Wire Payments - Other

  • How do I send a wire payment to the USPTO?

    You may send your wire payment through the Federal Reserve Fedwire System by providing the below wire transfer information to your bank. Your bank may charge a fee, and your sending bank may use an intermediate bank to transfer the funds (and the intermediate bank may withhold their fee from the payment that is transmitted). Please ensure the full amount of the fee required in U.S. dollars is transmitted.

    You must provide the purpose of the wire payment and information that helps identify the transaction (e.g., patent maintenance fee, patent#, application#) in the appropriate field or line to ensure timely processing of your payment. Failure to provide the required information in the correct fields or lines may result in delays or rejection of your wire payment.

    Note: At this time, trademark fees cannot be submitted via a wire payment. (See the Trademark Fee Information page for acceptable methods of payment.)

    Instructions for sending a domestic wire payment to the USPTO:

    Fedwire Field Tag Fedwire Field Name Required Information
    {1510} Type/Subtype 1000
    {2000} Amount (enter payment amount)
    {3400} Receiver ABA Routing Number 021030004
    {3400} Receiver ABA Short Name
    (account is with the Federal Reserve
    Bank of New York)
    TREAS  NYC
    33 Liberty Street
    New York, NY 10045
    {3600} Business Function Code CTR     (or CTP)
    {4200} Beneficiary ID Code D
    {4200} Beneficiary Identifier (account number) 13100001
    {4200} Beneficiary Name USPTO
    2051 Jamieson Avenue, Suite 300
    Alexandria, VA 22314
    {5000} Originator (enter your company name)
    {6000} Originator to Beneficiary Information
    (up to 4 lines of 35 characters each)
    (enter the brief purpose of payment and information that helps identify the transaction (e.g., maintenance fee, patent#, application#), and a phone number)

    Instructions for sending an international wire payment to the USPTO:

    Field Name Required Information
    (Beneficiary) Bank Number (Line 57a) //FW021030004
    (Beneficiary) Bank Name TREAS NYC/FUNDS TRANSFER DIVISION
    Beneficiary Account Number (Line 59) 13100001
    Amount (enter payment amount)

    Payment Details (Line 70)

    (up to 4 lines of 35 characters each)

    13100001 USPTO

    (also enter the brief purpose of payment and information that helps identify the transaction (e.g., maintenance fee, patent#, application#), and a phone number)

    Details of Charges (Line 71a) Charge Our

    Important Notes:

    1. The above information should be transmitted from the remitter's bank to its U.S. Correspondent bank. The U.S. Correspondent bank will use the Fedwire system to complete the transfer.
    2. Bank Number (Line 57a) must be in the exact format above
    3. Beneficiary Account Number (Line 59) must be the USPTO's ALC of 13100001 or the payment will be returned.
    4. Details of Charges (Line 71a) must be coded as "Charge Our" to have any banking fees charged to the remitter and not deducted from the payment.

Fees – General Information - Other

  • Can I get email notifications of fee changes?

    Yes, most of our fee changes are announced via Patents Alerts and/or Trademarks Alerts. Visit the USPTO Subscription Center to sign up.

  • What is meant by "small entity status" or "micro entity status"?

    For patents, if the owner of the invention qualifies as a small entity or micro entity, the filing, issue, and maintenance fees are reduced by 50 percent or 75 percent, respectively.

  • How much does it cost to get a patent?

    Fees vary depending on the type of patent application you submit. Fees may also vary according to the way you "claim" your invention. More information on filing fees and the number and type of claims.

    There are three basic fees for utility patents:

    • The filing fee, which is non-refundable whether or not a patent is granted. (This is the cost to have your invention "examined" by the US Patent and Trademark Office - remember, you may or may not get a patent!)
    • The issue fee (you pay this only if your application is allowed)
    • Maintenance fees (paid at 3 1/2, 7 1/2, and 11 1/2 years after your patent is granted - these fees "maintain" your legal protection).
    • Additional fees may be required.

    You are strongly advised to check the current fee schedule before submitting your application.

  • What is the filing fee to apply for a patent?

    Information is available on the Patent FAQs page.

  • What address should I use to mail applications, payments, or other correspondence that will be delivered by the United States Postal Service or by other delivery services?

    Refer to the Mailing and Hand Carry Addresses for the United States Patent and Trademark Office for more information on where to direct your payment or other correspondence. Special mail stop designations should be used for certain correspondence to allow forwarding of particular types of mail to the appropriate areas as quickly as possible.

  • How do I make a maintenance fee payment for my patent and how do I find the payment amount due?

    For information about patent maintenance fees, visit the Maintain Your Patent page.

  • Are USPTO fees subject to change?

    Yes, fees are subject to change. Information on any upcoming fee adjustment is posted in the Important Notices section of the USPTO Fee Schedule.

