Form Pto 1390 PDF Details

The PTO-1390 form stands as a crucial document within the framework of U.S. patent law, facilitating the transition of international patent applications into the U.S. national phase under the Patent Cooperation Treaty (PCT). Officially recognized and mandated for use by the U.S. Patent and Trademark Office (USPTO) and governed by specific regulations, this form serves multiple functions. It acts as a transmittal letter for submissions under 35 U.S.C. 371, guiding applicants through the process of initiating national examination procedures by itemizing required components such as express requests, the application, amendments, and relevant translations. Furthermore, it encompasses a detailed listing of amendments made during the international phase, including claims, declarations, or any alterations in invention specifications. Alongside these specifications, the form elucidates on documentations like the Information Disclosure Statement, preliminary amendments, and assignment papers critical for application processing. Additionally, fees associated with national entry—basic national fees, examination fees, and search fees—are clearly itemized, taking into account specifications for small or micro entity status which could influence the total cost. The form not only functions as a conduit for information between the applicant and the USPTO but also as a legal document that aligns international applications with U.S. patent law requirements, thereby highlighting its indispensable role in the patent filing process. Compliance with the Paperwork Reduction Act of 1995 and inclusion of the OMB control number affirm the form’s validity and the obligation of the applicants to adhere to its comprehensive requirements.

QuestionAnswer
Form NameForm Pto 1390
Form Length4 pages
Fillable?No
Fillable fields0
Avg. time to fill out1 min
Other namespto 1390 pto 1390 form

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PTO-1390 (06-13) Approved for use through 6/30/2013. OMB 0651-0021 U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE

Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

TRANSMITTAL LETTER TO THE UNITED STATES

Attorney Docket No.

 

DESIGNATED/ELECTED OFFICE (DO/EO/US)

 

U.S. Application No. (if known, see 37 CFR 1.5)

CONCERNING A SUBMISSION UNDER 35 U.S.C. 371

 

 

 

 

International Application No.

International Filing Date

Priority Date Claimed

 

 

 

Title of Invention

First Named Inventor

Applicant herewith submits to the United States Designated/Elected Office (DO/EO/US) the following items and other information.

1. This is an express request to begin national examination procedures (35 U.S.C. 371(f)). NOTE: The express request under

35 U.S.C. 371(f) will not be effective unless the requirements under 35 U.S.C. 371(c)(1), (2), and (4) for payment of the basic national fee, copy of the International Application and English translation thereof (if required), and the oath or declaration of the inventor(s) have been received.

2.A copy of the International Application (35 U.S.C. 371(c)(2)) is attached hereto (not required if the International Application was previously communicated by the International Bureau or was filed in the United States Receiving Office (RO/US)).

3.An English language translation of the International Application (35 U.S.C. 371(c)(2))

a. is attached hereto.

b. has been previously submitted under 35 U.S.C. 154(d)(4).

4.An oath or declaration of the inventor(s) (35 U.S.C. 371(c)(4))

a. is attached.

b. was previously filed in the international phase under PCT Rule 4.17(iv).

Items 5 to 8 below concern amendments made in the international phase.

PCT Article 19 and 34 amendments

5.

 

Amendments to the claims under PCT Article 19 are attached (not required if communicated by the International Bureau) (35 U.S.C.

 

 

371(c)(3)).

 

 

6. English translation of the PCT Article 19 amendment is attached (35 U.S.C. 371(c)(3)).

7. English translation of annexes (Article 19 and/or 34 amendments only) of the International Preliminary Examination Report is attached (35 U.S.C. 371(c)(5)).

Cancellation of amendments made in the international phase

8a. Do not enter the amendment made in the international phase under PCT Article 19.

8b. Do not enter the amendment made in the international phase under PCT Article 34.

NOTE: A proper amendment made in English under Article 19 or 34 will be entered in the U.S. national phase application absent a clear instruction from applicant not to enter the amendment(s).

The following items 9 to 17 concern a document(s) or information included.

