United States Patent and Trademark Office OG Notices: 28 August 2007
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
37 CFR Parts 1 and 41
[Docket No. PTO-C-2006-0015]
RIN 0651-AB81
Revision of Patent Fees for Fiscal Year 2007
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Final rule.
SUMMARY: The United States Patent and Trademark Office (USPTO) (referred
to as "Office" in this notice) is adjusting certain patent fee amounts to
reflect fluctuations in the Consumer Price Index (CPI). Also, the Office is
adjusting, by a corresponding amount, a few patent fee rates that track the
affected fee amounts. The Director is authorized to adjust these fee
amounts annually by the CPI to recover the higher costs associated with
doing business.
The USPTO is adjusting the patent fee amounts under the Consolidated
Appropriations Act, 2005 (Consolidated Appropriations Act), which
revised certain patent fee rates, and provided for a search fee and
examination fee separate from the filing fee, during fiscal years 2005
and 2006; and continued in fiscal year 2007 under the revised
Continuing Appropriations Resolution, 2007 (Continuing Appropriations
Resolution). Legislation has been introduced that would extend the fee
rate revisions in the Consolidated Appropriations Act.
In the event legislation is not enacted to continue the patent fee
amounts under the Consolidated Appropriations Act, the USPTO is also
adjusting patent statutory fee rates that were in application prior to
implementation of the Consolidated Appropriations Act. The prior fee
rates, adjusted for CPI, will be effective for fiscal year 2008.
DATE: Effective September 30, 2007.
FOR FURTHER INFORMATION CONTACT: Dianne Woods by e-mail at
Dianne.Woods@uspto.gov, by telephone at (571) 272-6301, or by fax at
(571) 273-0127.
SUPPLEMENTARY INFORMATION: This final rule adjusts certain USPTO patent fee
amounts in accordance with the applicable provisions of title 35, United
States Code, as amended by the Consolidated Appropriations Act (Public Law
108-447). This final rule also adjusts, by a corresponding amount, a few
patent fee rates (37 CFR 1.17(e), (r) and (s) that track statutory fee
amounts (37 CFR 1.16(a)).
The USPTO is adjusting the patent fee amounts established under the
Consolidated Appropriations Act, and extended under the revised
Continuing Appropriations Resolution. Legislation has been introduced
in the Congress that would extend the fee amount revisions in the
Consolidated Appropriations Act, and the revised Continuing
Appropriations Resolution. If the legislation is enacted, Option 1 of
this final rule notice will apply. If this legislation is not enacted,
Option 2 of this final rule will apply and the fee rate adjustments
will apply to the former fee amounts in place on October 1, 2004, to
December 7, 2004 (prior to the enactment of the Consolidated
Appropriations Act).
A proposed rule notice was published at 71 FR 32285 on June 5, 2006,
which requested comments by July 5, 2006. No comments were received. An
incorrect reference to National stage fees was corrected. The USPTO
delayed implementation of the CPI fee rates adjustment from October 1,
2006, to September 30, 2007. During this time, the Administration's
projected CPI-U for the twelve-month period prior to enactment of the
fee rates adjustment decreased from 3.5 percent to 2.8 percent. Based
on the revised projected CPI-U, patent statutory fee amounts will be
adjusted by 2.8 percent in this final rule.
Customers may wish to refer to the USPTO's official web site at
www.uspto.gov for the most current fee amounts.
BACKGROUND:
Statutory Provisions
Patent fee amounts are authorized by 35 U.S.C. 41, 119, 120, 132(b) and
376. For fees paid under 35 U.S.C. 41(a) and (b) and 132(b),
independent inventors, small business concerns, and nonprofit
organizations who meet the requirements of 35 U.S.C. 41(h)(1) are
entitled to a fifty-percent reduction.
Section 41(f) of title 35, United States Code, provides that fee
amounts established under 35 U.S.C. 41(a) and (b) may be adjusted on
October 1, 1992, and every year thereafter, to reflect fluctuations in
the CPI over the previous twelve months.
Section 41(d) of title 35, United States Code, authorizes the Director
to establish fee amounts for all other processing, services, or
materials related to patents to recover the average cost of providing
these services or materials, except for the fees for recording a
document affecting title, for each photocopy, for each black and white
copy of a patent, and for standard library service.
