| Fees and Payment of Money |
Referenced Items (97, 98, 99, 100, 101, 102, 103, 104, 105, 106, 107, 108, 109, 110, 111, 112, 113, 114, 115, 116, 117, 118, 119, 120, 121, 122, 123, 124, 125, 126, 127) |
(104) Notice of Availability of Patent Fee Changes under the
Leahy-Smith America Invents Act
SUMMARY: The USPTO is publishing this notice to specify the patent fee
amounts that are in effect on September 26, 2011, by operation of the
fifteen percent surcharge provided for in section 11(i) and the prioritized
examination fee provided for in section 11(h) of the Leahy-Smith America
Invents Act (Pub. L. 112-29). This notice also specifies the additional fee
for applications not filed by the USPTO's electronic filing system (EFS-Web)
that is in effect on November 15, 2011, by operation of section 10(h) of the
Leahy-Smith America Invents Act.
DISCUSSION: Sections 11(a) through (e) of the Leahy-Smith America Invents
Act generally codify the patent fee provisions of the fiscal year 2005
Consolidated Appropriations Act (Pub. L. 108-447), with the patent fee
amounts in effect on the date of enactment of the Leahy-Smith America
Invents Act. Sections 11(a) through (e) of the Leahy-Smith America Invents
Act also delete provisions pertaining to applicant-provided search reports
and search reports acquired from a qualified search authority, and
reorganize a few of the patent fee provisions of the fiscal year 2005
Consolidated Appropriations Act. The Leahy-Smith America Invents Act includes
the following additional changes to patent fees:
First, section 11(i) of the Leahy-Smith America Invents Act provides that
there shall be a surcharge of 15 percent, rounded by standard arithmetic
rules, on all fees charged or authorized by 35 U.S.C. 41(a), (b) and (d)(1),
as well as by 35 U.S.C. 132(b). Section 11(i) also provides that this 15
percent surcharge is effective ten days after the date of enactment of the
Leahy-Smith America Invents Act (i.e., September 26, 2011).
Second, section 11(h) of the Leahy-Smith America Invents Act includes
provisions for prioritized examination, which include a fee of $4,800
($2,400 for small entities). Section 11(h) also provides that the prioritized
examination provisions are effective ten days after the date of enactment
of the Leahy-Smith America Invents Act (i.e., September 26, 2011). The
prioritized examination provisions of section 11(h) of the Leahy-Smith
America Invents Act are being implemented in a separate final rule making.
Third, section 10(h) of the Leahy-Smith America Invents Act provides that
an additional fee of $400 shall be established for each application for an
original (i.e., non-reissue) patent, except for a design, plant, or
provisional application, that is not filed by electronic means as prescribed
by the Director of the United States Patent and Trademark Office (USPTO).
Section 10(h) also provides that this fee is reduced by 50 percent for small
entities under 35 U.S.C. 41(h)(1). Additionally, section 10(h) provides that
this new fee is effective sixty days after the date of enactment of the
Leahy-Smith America Invents Act (i.e., November 15, 2011).
The USPTO is publishing this notice to specify the patent fee amounts
that are in effect ten days after the date of enactment of the Leahy-Smith
America Invents Act by operation of the fifteen percent surcharge provided
for in section 11(i) and the prioritized examination fee provided for in
Section 11(h). This notice also specifies the additional fee for
applications not filed by electronic means in effect sixty days after the
date of enactment of the Leahy-Smith America Invents Act by operation of
section 10(h). The fees for the new programs provided for in the Leahy-Smith
America Invents Act (e.g., post-grant review, inter partes review,
supplemental examination) and other fee changes authorized by the Leahy-Smith
America Invents Act will be implemented in separate rule makings.