9. An Information Disclosure Statement under 37 CFR 1.97 and 1.98.

10. A preliminary amendment.

11. An Application Data Sheet under 37 CFR 1.76.

12. A substitute specification. NOTE: A substitute specification cannot include claims. See 37 CFR 1.125(b).

13. A power of attorney and/or change of address letter.

14. A computer-readable form of the sequence listing in accordance with PCT Rule 13ter.3 and 37 CFR 1.821-1.825.

15. Assignment papers (cover sheet and document(s)). Name of Assignee: ________________________________________________

_________________________________________________________________________________________________________

16. 37 CFR 3.73(c) Statement (when there is an Assignee).

This collection of information is required by 37 CFR 1.414 and 1.491-1.492. The information is required to obtain or retain a benefit by the public, which is to file (and by the USPTO to process) an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.11 and 1.14. This collection is estimated to take 15 minutes to complete, including gathering, preparing, and submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete this form and/or suggestions for reducing this burden should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Mail Stop PCT, Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.

PTO-1390 (06-13) Approved for use through 6/30/2013. OMB 0651-0021 U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE

Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

U.S. APPLN. No. (if known – see 37 CFR 1.5)

INTERNATIONAL APPLICATION No.

ATTORNEY DOCKET No.

17. Other items or information:

 

The following fees have been submitted.

 

 

 

 

 

CALCULATIONS

PTO USE ONLY

18.

 

 

 

 

 

 

 

 

 

 

 

 

 

Basic national fee (37 CFR 1.492(a)) ……………………………………….. $280

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

19.

 

Examination fee (37 CFR 1.492(c))

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

If the written opinion prepared by ISA/US or the international preliminary

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

examination report prepared by IPEA/US indicates all claims satisfy provisions of

 

$

 

 

 

 

 

 

 

PCT Article 33(1)-(4) ………………………………………………………….. $0

 

 

 

 

 

 

 

 

 

All other situations …………………………………………………………….. $720

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

20.

 

Search fee (37 CFR 1.492(b))

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

If the written opinion prepared by ISA/US or the international preliminary

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

examination report prepared by IPEA/US indicates all claims satisfy provisions of

 

 

 

 

 

 

 

 

 

PCT Article 33(1)-(4) ………………………………………………………….. $0

 

 

 

 

 

 

 

 

 

Search fee (37 CFR 1.445(a)(2)) has been paid on the international application to

 

$

 

 

 

 

 

 

 

the USPTO as an International Searching Authority ……………………….$120

 

 

 

 

 

 

 

 

 

International Search Report prepared by an ISA other than the US and provided to

 

 

 

 

 

 

 

 

 

the Office or previously communicated to the US by the IB ……………….$480

 

 

 

 

 

 

 

 

 

All other situations ……………………………………………………………...$600

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL OF 18, 19, and 20 =

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Additional fee for specification and drawings filed in paper over 100 sheets

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(excluding sequence listing in compliance with 37 CFR 1.821(c) or (e) in an

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

electronic medium or computer program listing in an electronic medium) (37 CFR

 

 

 

 

 

 

 

 

 

1.492(j)).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fee for each additional 50 sheets of paper or fraction thereof …………... $400

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total Sheets

Extra Sheets

Number of each addition 50 or fraction

 

RATE

 

 

 

 

 

 

thereof (round up to a whole number)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

- 100 =

 

/ 50 =

 

 

 

 

x $400

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Surcharge of $140.00 for furnishing any of the search fee, examination fee, or the oath or

 

$

 

 

 

declaration after the date of commencement of the national stage (37 CFR 1.492(h)).

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CLAIMS

NUMBER FILED

NUMBER EXTRA

 

 

RATE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total claims

 

- 20 =

 

 

 

x $80

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Independent claims

 

- 3 =

 

 

x $420

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MULTIPLE DEPENDENT CLAIM(S) (if applicable)

 

+ $780

 

$

 

 

 

 

 

 

 

 

 

 

 

 

 

Processing fee of $140.00 for furnishing the English translation later than 30 months from the

$

 

 

 

earliest claimed priority date (37 CFR 1.492(i)).