  • Do you have to pay maintenance fees on design or plant patents?

    No. Patent maintenance fees are only required for maintaining an original or reissue patent, except for a design or plant patent, based on an application filed on or after December 12, 1980.

  • How can I obtain a printed copy of the USPTO fee schedule?

    The online fee schedule contains a link to a printer friendly version (PDF).

  • Who can I contact if I have questions about applying for a patent or trademark?

    You may call the USPTO Contact Center at 800-786-9199 or 571-272-1000.

    Additional contact information is available on this site at our Contact Us page.

  • What is the filing fee for a trademark?

    Information is available on the Trademark FAQs page.

Fees – General Information - Refunds - Other - Other

  • Are my filing fees refundable if my patent application is not approved?

    No, filing fees are not refundable. The filing fee is not for a patent, but is a statutorily prescribed payment to the USPTO for services rendered in processing a complete application. This statutory fee is due upon filing of the application. For additional information, you may contact the Inventors Assistance Center (IAC).

  • Are my filing fees refundable if my patent application is not approved?

    No, filing fees are not refundable. The filing fee is not for a patent, but is a statutorily prescribed payment to the USPTO for services rendered in processing a complete application. This statutory fee is due upon filing of the application. For additional information, you may contact the Inventors Assistance Center (IAC).

Payments - Other

  • How can I view payment history information or search for transactions processed by the USPTO?

    Financial Manager provides access to transaction history information for all transactions completed at the USPTO. In Financial Manager, you can:

    1. Store and manage electronic payment methods online (i.e. credit/debit cards, deposit accounts, and EFTs);
    2. Add users and assign user permissions to your stored payment methods;
    3. View, download, and print monthly statements for each stored payment method; and
    4. View, download, and print customized transaction reports.
  • How do I use a credit or debit card to make a payment?

    Most fees can be paid with a credit or debit card using Online Services at uspto.gov. For credit or debit card payments submitted outside of uspto.gov (i.e., fax, mail, or hand-delivery), use the Credit Card Payment Form (PTO-2038). If the credit or debit card number appears on any form or document other than the PTO-2038, the USPTO will not be liable in the event the credit or debit card number becomes public knowledge. (See 37 CFR 1.23(b).)

  • What is the maximum daily limit for credit card and debit card payments?

    As of June 1, 2015, there is a $24,999.99 daily limit per credit card account. There is no daily limit for debit cards.

    All credit card and debit card payments are processed through the Department of the Treasury's Pay.gov system. The daily limit for credit cards is automatically enforced through the Pay.gov system. If cardholders exceed the daily limit, a message indicates that the maximum daily limit has been reached and the payment will be rejected.

    Related FAQs:

    • How do I make an EFT payment via uspto.gov?
    • How do I send a wire payment to the USPTO?
  • What is a Deposit Account?

    For the convenience of attorneys, agents and the general public in paying fees for products and services, pre-paid deposit accounts may be established with the USPTO. This eliminates the need to submit a check, credit card, or other payment type each time a fee is required. Further, in an instance of miscalculation of a fee due, the balance required may be charged to the account with authorization, thus preserving the filing date of the application.

  • Can I split my large-dollar transactions into more than one credit card payment?

    Fee Payers are prohibited from splitting the total amount due into multiple credit card payments. Splitting an amount owed into several payment transactions violates the credit card network and the Department of the Treasury rules. An amount owed in excess of the daily spending limit may not be split into two or more payment transactions in the same day by using one or multiple credit cards. Additionally, an amount owed that exceeds the daily spending limit may not be split into two or more transactions over multiple days by using one or more credit cards.

    Existing alternatives for submitting large dollar payments are debit card, deposit account, electronic funds transfer (EFT) on uspto.gov, and wire transfer.

  • Who should I make a check, cashier's check, or money order payable to?

    All checks, cashier's checks, or money orders must be made payable to "Director of the U.S. Patent and Trademark Office". (See 37 CFR 1.23(a).)

  • Are there any benefits if I make a payment electronically on uspto.gov?

    Yes, the benefits of paying fees electronically via uspto.gov are: eliminates the hassle of writing checks; saves on postage and mailing expenses; avoids late payments; and reduces delays in processing the payments.

  • Why can’t I use my credit or debit card to replenish my deposit account?

    Due to the Department of the Treasury rules, cards are only available for fee payments. Replenishments are not considered fee payments as there has not been an exchange of goods or services.

  • How do I make an EFT payment via uspto.gov?

    To submit EFT payments at the USPTO, you'll need to first set up your EFT in Financial Manager. Once you've set up the EFT in Financial Manager, you can add other user from your organization and grant them permission to access and/or manage the EFT. Each user with Fee Payer permission for the EFT will need to create their own, unique EFT profile name and password in Financial Manager in order to use the EFT for payment.