I. Fee Rounding: As provided for in section 11(i) of the Leahy-Smith America
Invents Act, the adjusted patent fee amounts were rounded by applying
standard arithmetic rules. For years, the USPTO has utilized a method of
rounding whereby fees for other than a small entity of $100 or more were
rounded to the nearest $10, and fees for other than a small entity of less
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than $100 were rounded to an even number so that any comparable small entity
fee will be a whole number. See, e.g., Patent Fees, 55 FR 49040 (Nov. 26,
1990) (interim rule) (implementing identical surcharge language pursuant to
the Omnibus Budget Reconciliation Act of 1990); see also Revision of Patent
Fees for Fiscal Year 2005, 69 FR 52604 (Aug. 27, 2004) (final rule)
(adjusting certain patent fee amounts to reflect fluctuations in the Consumer
Price Index); Revision of Patent Fees for Fiscal Year 2007, 72 FR 46899
(Aug. 22, 2007) (final rule); Revision of Patent Fees for Fiscal Year 2009,
73 FR 47534 (Aug. 14, 2008) (final rule).
II. Applicable Fee Amount: The applicable fee amount is the fee amount in
effect on the day the fee is paid in full. The day a fee is paid is the date
of receipt of the fee payment in the USPTO under 37 CFR 1.6, or the date
reflected on a proper certificate of mailing or transmission for the fee
payment, where such a certificate is authorized under 37 CFR 1.8. Use of a
certificate of mailing or transmission is not authorized for items that are
specifically excluded from the provisions of 37 CFR 1.8, e.g., the filing of
a national or international application for a patent. See 37 CFR 1.8(a)(2).
The date of receipt under 37 CFR 1.6 of patent-related correspondence
delivered by the "Express Mail Post Office to Addressee" service of the
United States Postal Service (USPS) is the date of deposit of the
correspondence with the USPS. See 37 CFR 1.6(a)(2) and 1.10(a)(1). The date
of deposit with the USPS is shown by the "date-in" on the "Express Mail"
mailing label or other official USPS notation. See 37 CFR 1.10(a)(2).
Applicants are encouraged to provide authorization in the application
file to charge fees to a specified Deposit Account to avoid insufficient
payment of fees due to inadvertent payment of fee amounts that are in effect
on September 25, 2011, instead of the fee amounts effective September 26,
2011. Authorization to charge patent fees by reference to Code of Federal
Regulations (CFR) section will be treated as authority to charge the
applicable patent fee amount in effect by operation of the Leahy-Smith
America Invents Act.
III. Micro Entity Reduction: The micro entity reduction provided for in
section 10(b) of the Leahy-Smith America Invents Act for micro entities as
defined by new 35 U.S.C. 123 applies only to the fees set or adjusted by the
USPTO under section 10(a) of the Leahy-Smith America Invents Act. Thus, the
micro entity reduction is not applicable to any of the fees shown in Tables
1-6 or any fee currently in effect.
IV. Table of Fees: The changes to the fee amounts currently indicated in 37
CFR 1.16 are shown in table 1. Note that the fees effective September 26,
2011, are listed in the right columns of Tables 1-6 and are fifteen percent
higher than the fees listed in the column to the left due to the fifteen
percent surcharge provided for in the Leahy-Smith America Invents Act. The
column to the left titled "October 1, 2010 Amount" shows the fees in effect
from October 1, 2010 - September 25, 2011. The small entity reductions in
fees under 35 U.S.C. 41(h) are available under the conditions specified in
37 CFR 1.27.
Tables 1-6 in this notice do not comprise the entire USPTO fee schedule
because only fees affected by the fifteen percent surcharge are listed. The
entire USPTO fee schedule in effect as of September 26, 2011, is available
on the USPTO's Web site (Revised USPTO Fee Schedule effective September 26,
2011).