Section 41(g) of title 35, United States Code, provides that new fee
amounts established by the Director under section 41 may take effect
thirty days after notice in the Federal Register and the
Official Gazette of the United States Patent and Trademark
Office.
Fee Adjustment Level
The patent statutory fee amounts established by 35 U.S.C. 41(a) and (b)
will be adjusted on September 30, 2007, to reflect fluctuations
occurring during the twelve-month period from October 1, 2006, through
September 30, 2007, in the Consumer Price Index for All Urban Consumers
(CPI-U). The Office of Management and Budget has advised that in
calculating these fluctuations, the USPTO should use CPI-U data as
determined by the Secretary of Labor. In accordance with previous
fee-setting methodology, the Office bases this fee rate adjustment on
the Administration's projected CPI-U for the twelve-month period ending
September 30, 2007, which is 2.8 percent. Based on this projected
CPI-U, patent statutory fee amounts will be adjusted by 2.8 percent.
Certain patent processing fee rates established under 35 U.S.C. 41(d),
119, 120, 132(b), 376, and Public Law 103-465 (the Uruguay Round
Agreements Act) will be adjusted to reflect fluctuations in the CPI.
The fee amounts were rounded by applying standard arithmetic rules so
that the amounts rounded will be convenient to the user. Fee rates for
other than a small entity of $100 or more were rounded to the nearest
$10. Fee rates of less than $100 were rounded to an even number so that
any comparable small entity fee amount will be a whole number.
Discussion of Specific Rules
Legislation has been introduced in the Congress that would extend the
fee revisions in the Consolidated Appropriations Act, and the revised
Continuing Appropriations Resolution. If the legislation is enacted,
Option 1 of this final rule will apply. To ensure clarity in the
implementation of the proposed new fee amounts, a discussion of
specific options is set forth below.
Option 1
37 CFR 1.16 National application filing, search, and examination fees.
Section 1.16, paragraphs (a) through (e), and (h) through (s), are
revised to adjust fee rates established therein to reflect fluctuations
in the CPI.
37 CFR 1.17 Patent application and reexamination processing fees.
Section 1.17, paragraphs (a)(2) through (a)(5), (e), (l), (m), and (r)
through (t), are revised to adjust fee rates established therein to
reflect fluctuations in the CPI.
37 CFR 1.18 Patent post allowance (including issue) fees.
Section 1.18, paragraphs (a) through (c), are revised to adjust fee
rates established therein to reflect fluctuations in the CPI.
37 CFR 1.20 Post issuance fees.
Section 1.20, paragraphs (c)(3), (c)(4), and (e) through (g), are
revised to adjust fees established therein to reflect fluctuations in
the CPI.
37 CFR 1.492 National stage fees.
Section 1.492, paragraphs (a), (b)(2) through (b)(4), (c)(2), (d)
through (f), and (j), are revised to adjust fees established therein to
reflect fluctuations in the CPI.
37 CFR 41.20 Fees.
Section 41.20, paragraphs (b)(1) through (b)(3), are revised to adjust
fees established therein to reflect fluctuations in the CPI.
Other Considerations
Paperwork Reduction Act: This final rule involves information
collection requirements that are subject to review by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995,
44 U.S.C. 3501 et seq. The collections of information involved in this
final rule have been reviewed and previously approved by the OMB under
the following control numbers: 0651-0016, 0651-0021, 0651-0031,
0651-0032, and 0651-0033. The USPTO is not resubmitting information
collection requests to the OMB for its review and approval because the
changes in this final rule do not affect the information collection
requirements associated with the information collections under these
OMB control numbers.
Notwithstanding any other provisions of law, no person is required to
respond to nor shall a person be subject to a penalty for failure to
comply with a collection of information subject to the requirements of
the Paperwork Reduction Act unless that collection of information
displays a currently valid OMB control number.
This final rule has been determined to be not significant for purposes
of Executive Order 12866. This final rule does not contain policies
with Federalism implications sufficient to warrant preparation of a
Federalism Assessment under Executive Order 13132 (August 4, 1999).