    New EFTs are subject to an eight day verification process. Once the EFT has been verified, you will receive an e-mail from the USPTO indicating that your EFT has been activated and may be used to pay fees online.

    Please verify with your financial institution that EFT payments can be processed through your checking or savings account before creating an EFT. If you have an ACH/EFT block or filter on your account, your account must be set up properly and you must provide your financial institution with the USPTO's ACH company ID number before submitting EFT payments online. The USPTO's ACH company ID number is 1310000101 .

  • How do I replenish my Deposit Account to ensure that the required minimum balance is maintained?

    You may make replenishments to your deposit account as often as you like using one of four replenishment payment options offered by the USPTO. Visit the Deposit Account Replenishment Options page for more information.

  • Can I use my card to initiate a general authorization to charge any deficiency in the payment of required fee(s)?

    No. You must specify the amount to be charged to your credit or debit card for each payment transaction. The USPTO will not accept a general authorization to charge fees to a credit or debit card; this option is available for deposit accounts only.

  • Will the patent/application/registration/order number appear on my bank account statement or credit card statement?

    For EFT and debit card transactions, the USPTO transmits the patent/application/registration/order number to your financial institution. Please contact your financial institution for more details. For credit card transactions, you must have a corporate or purchase credit card for the patent/application/registration/order number to appear on your monthly statement.

    Please contact your credit card company for details.

  • Can I make a payment electronically on uspto.gov?

    Yes. Currently, you may pay patent maintenance fees, most patent and trademark fees, and fees for ordering copies of documents electronically via uspto.gov. Online payment methods available on uspto.gov include credit or debit card, deposit account, or electronic funds transfer (EFT). Visit the Fees and Payment page to access resources for filing and paying online and for payment information.

  • Which credit and debit cards are accepted by the USPTO?

    The USPTO accepts American Express®, Discover®, MasterCard®, and Visa® credit cards and MasterCard® and Visa® branded debit cards.

  • If I use a credit/debit card to pay multiple fees at once, will they all appear on one entry on my credit/debit card statement?

    When you pay multiple fees at once, the transaction will appear as one entry on your credit/debit card statement. Your itemized receipt will include details about fees paid, patent/application number, and attorney docket number. You can also retrieve transaction details in Financial Manager.

Refunds - Other

  • How will my refund payment be issued?

    Refunds will generally be issued in the same form in which the original payment was made.

  • How can I file a request for a refund if I made a payment by mistake or paid too much?

    Requests for refunds must be made by the original fee submitter, and should include the correct application or patent number, an explanation of why a refund is due, and supporting documentation.  Please note that a change of purpose after the payment of a fee (e.g., when you wish to withdraw a filing for which the fee was paid) is not a "fee paid by mistake" and will not entitle you to a refund of such fee.

    Requests for refunds should be faxed to 571-273-6500 (Attn:  Refund Branch) or mailed to:

    Mail Stop 16
    Director of the USPTO
    P.O. Box 1450
    Alexandria , VA 22313-1450

  • Must I file a request for a refund within a certain period of time?

    Generally, any request for refund must be filed within two years from the date the fee was paid.  Refunds based on later establishment of small entity status must be filed within three months of the date of the timely payment of the full fee.

  • How long will it take to receive my refund?

    Generally, the USPTO will process the refund in about four to six weeks.

Invoices & Vendor Information - Other

  • How will I receive payment for an invoice?

    The USPTO is in full compliance with the Debt Collection Improvement Act of 1996, and accordingly is required to pay all vendors by Electronic Funds Transfer (EFT). However, if you qualify for a waiver pursuant to 31 CFR Part 208.4, you can be paid by check.

  • What is the USPTO's Taxpayer Identification Number (TIN)?

    The USPTO's Taxpayer Identification Number (TIN) is 53-0197085.

  • How do I send an invoice to the USPTO?

    Invoices should be submitted:

    • By mail to:

      U. S. Patent and Trademark Office
      Mail Stop 17
      P.O. Box 1450
      Alexandria, VA 22313-1450
    • By fax to: 571 273-6400
  • What is the USPTO's Dun & Bradstreet (D&B) D-U-N-S® Number?

    The USPTO's D-U-N-S® Number is 07-092-1085.

  • Whom should I contact regarding any invoice-related questions?

    Please contact the Financial Accounting Division at 571-272-6400.

  • What information is required on an invoice?

    The following correct information constitutes a proper invoice and is required as payment documentation:

    1. Name of vendor and invoice date (vendors are encouraged to date invoices as close as possible to the date of mailing or transmission).
    2. Purchase order number; assignment of an invoice number by the vendor is recommended.
    3. Description, price, and quantity of property and services actually delivered or rendered.
    4. Shipping and payment terms.
    5. Other substantiating documentation or information as required by the contract.
    6. Name (where practicable), title, telephone number, and complete mailing address.
  • When will I receive payment for an invoice?