 

 

 

 

+

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL OF ABOVE CALCULATIONS =

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Applicant asserts small entity status. See 37 CFR 1.27. Fees above are reduced by ½.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Applicant certifies micro entity status. See 37 CFR 1.29. Fees above are reduced by ¾.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Applicant must attach form PTO/SB/15A or B or equivalent.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL NATIONAL FEE =

$

 

 

 

 

 

 

 

 

 

 

 

 

 

Fee for recording the enclosed assignment (37 CFR 1.21(h)). The assignment must be

 

$

 

 

 

accompanied by an appropriate cover sheet (37 CFR 3.28, 3.31). $40.00 per property.

+

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TOTAL FEES ENCLOSED =

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Amount to be

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

refunded:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Amount to be

$

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

charged:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

[Page 2 of 3]

 

 

 

 

 

 

PTO-1390 (06-13) Approved for use through 6/30/2013. OMB 0651-0021 U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE

Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

a. A check in the amount of $_____________________ to cover the above fees is enclosed.

b. Please charge my Deposit Account No. ___________________ in the amount of $____________________ to cover the above fees.

c.The Director is hereby authorized to charge additional fees which may be required, or credit any overpayment, to Deposit Account No. ___________________ as follows:

i. any required fee.

ii.any required fee except for excess claims fees required under 37 CFR 1.492(d) and (e) and multiple dependent claim fee required under 37 CFR 1.492(f).

d. Fees are to be charged to a credit card. WARNING: Information on this form may become public. Credit card information should not be included on this form. Provide credit card information and authorization on PTO-2038. The PTO-2038 should only be mailed or faxed to the USPTO. However, when paying the basic national fee, the PTO-2038 may NOT be faxed to the USPTO.

ADVISORY: If filing by EFS-Web, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web submission. Please be advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your information, it is recommended to pay fees online by using the electronic payment method.

NOTE: Where an appropriate time limit under 37 CFR 1.495 has not been met, a petition to revive (37 CFR 1.137(a) or (b)) must be filed and granted to restore the International Application to pending status.

Statement under 37 CFR 1.55 or 1.78 for AIA (First Inventor to File)Transition Applications

This application (1) claims priority to or the benefit of an application filed before March 16, 2013, and (2) also contains, or contained at any time, a claim to a claimed invention that has an effective filing date on or after March 16, 2013.

NOTE 1: By providing this statement under 37 CFR 1.55 or 1.78, this application, with a filing date on or after March 16, 2013, will be examined under the first inventor to file provisions of the AIA.

NOTE 2: A U.S. national stage application may not claim priority to the international application of which it is the national phase. The filing date of a U.S. national stage application is the international filing date. See 35 U.S.C. 363.

Correspondence Address

The address associated with Customer Number: _______________________ OR

 

Correspondence address below

Name

Address

City

State

Zip Code

Country

Telephone

Email

Signature

Name (Print/Type)

Date

Registration No. (Attorney/Agent)

[Page 3 of 3]

Privacy Act Statement

The Privacy Act of 1974 (P.L. 93-579) requires that you be given certain information in connection with your submission of the attached form related to a patent application or patent. Accordingly, pursuant to the requirements of the Act, please be advised that: (1) the general authority for the collection of this information is 35 U.S.C. 2(b)(2); (2) furnishing of the information solicited is voluntary; and (3) the principal purpose for which the information is used by the U.S. Patent and Trademark Office is to process and/or examine your submission related to a patent application or patent. If you do not furnish the requested information, the U.S. Patent and Trademark Office may not be able to process and/or examine your submission, which may result in termination of proceedings or abandonment of the application or expiration of the patent.

The information provided by you in this form will be subject to the following routine uses:

1.The information on this form will be treated confidentially to the extent allowed under the Freedom of Information Act (5 U.S.C. 552) and the Privacy Act (5 U.S.C 552a). Records from this system of records may be disclosed to the Department of Justice to determine whether disclosure of these records is required by the Freedom of Information Act.

2.A record from this system of records may be disclosed, as a routine use, in the course of presenting evidence to a court, magistrate, or administrative tribunal, including disclosures to opposing counsel in the course of settlement negotiations.