Regulatory Flexibility Act: For the reasons set forth herein, The
Deputy General Counsel for General Law of the USPTO has certified to
the Chief Counsel for Advocacy, Small Business Administration, that the
final rule change will not have a significant economic impact on a
substantial number of small entities (Regulatory Flexibility Act, 5
U.S.C. 605(b)).
By statute, the USPTO's Director is expressly authorized to adjust fee
amounts annually to reflect fluctuations in the CPI. See 35 U.S.C.
41(f) (certain fees "may be adjusted by the Director on October 1,
1992, and every year thereafter, to reflect any fluctuations occurring
during the previous 12 months in the Consumer Price Index as determined
by the Secretary of Labor"). This final rule increases fee amounts to
reflect the change in the CPI as authorized by 35 U.S.C. 41(f).
Legislation has been introduced in the Congress that would extend the
fee amount revisions in the Consolidated Appropriations Act and the
revised Continuing Appropriations Resolution. If the legislation is
enacted, then this final rule will apply.
The fee amount increases will range from a minimum of $0 to a maximum
of $110 under the final rule.
Under 35 U.S.C. 41(h)(1) small entities are accorded a fifty-percent
reduction in most patent fee amounts. Consequently, the small entity
fee increases will range from a minimum of $0 to a maximum of $55 under
the final rule. The sole exception under this final rule is the fee set
forth under 37 CFR 1.17(t), which does not qualify for a small entity
fee reduction. The fee rate increase for 37 CFR 1.17(t) is $40.
Accordingly, the final rule does not have a significant economic impact
on a substantial number of small entities.
Lists of Subjects
37 CFR Part 1
Administrative practice and procedure, Biologics, Courts, Freedom of
information, Inventions and patents, Reporting and recordkeeping
requirements, Small businesses.
37 CFR Part 41
Administrative practice and procedure, Inventions and patents, Lawyers.
For the reasons set forth in the preamble, the USPTO is proposing to
amend title 37 of the Code of Federal Regulations, Parts 1 and 41, as
set forth below.
Part 1 - Rules of Practice in Patent Cases
1. The authority citation for 37 CFR Part 1 would continue to
read as follows:
Authority: 35 U.S.C. 2(b)(2), unless otherwise noted.
2. Section 1.16 is amended by revising paragraphs (a) through
(e), and (h) through (s) to read as follows:
1.16 National application filing, search and examination fees.
(a) Basic fee for filing each application under 35 U.S.C. 111 for an
original patent, except design, plant, or provisional applications:
(1) For an application filed on or after December 8, 2004:
By a small entity ( 1.27(a)) if the application is submitted in
compliance with the Office electronic filing system ( 1.27(b)(2)) $75.00
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
(2) For an application filed before December 8, 2004:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(b) Basic fee for filing each application for an original design patent:
(1) For an application filed on or after December 8, 2004:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(2) For an application filed before December 8, 2004:
By a small entity ( 1.27(a)) $180.00
By other than a small entity $360.00
(c) Basic fee for filing each application for an original plant patent:
(1) For an application filed on or after December 8, 2004:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(2) For an application filed before December 8, 2004:
By a small entity ( 1.27(a)) $285.00
By other than a small entity $570.00
(d) Basic fee for filing each provisional application:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(e) Basic fee for filing each application for the reissue of a patent:
(1) For an application filed on or after December 8, 2004:
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
(2) For an application filed before December 8, 2004:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
*****
(h) In addition to the basic filing fee in an application, other than a
provisional application, for filing or later presentation at any other time
of each claim in independent form in excess of 3:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(i) In addition to the basic filing fee in an application, other than a
provisional application, for filing or later presentation at any other time
of each claim (whether dependent or independent) in excess of 20 (note that
1.75(c) indicates how multiple dependent claims are considered for fee
calculation purposes):
By a small entity ( 1.27(a)) $25.00
By other than a small entity $50.00
(j) In addition to the basic filing fee in an application, other than a
