Fee Transmittal Form Original New Utility Applications - No Application Data Sheet PTO/SB/108, PTO/SB/05, PTO/SB/102, PTO/SB/02A and PTO/SB/02B, PTO/SB/04, PTO/SB/01, PTO/SB/104, PTO/SB/110, PTO/SB/17, PTO/SB/109, PTO/SB/103, PTO/SB/02LR, PTO/SB/106, PTO/SB/105, PTO/SB/107, PTO/SB/101 Declaration and Power of Attorney for Patent Application ,   Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors-Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Dutch Language Declaration ,   Declaration and Power of Attorney for Patent Application - German Language Declaration ,   Declaration and Power of Attorney for Patent Application - Italian Language Declaration ,   Declaration and Power of Attorney for Patent Application - French Language Declaration ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Utility Patent Application Transmittal ,   Fee Transmittal Form Original New Utility Applications - Application Data Sheet PTO/SB/01A, PTO/SB/17, PTO/SB/14 Application Data Sheet 37 CFR 1.76 ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) ,   Fee Transmittal Form Original New Plant Applications - Application Data Sheet PTO/SB/17, PTO/SB/14, PTO/SB/03A Application Data Sheet 37 CfR 1.76 ,   Declaration (37 CFR 1.63) for Plant Application Using an Application Data Sheet (37 CFR 1.76) ,   Fee Transmittal Form Original New Design Applications - Application Data Sheet PTO/SB/01A, PTO/SB/14, PTO/SB/17 Application Data Sheet 37 CFR 1.76 ,   Declaration (37 CFR 1.63) for Utility or Design Application Using an Application Data Sheet (37 CFR 1.76) ,   Fee Transmittal Form Continuation/Divisional of an International Application - No Application Data Sheet PTO/SB/01, PTO/SB/102, PTO/SB/106, PTO/SB/110, PTO/SB/101, PTO/SB/103, PTO/SB/104, PTO/SB/02LR, PTO/SB/105, PTO/SB/109, PTO/SB/13/PCT, PTO/SB/107, PTO/SB/02A and PTO/SB/02B, PTO/SB/108, PTO/SB/04 Declaration for Utility or Design Patent Application (37 CFR 1.63) ,   Declaration - Additional Inventors-Supplemental Sheet and Declaration - Supplemental Priority Data Sheet ,   Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Supplemental Declaration for Utility or Design Patent Application (37 CFR 1.67) ,   Declaration and Power of Attorney for Patent Application - Chinese Language Declaration ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application ,   Declaration and Power of Attorney for Patent Application - Italian Language Declaration ,   Declaration and Power of Attorney for Patent Application - French Language Declaration ,   Declaration and Power of Attorney for Patent Application - Japanese Language Declaration ,   Declaration and Power of Attorney for Patent Application - Russian Language Declaration ,   Declaration and Power of Attorney for Patent Application - Swedish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Spanish Language Declaration ,   Declaration and Power of Attorney for Patent Application - Korean Language Declaration ,   Request for Filing a Continuation or Division of an International Application Original New Plant Applications - No Application Data Sheet PTO/SB/03, PTO/SB/02LR, PTO/SB/19, PTO/SB/109, PTO/SB/17 Declaration Supplemental Sheet for Legal Representatives (35 U.S.C. 117) on Behalf of a Deceased or Incapacitated Inventor ,   Plant Patent Application (35 U.S.C. 161) Declaration (37 CFR 1.63) ,   Declaration and Power of Attorney for Patent Application ,   Plant Patent Application Transmittal ,   Fee Transmittal Forms

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	543,591	454,287	0	10,678	78,626	0
Annual Time Burden (Hours)	10,677,624	4,171,568	0	53,390	6,452,666	0
Annual Cost Burden (Dollars)	243,201,076	575,550,000	2,090	1,260	-332,352,274	0

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

Burden Increase Due to: Changing Regulations

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

Burden Reduction Due to:

Short Statement: The program change increases are due to a new application size fee introduced in the Consolidated Appropriations Act of 2005. Applicants can submit their design applications electronically through EFS-Web. The introduction of electronic filing for the design applications accounts for increases in the annual cost burden.

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Annual Cost to Federal Government: $8,936,439

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

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

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

Agency Contact: Robert Clarke 571 272-7735 [email protected]

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
		(a) It is necessary for the proper performance of agency functions;
		(b) It avoids unnecessary duplication;
		(c) It reduces burden on small entities;
		(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
		(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
		(f) It indicates the retention periods for recordkeeping requirements;
		(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
			(i) Why the information is being collected;
			(ii) Use of information;
			(iii) Burden estimate;
			(iv) Nature of response (voluntary, required for a benefit, or mandatory);
			(v) Nature and extent of confidentiality; and
			(vi) Need to display currently valid OMB control number;
		(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
		(i) It uses effective and efficient statistical survey methodology (if applicable); and
		(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date: 02/28/2007

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