    In accordance with the Prompt Payment Act, the Office of Finance is committed to the timely payment of vendor invoices. Payment will be issued to the vendor by day 30 of the receipt date in the Office of Finance, or acceptance date, whichever is the later date.

Consolidated Appropriations Act, 2005 - Other

  • What fees are required for international applications entering the national stage under 35 U.S.C. 371 for which the basic national fee was not paid before the effective date of the Consolidated Appropriations Act?

    The following fees are required:

    a. The basic national fee;
    b. The search fee;
    c. The examination fee;
    d. The application size fee for applications whose specification and drawings together exceed 100 pages (excluding any sequence listing or computer program listing submitted in an electronic medium in compliance with § 1.52(e), e.g., compact discs);
    e. The excess claims fee if the application includes more than 3 independent claims, more than 20 total claims, and/or a multiple dependent claim;
    f. The late filing surcharge, if an executed oath or declaration, the search fee, or the examination fee is filed later than the date of the commencement of the national stage pursuant to § 1.495(c); and
    g. The processing fee (§ 1.492(i), formerly § 1.492(f)), for filing an English translation of an international application or of any annexes to an international preliminary examination report later than thirty months after the priority date
    (§§ 1.495(c) and (e)).

  • If applicant filed a utility nonprovisional application under 35 U.S.C. 111(a) prior to December 8, 2004, the effective date of the Consolidated Appropriation Act (CAA), but did not pay the basic filing fee before December 8, 2004, can the applicant pay the revised basic filing fee as set forth in CAA?

    No, the basic filing fee, $790.00 ($395.00 for a small entity), applies to utility nonprovisional applications filed under 35 U.S.C. 111(a) before December 8, 2004. Applicant, however, is not required to pay the search fee, examination fee, and the application size fee.

  • If on December 7, 2004 an application with 6 independent claims and 40 total claims was filed, but only the basic filing fee was paid, what fees are due for the additional claims? Assume the application has 400 pages of specification and drawings and that the applicant did not establish entitlement to the small entity discount.

    The revised (higher) excess claims fee amounts apply to any excess claims for which the excess claims fee is paid on or after the date of enactment. Since no excess claim fees were previously paid, the following fees would be due:

    a. Independent claim fee for three extra independent claims: $600.00
    b. Excess claims fee for 20 additional claims: $1000.00

    Total fee due: $1600.00.
    Applicant would not be required to pay the following fees: search fee, examination fee, and application size fee, even though the specification and drawings exceed 100 pages in this application, because the application was filed before the enactment date.

  • If applicant filed application papers that used such a small font size that the writing is not legible (or single-spaced pages which is not permitted under 37 CFR 1.52(b)(2)(i) or papers with improper margins), and the Office requires a substitute specification (including a new claim listing), will the pages of the substitute specification (and claim listing) be counted for the purpose of determining the amount of application size fee due?

    Yes, if the originally-filed application papers did not comply with 37 CFR 1.52, especially the legibility requirement of 37 CFR 1.52(a)(1)(iv), any papers filed to comply with 37 CFR 1.52(a)(1) will be counted for the purpose of determining the application size fee due, in place of the originally-filed specification and drawings. Applicants are encouraged to submit applications with the appropriate margins, and 12-point font to ensure legibility.

  • What types of applications require the application size fee?

    The application size fee applies to the following applications that include a specification and drawings that together exceed 100 pages (excluding any sequence listing or computer program listing submitted either: (1) in an electronic medium in compliance with § 1.52(e), e.g., compact discs, or (2) via the Office's electronic filing system (EFS) in ASCII text as part of an associated file of the application (see § 1.52(f))):

    (1) Nonprovisional applications filed under 35 U.S.C. 111(a) (including utility, plant, design, and reissue applications) on or after December 8, 2004, the effective date of the Consolidated Appropriations Act;

    (2) Provisional applications filed under 35 U.S.C. 111(b) on or after December 8, 2004; and

    (3) International applications entering the national stage under 35 U.S.C. 371 for which the basic national fee specified in 35 U.S.C. 41 was not paid before December 8, 2004.

  • If applicant files a reissue application on or after December 8, 2004, what basic filing fee, search fee, and examination fee are due?

    For any reissue application filed on or after December 8, 2004, the basic filing fee is $300.00 ($150.00 for a small entity), the search fee is $500.00 ($250.00 for a small entity), and the examination fee is $600.00 ($300.00 for a small entity), regardless of whether it is a utility, design, or plant reissue application).

  • The third maintenance fee and appropriate surcharge to accept that payment during the grace period are paid at 9:00 AM on December 8, 2004 using the Office's Internet Web-based payment system; the President subsequently signed the Consolidated Appropriations Act, 2005 (H.R. 4818) on December 8, 2004, making December 8, 2004 the date of enactment of the new maintenance fees; no additional maintenance fee was paid for the relevant patent on December 8, 2004; and the grace period to pay the maintenance fee expired at midnight on December 8, 2004. Has the patent expired? (Note: the Office's automated system only required/permitted payment of the fees in effect before the enactment).