provisional application, that contains, or is amended to contain, a
multiple dependent claim, per application:
By a small entity ( 1.27(a)) $185.00
By other than a small entity $370.00
(k) Search fee for each application filed under 35 U.S.C. 111 on or
after December 8, 2004, for an original patent, except design, plant, or
provisional applications:
By a small entity ( 1.27(a)) $255.00
By other than a small entity $510.00
(l) Search fee for each application filed on or after December 8, 2004,
for an original design patent:
By a small entity ( 1.27(a)) $50.00
By other than a small entity $100.00
(m) Search fee for each application filed on or after December 8, 2004,
for an original plant patent:
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
(n) Search fee for each application filed on or after December 8, 2004,
for the reissue of a patent:
By a small entity ( 1.27(a)) $255.00
By other than a small entity $510.00
(o) Examination fee for each application filed under 35 U.S.C. 111 on or
after December 8, 2004, for an original patent, except design, plant, or
provisional applications:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(p) Examination fee for each application filed on or after December 8,
2004, for an original design patent:
By a small entity ( 1.27(a)) $65.00
By other than a small entity $130.00
(q) Examination fee for each application filed on or after December 8,
2004, for an original plant patent:
By a small entity ( 1.27(a)) $80.00
By other than a small entity $160.00
(r) Examination fee for each application filed on or after December 8,
2004, for the reissue of a patent:
By a small entity ( 1.27(a)) $310.00
By other than a small entity $620.00
(s) Application size fee for any application under 35 U.S.C. 111 filed
on or after December 8, 2004, the specification and drawings of which
exceed 100 sheets of paper, for each additional 50 sheets or fraction
thereof (see 1.52(f) for applications submitted in whole or in part on
an electronic medium):
By a small entity ( 1.27(a)) $130.00
By other than a small entity $260.00
3. Section 1.17 is amended by revising paragraphs (a)(2) through (a)(5),
(e), (l), (m), and (r) through (t) to read as follows:
1.17 Patent application and reexamination processing fees.
(a) ***
(1) ***
(2) For reply within second month:
By a small entity ( 1.27(a)) $230.00
By other than a small entity $460.00
(3) For reply within third month:
By a small entity ( 1.27(a)) $525.00
By other than a small entity $1,050.00
(4) For reply within fourth month:
By a small entity ( 1.27(a)) $815.00
By other than a small entity $1,630.00
(5) For reply within fifth month:
By a small entity ( 1.27(a)) $1,110.00
By other than a small entity $2,220.00
*****
(e) To request continued examination pursuant to 1.114:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
*****
(l) For filing a petition for the revival of an unavoidably abandoned
application under 35 U.S.C. 111, 133, 364, or 371, for the unavoidably
delayed payment of the issue fee under 35 U.S.C. 151, or for the revival of
an unavoidably terminated reexamination proceeding under 35 U.S.C. 133
( 1.137(a)):
By a small entity ( 1.27(a)) $255.00
By other than a small entity $510.00
(m) For filing a petition for the revival of an unintentionally
abandoned application, for the unintentionally delayed payment of the fee
for issuing a patent, or for the revival of an unintentionally terminated
reexamination proceeding under 35 U.S.C. 41(a)(7)( 1.137(b)):
By a small entity ( 1.27(a)) $770.00
By other than a small entity $1,540.00
*****
(r) For entry of a submission after final rejection under 1.129(a):
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(s) For each additional invention requested to be examined under
1.129(b):
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(t) For the acceptance of an unintentionally delayed claim for priority
under 35 U.S.C. 119, 120, 121, or 365(a) or (c) ( 1.55 and
1.78) $1,410.00
*****
4. Section 1.18 is amended by revising paragraphs (a) through (c) to read
as follows:
1.18 Patent post allowance (including issue) fees.
(a) Issue fee for issuing each original patent, except a design or plant
patent, or for issuing each reissue patent:
By a small entity ( 1.27(a)) $720.00
By other than a small entity $1,440.00
(b) Issue fee for issuing an original design patent:
By a small entity ( 1.27(a)) $410.00
By other than a small entity $820.00
(c) Issue fee for issuing an original plant patent:
By a small entity ( 1.27(a)) $565.00
By other than a small entity $1,130.00
*****
5. Section 1.20 is amended by revising paragraphs (c)(3), (c)(4), and (e)
through (g) to read as follows:
1.20 Post issuance fees.
*****
(c) ***
1) ***
2) ***
3) For filing with a request for reexamination or later presentation at
any other time of each claim in independent form in excess of 3 and also
in excess of the number of claims in independent form in the patent
under reexamination:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(4) For filing with a request for reexamination or later presentation at
any other time of each claim (whether dependent or independent) in
excess of 20 and also in excess of the number of claims in the patent
under reexamination (note that 1.75(c) indicates how multiple
dependent claims are considered for fee calculation purposes):
By a small entity ( 1.27(a)) $25.00
By other than a small entity $50.00
*****
(e) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond four years, the fee being due by three years and six months
after the original grant:
By a small entity ( 1.27(a)) $465.00
By other than a small entity $930.00
(f) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond eight years, the fee being due by seven years and six
months after the original grant:
By a small entity ( 1.27(a)) $1,180.00
By other than a small entity $2,360.00
(g) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond twelve years, the fee being due by eleven years and six
months after the original grant:
By a small entity ( 1.27(a)) $1,955.00
By other than a small entity $3,910.00
*****
6. Section 1.492 is amended by revising paragraphs (a), (c)(2), (d) through
(f), and (j) to read as follows:
1.492 National stage fees.
*****
(a) The basic national fee for an international application entering the
national stage under 35 U.S.C. 371 if the basic national fee was not paid
before December 8, 2004:
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
(b) *****
(1) ***
(2) Where a search report on the international application has been
prepared by the USPTO:
By a small entity ( 1.27(a)) $50.00
By other than a small entity $100.00
(3) Where a search report on the international application has been
prepared and provided to the USPTO:
By a small entity ( 1.27(a)) $205.00
By other than a small entity $410.00
(4) In all situations not provided for in paragraph (b)(1) through
(3) of this section:
By a small entity ( 1.27(a)) $255.00
By other than a small entity $510.00
(c) ***
(1) ***
(2) In all situations not provided for in paragraph (c)(1) of this
section:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(d) In addition to the basic national fee, for filing or on a later
presentation at any other time of each claim in independent form in
excess of 3:
By a small entity ( 1.27(a)) $105.00
By other than a small entity $210.00
(e) In addition to the basic national fee, for filing or on later
presentation at any other time of each claim (whether dependent or
independent) in excess of 20 (note that 1.75(c) indicates how
multiple dependent claims are considered for fee calculation purposes):
By a small entity ( 1.27(a)) $25.00
By other than a small entity $50.00
(f) In addition to the basic national fee, if the application contains,
or is amended to contain, a multiple dependent claim, per application:
By a small entity ( 1.27(a)) $185.00
By other than a small entity $370.00
*****
(j) Application size fee for any international application for which the
basic national fee was not paid before December 8, 2004, the specification
and drawings of which exceed 100 sheets of paper, for each additional 50
sheets or fraction thereof (see 1.52(f) for applications submitted in
whole or in part on an electronic medium):
By a small entity ( 1.27(a)) $130.00
By other than a small entity $260.00
Part 41 - Practice Before the Board of Patent Appeals and Interferences
1. The authority citation for 37 CFR Part 41 would continue to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 135,
unless otherwise noted.
2. Section 41.20 is amended by revising paragraphs (b)(1) through (b)(3) to
read as follows:
41.20 Fees.
*****
(b) ***
(1) For filing a notice of appeal from the examiner to the Board:
By a small entity ( 1.27(a) of this title) $255.00
By other than a small entity $510.00
(2) In addition to the fee for filing a notice of appeal, for filing a
brief in support of an appeal:
By a small entity ( 1.27(a) of this title) $255.00
By other than a small entity $510.00
(3) For filing a request for an oral hearing before the Board in an
appeal under 35 U.S.C. 134:
By a small entity ( 1.27(a) of this title) $515.00
By other than a small entity $1,030.00
Discussion of Specific Rules
Legislation has been introduced in the Congress that would extend the
fee revisions in the Consolidated Appropriations Act and the revised
Continuing Appropriations Resolution. The amendments in Option 2 would be
used if legislation is not enacted and the fee adjustments would apply to
the former fee amounts that were in place prior to the enactment of the
Consolidated Appropriations Act. To ensure clarity in the implementation of
the new fee amounts, a discussion of specific sections is set forth below.
Option 2
37 CFR 1.16 National application filing fees.
Section 1.16, paragraphs (a), (b), (d), (f) through (i), and (k), will
adjust fee rates established therein to reflect fluctuations in the
CPI.