Table 1:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
section Code Description enactment) enactment)
1.16(a)(1) 1011 Filing of Utility $330.00 $380.00
Patent Application
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1.16(a)(1) 2011 Filing of Utility $165.00 $190.00
Patent Application
1.16(a)(1) 4011 Electronic Filing $82.00 $95.00
of Utility
Patent Application
1.16(b)(1) 1012 Filing of Design $220.00 $250.00
Patent Application
1.16(b)(1) 2012 Filing of Design $110.00 $125.00
Patent Application
1.16(b)(1) 1017 CPA-Design Filing $220.00 $250.00
1.16(b)(1) 2017 CPA-Design Filing $110.00 $125.00
1.16(c)(1) 1013 Filing of Plant $220.00 $250.00
Patent Application
1.16(c)(1) 2013 Filing of Plant $110.00 $125.00
Patent Application
1.16(d) 1005 Provisional $220.00 $250.00
Application Filing
1.16(d) 2005 Provisional $110.00 $125.00
Application Filing
1.16(e)(1) 1014 Filing of Reissue $330.00 $380.00
Patent Application
1.16(e)(1) 2014 Filing of Reissue $165.00 $190.00
Patent Application
1.16(e)(1) 1019 CPA-Reissue Filing $330.00 $380.00
1.16(e)(1) 2019 CPA-Reissue Filing $165.00 $190.00
1.16(h) 1201 Independent Claims $220.00 $250.00
in Excess of Three
1.16(h) 2201 Independent Claims $110.00 $125.00
in Excess of Three
1.16(h) 1204 Reissue Independent $220.00 $250.00
Claims in Excess of
Three
1.16(h) 2204 Reissue Independent $110.00 $125.00
Claims in Excess of
Three
1.16(i) 1202 Total Claims in $52.00 $60.00
Excess of Twenty
1.16(i) 2202 Total Claims in $26.00 $30.00
Excess of Twenty
1.16(i) 1205 Reissue Total $52.00 $60.00
Claims in
Excess of Twenty
1.16(i) 2205 Reissue Total $26.00 $30.00
Claims in
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Excess of Twenty
1.16(j) 1203 Multiple Dependent $390.00 $450.00
Claims
1.16(j) 2203 Multiple Dependent $195.00 $225.00
Claims
1.16(k) 1111 Search of Utility $540.00 $620.00
Patent Application
1.16(k) 2111 Search of Utility $270.00 $310.00
Patent Application
1.16(l) 1112 Search of Design $100.00 $120.00
Patent Application
1.16(l) 2112 Search of Design $50.00 $60.00
Patent Application
1.16(m) 1113 Search of Plant $330.00 $380.00
Patent Application
1.16(m) 2113 Search of Plant $165.00 $190.00
Patent Application
1.16(n) 1114 Search of Reissue $540.00 $620.00
Patent Application
1.16(n) 2114 Search of Reissue $270.00 $310.00
Patent Application
1.16(o) 1311 Examination of $220.00 $250.00
Utility Patent
Application
1.16(o) 2311 Examination of $110.00 $125.00
Utility Patent
Application
1.16(p) 1312 Examination of $140.00 $160.00
Design Patent
Application
1.16(p) 2312 Examination of $70.00 $80.00
Design Patent
Application
1.16(q) 1313 Examination of $170.00 $200.00
Plant Patent
Application
1.16(q) 2313 Examination of $85.00 $100.00
Plant Patent
Application
1.16(r) 1314 Examination of $650.00 $750.00
Reissue Patent
Application
1.16(r) 2314 Examination of $325.00 $375.00
Reissue Patent
Application
1.16(s) 1081 Utility $270.00 $310.00
Application Size
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1.16(s) 2081 Utility $135.00 $155.00
Application Size
1.16(s) 1082 Design $270.00 $310.00
Application Size
1.16(s) 2082 Design $135.00 $155.00
Application Size
1.16(s) 1083 Plant $270.00 $310.00
Application Size
1.16(s) 2083 Plant $135.00 $155.00
Application Size
1.16(s) 1084 Reissue $270.00 $310.00
Application Size
1.16(s) 2084 Reissue $135.00 $155.00
Application Size
1.16(s) 1085 Provisional $270.00 $310.00
Application Size
1.16(s) 2085 Provisional $135.00 $155.00
Application Size
The changes to the fee amounts currently indicated in 37 CFR 1.17 are
shown in table 2.