3.A record in this system of records may be disclosed, as a routine use, to a Member of Congress submitting a request involving an individual, to whom the record pertains, when the individual has requested assistance from the Member with respect to the subject matter of the record.

4.A record in this system of records may be disclosed, as a routine use, to a contractor of the Agency having need for the information in order to perform a contract. Recipients of information shall be required to comply with the requirements of the Privacy Act of 1974, as amended, pursuant to 5 U.S.C. 552a(m).

5.A record related to an International Application filed under the Patent Cooperation Treaty in this system of records may be disclosed, as a routine use, to the International Bureau of the World Intellectual Property Organization, pursuant to the Patent Cooperation Treaty.

6.A record in this system of records may be disclosed, as a routine use, to another federal agency for purposes of National Security review (35 U.S.C. 181) and for review pursuant to the Atomic Energy Act (42 U.S.C. 218(c)).

7.A record from this system of records may be disclosed, as a routine use, to the Administrator, General Services, or his/her designee, during an inspection of records conducted by GSA as part of that agency’s responsibility to recommend improvements in records management practices and programs, under authority of 44 U.S.C. 2904 and 2906. Such disclosure shall be made in accordance with the GSA regulations governing inspection of records for this purpose, and any other relevant (i.e., GSA or Commerce) directive. Such disclosure shall not be used to make determinations about individuals.

8.A record from this system of records may be disclosed, as a routine use, to the public after either publication of the application pursuant to 35 U.S.C. 122(b) or issuance of a patent pursuant to 35 U.S.C. 151. Further, a record may be disclosed, subject to the limitations of 37 CFR 1.14, as a routine use, to the public if the record was filed in an application which became abandoned or in which the proceedings were terminated and which application is referenced by either a published application, an application open to public inspection or an issued patent.

9.A record from this system of records may be disclosed, as a routine use, to a Federal, State, or local law enforcement agency, if the USPTO becomes aware of a violation or potential violation of law or regulation.

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This document requires some specific information; in order to ensure consistency, you need to consider the guidelines below:

1. Whenever completing the Form Pto 1390, make certain to incorporate all necessary blank fields in their corresponding part. It will help to speed up the process, which allows your details to be processed swiftly and appropriately.

Find out how to complete Form Pto 1390 part 1

2. Soon after completing the last step, go to the subsequent part and fill out the essential details in all these blanks - was previously filed in the, Items to below concern, PCT Article and amendments, Amendments to the claims under PCT, English translation of annexes, Cancellation of amendments made in, Do not enter the amendment made in, Do not enter the amendment made in, NOTE A proper amendment made in, The following items to concern a, An Information Disclosure, A preliminary amendment, An Application Data Sheet under, A substitute specification NOTE A, and A power of attorney andor change.

Step # 2 in completing Form Pto 1390

3. The next part will be straightforward - fill out all of the blanks in Assignment papers cover sheet and, CFR c Statement when there is an, and This collection of information is to conclude this part.

Form Pto 1390 conclusion process outlined (stage 3)

4. Completing PTO Approved for use through OMB, US APPLN No if known see CFR, INTERNATIONAL APPLICATION No, ATTORNEY DOCKET No, Other items or information, The following fees have been, CALCULATIONS, PTO USE ONLY, Basic national fee CFR a, Examination fee CFR c If the, and Search fee CFR b If the written is paramount in this fourth part - make sure you take your time and take a close look at every single field!

Form Pto 1390 conclusion process described (step 4)

Lots of people generally make some errors while filling in Examination fee CFR c If the in this section. You should definitely reread what you type in right here.

5. Because you come close to the completion of the file, you will find a couple extra requirements that need to be fulfilled. In particular, Search fee CFR b If the written, TOTAL OF and, Additional fee for specification, Total Sheets, Extra Sheets, Number of each addition or, RATE, Surcharge of for furnishing any, CLAIMS, NUMBER FILED, NUMBER EXTRA, Total claims, Independent claims, MULTIPLE DEPENDENT CLAIMS if, and RATE should be filled out.

Form Pto 1390 conclusion process described (step 5)

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