37 CFR 1.17 Patent application and reexamination processing fees.
Section 1.17, paragraphs (a)(2) through (a)(5), (e), (m), and (r)
through (t), will adjust fee rates established therein to reflect
fluctuations in the CPI.
37 CFR 1.18 Patent post allowance (including issue) fees.
Section 1.18, paragraphs (a) through (c), will adjust fee rates
established therein to reflect fluctuations in the CPI.
37 CFR 1.20 Post issuance fees.
Section 1.20, paragraphs (e) through (g), will adjust fee rates
established therein to reflect fluctuations in the CPI.
37 CFR 1.492 National stage fees.
Section 1.492, paragraphs (a)(1) through (a)(3), (a)(5), (b) and (d),
will adjust fee rates established therein to reflect fluctuations in
the CPI.
37 CFR 41.20 Fees.
Section 41.20, paragraphs (b)(1) through (b)(3), will adjust fee rates
established therein to reflect fluctuations in the CPI.
Other Considerations
Paperwork Reduction Act: This final rule involves information collection
requirements that are subject to review by the Office of Management and
Budget (OMB) under the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et
seq. The collections of information involved in this final rule have been
reviewed and previously approved by the OMB under the following control
numbers: 0651-0016, 0651-0021, 0651-0031, 0651-0032, and 0651-0033. The
USPTO is not resubmitting information collection requests to the OMB for
its review and approval because the changes in this final rule do not
affect the information collection requirements associated with the
information collections under these OMB control numbers.
Notwithstanding any other provisions of law, no person is required to
respond to nor shall a person be subject to a penalty for failure to comply
with a collection of information subject to the requirements of the
Paperwork Reduction Act unless that collection of information displays a
currently valid OMB control number.
This final rule has been determined to be not significant for purposes
of Executive Order 12866. This final rule does not contain policies with
Federalism implications sufficient to warrant preparation of a Federalism
Assessment under Executive Order 13132 (August 4, 1999).
Regulatory Flexibility Act: For the reasons set forth herein, The Deputy
General Counsel for General Law of the USPTO has certified to the Chief
Counsel for Advocacy, Small Business Administration, that the final rule
change will not have a significant economic impact on a substantial number
of small entities (Regulatory Flexibility Act, 5 U.S.C. 605(b)).
By statute, the USPTO's Director is expressly authorized to adjust fee
amounts annually to reflect fluctuations in the CPI. See 35 U.S.C. 41(f)
(certain fees "may be adjusted by the Director on October 1, 1992, and
every year thereafter, to reflect any fluctuations occurring during the
previous 12 months in the Consumer Price Index as determined by the
Secretary of Labor"). This final rule increases fee amounts to reflect the
change in the CPI as authorized by 35 U.S.C. 41(f). Legislation has been
introduced in the Congress that would extend the fee amount revisions in
the Consolidated Appropriations Act and the revised Continuing
Appropriations Resolution, 2007. If the legislation is enacted, then this
final rule will apply.
The fee amount increases will range from a minimum of $0 to a maximum
of $90 under the final rule.
Under 35 U.S.C. 41(h)(1) small entities are accorded a fifty-percent
reduction in most patent fee amounts. Consequently, the small entity
fee increases will range from a minimum of $0 to a maximum of $45 under
the final rule. The sole exception under this final rule is the fee set
forth under 37 CFR 1.17(t), which does not qualify for a small entity
fee reduction. The fee rate increase for 37 CFR 1.17(t) is $40.
Accordingly, the final rule does not have a significant economic impact
on a substantial number of small entities.
Lists of Subjects
37 CFR Part 1
Administrative practice and procedure, Biologics, Courts, Freedom of
information, Inventions and patents, Reporting and recordkeeping
requirements, Small businesses.
37 CFR Part 41
Administrative practice and procedure, Inventions and patents, Lawyers.
For the reasons set forth in the preamble, we are amending title 37 of
the Code of Federal Regulations, Parts 1 and 41, as set forth below.
Part 1 - Rules of Practice in Patent Cases
1. The authority citation for 37 CFR Part 1 would continue to read as
follows:
Authority: 35 U.S.C. 2, unless otherwise noted.