Table 2:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
section Code Description enactment) enactment)
1.17(a)(1) 1251 Extension for $130.00 $150.00
Response within
First Month
1.17(a)(1) 2251 Extension for $65.00 $75.00
Response within
First Month
1.17(a)(2) 1252 Extension for $490.00 $560.00
Response within
Second Month
1.17(a)(2) 2252 Extension for $245.00 $280.00
Response within
Second Month
1.17(a)(3) 1253 Extension for $1,110.00 $1,270.00
Response within
Third Month
1.17(a)(3) 2253 Extension for $555.00 $635.00
Response within
Third Month
1.17(a)(4) 1254 Extension for $1,730.00 $1,980.00
Response within
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Fourth Month
1.17(a)(4) 2254 Extension for $865.00 $990.00
Response within
Fourth Month
1.17(a)(5) 1255 Extension for $2,350.00 $2,690.00
Response within
Fifth Month
1.17(a)(5) 2255 Extension for $1,175.00 $1,345.00
Response within
Fifth Month
1.17(c) 1817 Request for N/A $4,800.00
Prioritized
Examination
1.17(c) 2817 Request for N/A $2,400.00
Prioritized
Examination
1.17(e) 1801 Request for $810.00 $930.00
Continued
Examination
1.17(e) 2801 Request for $405.00 $465.00
Continued
Examination
1.17(l) 1452 Petition to $540.00 $620.00
Revive Unavoidably
Abandoned Application
1.17(l) 2452 Petition to $270.00 $310.00
Revive Unavoidably
Abandoned Application
1.17(m) 1453 Petition to Revive $1,620.00 $1,860.00
Unintentionally
Abandoned Application
1.17(m) 2453 Petition to Revive $810.00 $930.00
Unintentionally
Abandoned Application
The changes to the fee amounts currently indicated in 37 CFR 1.18 are
shown in table 3.
Table 3:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
section Code Description enactment) enactment)
1.18(a) 1501 Utility Issue $1,510.00 $1,740.00
1.18(a) 2501 Utility Issue $755.00 $870.00
1.18(a) 1511 Reissue Issue $1,510.00 $1,740.00
1.18(a) 2511 Reissue Issue $755.00 $870.00
1.18(b) 1502 Design Issue $860.00 $990.00
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1.18(b) 2502 Design Issue $430.00 $495.00
1.18(c) 1503 Plant Issue $1,190.00 $1,370.00
1.18(c) 2503 Plant Issue $595.00 $685.00
The changes to the fee amounts currently indicated in 37 CFR 1.20 are
shown in table 4.
Table 4:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
section Code Description enactment) enactment)
1.20(c)(3) 1821 Reexamination $220.00 $250.00
Independent Claims
in Excess of Three
1.20(c)(3) 2821 Reexamination $110.00 $125.00
Independent Claims
in Excess of Three
1.20(c)(4) 1822 Reexamination $52.00 $60.00
Total Claims in
Excess of Twenty
1.20(c)(4) 2822 Reexamination $26.00 $30.00
Total Claims in
Excess of Twenty
1.20(d) 1814 Statutory $140.00 $160.00
disclaimer
1.20(d) 2814 Statutory $70.00 $80.00
disclaimer
1.20(e) 1551 First Stage $980.00 $1,130.00
Maintenance
1.20(e) 2551 First Stage $490.00 $565.00
Maintenance
1.20(f) 1552 Second Stage $2,480.00 $2,850.00
Maintenance
1.20(f) 2552 Second Stage $1,240.00 $1,425.00
Maintenance
1.20(g) 1553 Third Stage $4,110.00 $4,730.00
Maintenance
1.20(g) 2553 Third Stage $2,055.00 $2,365.00
Maintenance
1.20(h) 1554 First Stage $130.00 $150.00
Maintenance
Grace Period
Surcharge
1.20(h) 2554 First Stage $65.00 $75.00
Maintenance
Grace Period
Surcharge
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1433 CNOG 320 |
1.20(h) 1555 Second Stage $130.00 $150.00
Maintenance
Grace Period
Surcharge
1.20(h) 2555 Second Stage $65.00 $75.00
Maintenance
Grace Period
Surcharge
1.20(h) 1556 Third Stage $130.00 $150.00
Maintenance
Grace Period
Surcharge
1.20(h) 2556 Third Stage $65.00 $75.00
Maintenance
Grace Period
Surcharge
The changes to the fee amounts currently indicated in 37 CFR 1.492
are shown in table 5.