    Yes, the patent expired for the failure to pay the entire maintenance fee due within the grace period. Since the third maintenance fee was paid on the same day that the third maintenance fee was increased and the revised statutory fee is effective for the entire day, the revised (higher) fee must be paid by midnight that day (December 8, 2004) rather than the lower amount that was paid.

  • Applicant filed a reissue application before December 8, 2004, with the same number of claims as in the patent. The patent has more than three independent claims and more than twenty total claims. If applicant added one more independent claim in the reissue application by filing an amendment before December 8, 2004, but did not pay for the excess claims fees, how much excess claims fees are required?

    The excess claims fees as set forth in Consolidated Appropriations Act apply to claims that are not paid for prior to December 8, 2004. Since applicant did not pay for the additional independent claim under the former 35 U.S.C. 41 in the reissue application, the excess claims fees, $250.00 ($200.00 plus $50.00) for the additional independent claim are due if the applicant is a non-small entity.

  • If an application includes tables on a compact disc, would the Office count the tables in the calculation of the amount of application size fee due?

    Yes, for the purposes of determining the application size fee, the Office will count each three (3) kilobytes of content submitted on a compact disc as one sheet of paper. See § 1.52(f)(1).

  • In an international application entering the national stage under 35 U.S.C. 371 for which the basic national fee was not paid before December 8, 2004, the effective date of the Consolidated Appropriations Act, would the search fee (35 U.S.C. 41(d)(1)), the examination fee (35 U.S.C. 41(a)(3)), and the application size fee (35 U.S.C. 41(a)(1)(G)) under the Consolidated Appropriations Act be required?

    Yes, the effective date provisions of the Consolidated Appropriations Act provide that 35 U.S.C. 41(a)(1)(G), 41(a)(3), and 41(d)(1) apply to international applications entering the national stage under 35 U.S.C. 371 for which the basic national fee specified in 35 U.S.C. 41 was not paid before the effective date of the Consolidated Appropriations Act.

  • 35 U.S.C. 41(h)(3) (relating to small entity fees) as set forth in the Consolidated Appropriation Act (CAA) provides that the basic filing fee for a utility nonprovisional application is reduced by seventy-five percent if the application is filed by electronic means as prescribed by the Director. What electronic means is permitted for filing an application for the purpose of getting the 75% reduction in the basic filing fee?

    The 75 % reduction applies only to the basic filing fee of an original utility nonprovisional application filed under 35 U.S.C. 111(a) on or after December 8, 2004, in compliance with the Office electronic filing system(EFS) by an applicant who has properly asserted entitlement to small entity status under 37 CFR 1.27(c).

  • Do the excess claims fees set forth in CAA apply to the claims presented on or after December 8, 2004 in a reexamination proceeding?

    Yes, the revised excess claims fees apply to claims presented on or after December 8, 2004 during a reexamination proceeding. The excess claims fees apply to all patents, whenever granted, for each independent claim in excess of three and also in excess of the number of independent claims in the patent, or for each claim (whether independent or dependent) in excess of twenty and also in excess of the number of claims in the patent that is presented in a reexamination proceeding on or after December 8, 2004. Note: No excess claims fee was due for any claim presented during a reexamination proceeding before December 8, 2004.

  • If applicant submitted 4 independent claims and 30 total claims prior to December 8, 2004, but did not pay for the excess claims fees until on or after December 8, 2004, would the revised excess claims fees set forth in CAA apply?

    Yes, the revised excess claims fees apply to any excess claims fee payments paid on or after December 8, 2004. The revised excess claims fees apply to those claims that, after taking into account the claims that have been canceled, are in excess of the number of claims for which the excess claims fee was previously paid for.

  • Does the application size fee apply to a reexamination proceeding?

    No.

  • Applicant filed an earlier application under 35 USC 111(a) without paying any filing fees. Applicant subsequently wants to abandon the earlier-filed application and file another application claiming the benefit of the earlier-filed application under 35 USC 120 and 37 CFR 1.78(a). Can applicant just pay the processing and retention fee in the earlier-filed application within the time period set forth in a notice requiring the filing fees?

    No, applicant can no longer just pay the processing and retention fee to permit the benefit of the earlier-filed application to be claimed in a later-filed application. Applicant must pay the basic filing fee during the pendency of the earlier-filed application. Effective July 1, 2005, the processing and retention fee practice has been eliminated. See Changes to the Practice for Handling Patent Applications Filed Without the Appropriate Fees, 70 Fed. Reg. 30360, May 26, 2005 (final rule). This change applies to applications filed under 35 USC 111(a) in which the processing and retention fee was not paid before July 1, 2005.

  • Applicant filed a reissue application on or after December 8, 2004, with same number of claims as in the patent. If the patent has more than three independent claims and more than twenty total claims, would any excess claims fees be required?

    Yes, excess claims fees for each independent claim in excess of three and for each claim (whether independent or dependent) in excess of twenty are required. For example, in a reissue application filed on or after December 8, 2004 that contains four independent claims and twenty one total claims, excess claims fees for the fourth independent claim ($200.00) and the twenty-first claim ($50.00) are required if the applicant is a non-small entity. Under 35 U.S.C. 41(a)(2) as amended by the Consolidated Appropriations Act, the claims in the original patent are not taken into account in determining the excess claims fee for a reissue application.

  • If applicant submits paper copies of a sequence listing, will the Office count the sequence listing in the calculation of the application size fee?

    Yes, the sequence listing submitted on paper will be counted with the specification and drawings of the application. The Office will not count any sequence listing or computer program listing filed in compliance with 37 CFR 1.52(e) on a compact disc in the calculation of the application size fee.

  • What is the application size fee (35 U.S.C. 41(a)(1)(G))?

    The application size fee is a fee for filing any application whose specification and drawings together exceed 100 sheets of paper (excluding any sequence listing or computer program listing filed either: (1) in an electronic medium in compliance with
    § 1.52(e), e.g., compact discs, or (2) via the Office's electronic filing system (EFS) in ASCII text as part of an associated file of the application (see § 1.52(f))). See 35 U.S.C. 41(a)(1)(G).

  • If a nonprovisional application was filed under 35 U.S.C. 111(a) before December 8, 2004, the effective date of the Consolidated Appropriations Act, but the basic filing fee is being paid after the effective date, would the search fee (35 U.S.C. 41(d)(1)), the examination fee (35 U.S.C. 41(a)(3)), and the application size fee (35 U.S.C. 41(a)(1)(G)) be required?

    No, the effective date provisions of the Consolidated Appropriations Act provide that 35 U.S.C. 41(a)(1)(G), 41(a)(3), and 41(d)(1) apply to applications filed under 35 U.S.C. 111(a) only if the application is filed on or after the effective date of the Consolidated Appropriations Act.

  • An Office action was mailed on June 8, 2004 that set forth a three-month shortened statutory time period extendable under 37 CFR 1.136(a). If applicant files a reply to the Office action on December 8, 2004, how much is the extension of time fee that would be due?

    $1,020.00 ($510.00 for a small entity) because applicant would need to petition for a three-month extension of time. The revised extension of time fees apply because the payment is made on or after December 8, 2004, the effective date of CAA.

  • If applicant filed several multiple dependent claims, what multiple dependent claim fees are due?

    The fee for an application that contains at least one multiple dependent claim is $360.00 ($180.00 for a small entity) if applicant pays the multiple dependent claim fee on or after December 8, 2004. The Consolidated Appropriations Act did not change the way the multiple dependent claim fee applies. The multiple dependent claim fee is still due only once in an application at the time of the presentation of the first multiple dependent claim. A multiple dependent claim is a dependent claim that refers back in the alternative to more than one preceding independent or dependent claim. For fee calculation purposes, a multiple dependent claim will be considered to be that number of claims to which direct reference is made therein and any claim depending from a multiple dependent claim will be considered to be that number of claims to which direct reference is made in that multiple dependent claim. See MPEP 608.01(n) and 37 CFR 1.75(c). To assist in the computation of the fees for multiple dependent claims, applicant may use Form PTO-1360 or PTO/SB/07.

  • Would sheets of paper making up the English translation of a non-English language specification be counted for the purpose of determining the amount of application size fee due?

    No, the Office will not count the sheets of paper making up any English translation of a non-English language specification.

  • What fees are required for filing a provisional application under 35 U.S.C. 111(b) filed on or after December 8, 2004, the effective date of the Consolidated Appropriations Act?

    The following fees are required:

    a. The provisional basic filing fee;
    b. The application size fee for any application whose specification and drawings exceed 100 sheets of paper (excluding any sequence listing or computer program listing submitted either: (1) in an electronic medium in compliance with § 1.52(e), e.g., compact discs, or (2) via the Office's electronic filing system (EFS) in ASCII text as part of an associated file of the application (see § 1.52(f))); and
    c. The late filing surcharge if the basic filing fee or cover sheet (§1.51(c)(1)) is filed later than the filing date of the provisional application.

  • A patent includes 6 independent claims and 30 total claims. If applicant filed a reissue application prior to December 8, 2004 with 3 independent claims and 20 total claims, and then the applicant subsequently presented 7 independent claims and 31 total claims on or after December 8, 2004, how much excess claims fees are due?