Table 5:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
section Code Description enactment) enactment)
1.492(a) 1631 Filing of PCT $330.00 $380.00
National Stage
Application
1.492(a) 2631 Filing of PCT $165.00 $190.00
National Stage
Application
1.492(b)(1) 1640 PCT National Stage $0.00 $0.00
Search-US was ISA
or IPEA and All
Claims Satisfy
PCT Article
1.492(b)(1) 2640 PCT National Stage $0.00 $0.00
Search-USPTO was
ISA or IPEA and All
Claims Satisfy
PCT Article
1.492(b)(2) 1641 PCT National Stage $100.00 $120.00
Search-US was the
ISA
1.492(b)(2) 2641 PCT National Stage $50.00 $60.00
Search-US was the
ISA
1.492(b)(3) 1642 PCT National Stage $430.00 $490.00
Search-Search
Report Prepared and
Provided to USPTO
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1.492(b)(3) 2642 PCT National Stage $215.00 $245.00
Search-Search
Report Prepared and
Provided to USPTO
1.492(b)(4) 1632 PCT National Stage $540.00 $620.00
Search-All Other
Situations
1.492(b)(4) 2632 PCT National Stage $270.00 $310.00
Search-All Other
Situations
1.492(c)(1) 1643 PCT National Stage $0.00 $0.00
Examination-US
was IPEA and All
Claims Satisfy PCT
Article 33(1)-(4)
1.492(c)(1) 2643 National Stage $0.00 $0.00
Examination-US
was IPEA and All
Claims Satisfy PCT
Article 33(1)-(4)
1.492(c)(2) 1633 PCT National Stage $220.00 $250.00
Examination-All
Other Situations
1.492(c)(2) 2633 PCT National Stage $110.00 $125.00
Examination-All
Other Situations
1.492(d) 1614 Independent Claims $220.00 $250.00
in Excess of Three
1.492(d) 2614 Independent Claims $110.00 $125.00
in Excess of Three
1.492(e) 1615 Total Claims in $52.00 $60.00
Excess of Twenty
1.492(e) 2615 Total Claims in $26.00 $30.00
Excess of Twenty
1.492(f) 1616 Multiple Dependent $390.00 $450.00
Claims
1.492(f) 2616 Multiple Dependent $195.00 $225.00
Claims
1.492(j) 1681 PCT National Stage $270.00 $310.00
Application Size
1.492(j) 2681 PCT National Stage $135.00 $155.00
Application Size
The changes to the fee amounts currently indicated in 37 CFR 41.20 are
shown in table 6.
Table 6:
October 1, September 26,
2010 Amount 2011 Amount
CFR Fee (i.e., pre- (i.e., post-
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1433 CNOG 322 |
section Code Description enactment) enactment)
41.20(b)(1) 1401 Notice of Appeal $540.00 $620.00
to Board of Appeals
41.20(b)(1) 2401 Notice of Appeal $270.00 $310.00
to Board of Appeals
41.20(b)(2) 1402 Filing a Brief in $540.00 $620.00
Support of an Appeal
41.20(b)(2) 2402 Filing a Brief in $270.00 $310.00
Support of an Appeal
41.20(b)(3) 1403 Request for an $1,080.00 $1,240.00
Oral Hearing
41.20(b)(3) 2403 Request for an $540.00 $620.00
Oral Hearing
Finally, a fee of $400.00 ($200.00 for small entity) will be required
for any application, except for a reissue, design, plant, or provisional
application, that is filed on or after the USPTO's electronic filing system
(EFS-Web).
For further information concerning patent fees contact James J. Engel at
(571) 272-7725, or Susy Tsang-Foster, at 571-272-7711.
[1371 OG 170]