    The excess claims fees for the four independent claims in excess of three (e.g., 4 x $200.00 = $800.00) and the eleven claims in excess of twenty (e.g., 11 x $50.00 = $550.00) are due. Note: prior to CAA, the excess claims fees only apply to the 7th independent claim and the 31st claim.

  • If applicant electronically files an application under 35 U.S.C. 111(a) in compliance with the Office's electronic filing system (EFS) requirements, how would the Office count the pages of the specification and drawings for the purpose of determining the amount of application size fee due?

    The paper size equivalent of the specification and drawings of an application submitted via EFS will be considered to be seventy-five percent (75%) of the number of sheets of paper present in the specification and drawings of the application when entered into the Office file wrapper after being rendered by the Office electronic filing system for purposes of determining the application size fee. Applicant may check private PAIR system for the number of sheets of paper.

  • When is the application size fee due?

    If the application includes a specification and drawings that together exceed 100 pages, the application size fee is due upon filing of the application. If the required application size fee is not paid on filing, the Office will issue a notice for the fee deficiency. The applicant must pay the required fee prior to the expiration of the time period for reply set forth in the notice to avoid the abandonment of the application.

  • If applicant files a request for continued examination under 37 CFR 1.114 on or after December 8, 2004, would the revised basic filing fee, the search fee, and the examination fee be required?

    No, the fee for filing a request for continued examination (RCE) under 37 CFR 1.114 remains the same at $790.00 ($395.00 for a small entity) as set forth in 37 CFR 1.17(e). No search and examination fees are required when applicant files an RCE because an RCE is not a filing of a new application. The revised basic filing fee (e.g., $300 for a utility application) does not apply to an RCE. Also, note that the fee for an RCE must be paid at the time of filing the RCE.

  • How much is the extension of time fee that would be required for extending five months beyond the two-month time period for reply set forth in a preexamination notice if the payment is made on or after December 8, 2004?

    35 U.S.C. 41(a)(8) as revised by the CAA provides that the fees for petitions for extensions of time to take actions required by the Director in an application are as follows: on filing a first petition, $ 120; on filing a second petition, $330; on filing a third or subsequent petition, $570. Therefore, $2,160.00 ($120 + $330 + $570 + $570+ $570 = $2,160.00) is due for extending five months beyond the set time period ($1,080.00 for a small entity).

  • If applicant filed a provisional application with claims in excess of twenty and did not pay the excess claims fees, can a later-filed nonprovisional application claim the benefit of the provisional application?

    Yes, a nonprovisional application (other than for a design patent) may claim the benefit of the prior filed provisional application in compliance with 37 CFR 1.78(a) (e.g., the prior-filed provisional application must be entitled to a filing date as set forth in 37 CFR 1.53(c), and the basic filing fee must be paid within the time period set forth in 37 CFR 1.53(g)).

  • For the purpose of determining the amount of application size fee due, would the Office count the sheets of paper making up a preliminary amendment present on the filing date that only cancels claims?

    Yes, the Office will count the pages of any preliminary amendment present on the filing date of the application even if the amendment only cancels claims. For example, if the preliminary amendment includes a transmittal letter that is on one sheet of paper and a complete claim listing that is on ten sheets of paper, the Office will count the ten sheets of paper when determining the amount of application size fee due in addition to the pages of the original claim listing.

  • What is the basic filing fee for a provisional application filed before December 8, 2004, the effective date of the Consolidated Appropriations Act, if the applicant is paying the provisional basic filing fee on or after December 8, 2004?

    The revised provisional basic filing fee, $200.00 ($100.00 for a small entity), applies to provisional applications filed before December 8, 2004 if the provisional basic filing fee is paid on or after December 8, 2004. The application size fee, however, is not required in a provisional application filed before December 8, 2004.

  • If an application filed under 35 USC 111(a) does not include the basic filing fee, search fee or examination fee on filing, would the applicant be given an opportunity to pay later? Would a surcharge be required?

    Yes, the Office will continue the practice under 37 CFR 1.53(f). Applicant will be notified and given a period of time within which to pay the basic filing fee, search fee, and the examination fee. Effective July 1, 2005, the surcharge set forth in 37 CFR 1.16(f) is also required if the search fee or examination fee is missing upon filing of an application under 35 USC 111(a) filed on or after July 1, 2005. See Changes to the Practice for Handling Patent Application Filed Without the Appropriate Fees, 70 Fed. Reg. 30360, May 26, 2005 (final rule). Therefore, for applications under 35 USC 111(a) filed before July 1, 2005, the surcharge is required to be paid within the time period set forth in the notice if the basic filing fee or an executed oath or declaration is missing upon filing. For applications under 35 USC 111(a) filed on or after July 1, 2005, the surcharge is required if one of the following items is missing upon filing: the basic filing fee or an executed oath or declaration, the search fee, or the examination fee.

  • A patent includes 6 independent claims and 30 total claims. Applicant filed 7 independent claims and 31 total claims before December 8, 2004 in a reissue application of the patent, and paid the required excess claims fee for the 7th independent claim and the 31st claim.

    (1) If applicant cancels 10 claims, 2 of which are independent, and adds 10 ten claims, 2 of which are independent, on or after December 8, 2004, how much excess claims fees are due?

    No excess claims fee is due because after taking into account the claims that have been canceled, there is no claim in excess of the number of claims (independent or total) previously paid for.

    (2) If applicant cancels 10 claims, 2 of which are independent, and adds 10 claims, 3 of which are independent, on or after December 8, 2004, how much excess claims fees are due?

    The excess claims fee for the 8th independent claim ($200.00) is due.

    (3) If applicant cancels 10 claims, 2 of which are independent, and adds 11 claims, 2 of which are independent, on or after December 8, 2004, how much excess claims fees are due?

    The excess claims fee for the 32nd claim ($50.00) is due.

    (4) If applicant cancels 10 claims, 2 of which are independent, and adds 11 claims, 3 of which are independent, on or after December 8, 2004, how much excess claims fees are due?

    The excess claims fees for the 8th independent claim ($200.00) and the 32nd claim ($50.00) are due.

  • 35 U.S.C. 41(a)(1)(G) as set forth in the Consolidated Appropriation Act provides that any sequence listing or computer program listing filed in an electronic medium as prescribed by the Director will be excluded when determining the amount of application size fee due. What electronic medium is permitted under the exception?

    For the purpose of determining the application size fee, the Office will not count any sequence listing or computer program listing filed: (1) on a compact disc in compliance with 37 CFR 1.52(e), or (2) via the Office electronic filing system (EFS) if the listing is submitted in American Standard Code for Information Interchange (ASCII) text as part of an associated file of the application (see § 1.52(f)). Note: any sequence listing must be filed in compliance with 1.821(c) or (e) and any computer program listing must be filed in compliance with 1.96.

  • Is the surcharge set forth in 37 CFR 1.16(f) or (g) (formerly 37 CFR 1.16(e) and (l), respectively) required if the application size fee is not paid upon filing of the application?

    No, the surcharge set forth in 37 CFR 1.16(f) or (g) does not apply to the application size fee.

  • If applicant files a continued prosecution application (CPA) under 37 CFR 1.53(d) on or after December 8, 2004 in an original design application, would the revised basic filing fee, the search fee, and the examination fee be required?

    Yes, a CPA under 37 CFR 1.53(d) is a new application. A CPA can only be filed in a design application. The basic filing fee is $200 ($100 for a small entity), the search fee is $100.00 ($50.00 for a small entity), and the examination fee is $130.00 ($65.00 for a small entity) for a CPA filed in an original design application.

  • If an applicant filed a utility patent application under 35 USC 111(a) including 25 total claims and 4 independent claims accompanied by a check for $968.00 (the amount due for such an application if filed on October 1, 2004) on December 8, 2004, the effective date of the Consolidated Appropriations Act, 2005 (H.R. 4818), what fees will be due, and will any surcharge be due? The application included only 70 pages of specification and drawings and the applicant did not establish entitlement to small entity status.

    The applicant will owe the following fees on filing:

    1. Basic filing fee: $300.00
    2. Search fee: $500.00
    3. Examination fee: $200.00
    4. Independent claim fee for one extra independent claim: $200.00
    5. Excess claims fees for five additional claims: $250.00

    Total fees due: $1450.00.
    No surcharge would be due since the application was filed on December 8, 2004 and the Office would attribute $300.00 of the $968.00 paid to the filing fee. (Note that effective July 1, 2005, if the search or examination fee (or the basic filing fee or an executed oath or declaration) is missing upon filing, the surcharge would be required.) The Office would mail a notice requiring payment of the balance of $482.00 and any surcharge required. The notice would set a time period for reply, which would be extendable under the current Office practice.

  • If applicant filed an application with numerous excess claims but failed to pay the excess claim fee(s) prior to December 8, 2004, what actions can the applicant take in place of paying the excess claim fee(s) for all the excess claims?

    The applicant can either: (1) abandon the application in favor of a continuing application, assuming the prior-filed application meets the conditions of 37 CFR 1.78(a)(1) (see MPEP 201.11 for more information on continuing applications); or (2) file a preliminary amendment that is compliant with 37 CFR 1.115 and 1.121 which cancels all or some of the excess claims and pay any excess claim fee(s) that might be due after taking into account the claims that have been canceled by the preliminary amendment.

  • If the specification and drawings include blank pages to separate sections, will the Office count these blank pages when determining the amount of application size fee due?

    Yes, the Office will use an automatic page counter and will not take out any blank pages that are placed between the pages of the specification and drawings.