2. Section 1.16 is amended by revising paragraphs (a), (b), (d), (f)
through (i), and (k) to read as follows:
1.16 National application filing fees.
(a) Basic fee for filing each application for an original patent, except
provisional, design, or plant applications:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(b) In addition to the basic filing fee in an original application,
except provisional applications, for filing or later presentation of each
independent claim in excess of 3:
By a small entity ( 1.27(a)) $45.00
By other than a small entity $90.00
*****
(d) In addition to the basic filing fee in an original application,
except provisional applications, if the application contains, or is amended
to contain, a multiple dependent claim(s), per application:
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
*****
(f) Basic fee for filing each design application:
By a small entity ( 1.27(a)) $180.00
By other than a small entity $360.00
(g) Basic fee for filing each plant application, except provisional
applications:
By a small entity ( 1.27(a)) $285.00
By other than a small entity $570.00
(h) Basic fee for filing each reissue application:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(i) In addition to the basic filing fee in a reissue application, for
filing or later presentation of each independent claim which is in excess
of the number of independent claims in the original patent:
By a small entity ( 1.27(a)) $45.00
By other than a small entity $90.00
*****
(k) Basic fee for filing each provisional application:
By a small entity ( 1.27(a)) $80.00
By other than a small entity $160.00
*****
3. Section 1.17 is amended by revising paragraphs (a)(2) through (a)(5),
(e), (m), and (r) through (t) to read as follows:
1.17 Patent application and reexamination processing fee.
(a) ***
(1) ***
(2) For reply within second month:
By a small entity ( 1.27(a)) $220.00
By other than a small entity $440.00
(3) For reply within third month:
By a small entity ( 1.27(a)) $505.00
By other than a small entity $1,010.00
(4) For reply within fourth month:
By a small entity ( 1.27(a)) $790.00
By other than a small entity $1,580.00
(5) For reply within fifth month:
By a small entity ( 1.27(a)) $1,075.00
By other than a small entity $2,150.00
*****
(e) To request continued examination pursuant to 1.114:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
*****
(m) For filing a petition for the revival of an unintentionally
abandoned application, for the unintentionally delayed payment of the fee
for issuing a patent, or for the revival of an unintentionally terminated
reexamination proceeding under 35 U.S.C. 41(a)(7) ( 1.137(b)):
By a small entity ( 1.27(a)) $705.00
By other than a small entity $1,410.00
*****
(r) For entry of a submission after final rejection under 1.129(a):
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(s) For each additional invention requested to be examined under
1.129(b):
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(t) For the acceptance of an unintentionally delayed claim for priority
under 35 U.S.C. 119, 120, 121, or 365(a) or (c) ( 1.55 and
1.78) $1,410.00
4. Section 1.18 is amended by revising paragraphs (a) through (c) to read
as follows:
1.18 Patent post allowance (including issue) fees.
(a) Issue fee for issuing each original or reissue patent, except a
design or plant patent:
By a small entity ( 1.27(a)) $705.00
By other than a small entity $1,410.00
(b) Issue fee for issuing a design patent:
By a small entity ( 1.27(a)) $250.00
By other than a small entity $500.00
(c) Issue fee for issuing a plant patent:
By a small entity ( 1.27(a)) $340.00
By other than a small entity $680.00
*****
5. Section 1.20 is amended by revising paragraphs (e) through (g) to read
as follows:
1.20 Post issuance fees.
*****
(e) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond four years; the fee is due by three years and six months
after the original grant:
By a small entity ( 1.27(a)) $485.00
By other than a small entity $970.00
(f) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond eight years; the fee is due by seven years and six months
after the original grant:
By a small entity ( 1.27(a)) $1,105.00
By other than a small entity $2,210.00
(g) For maintaining an original or reissue patent, except a design or
plant patent, based on an application filed on or after December 12, 1980,
in force beyond twelve years; the fee is due by eleven years and six months
after the original grant:
By a small entity ( 1.27(a)) $1,705.00
By other than a small entity $3,410.00
*****
6. Section 1.492 is amended by revising paragraphs (a)(1) through (a)(3),
(a)(5), (b) and (d) to read as follows:
1.492 National stage fees.
*****
(a) ****
(1) Where an international preliminary examination fee as set
forth in 1.482 has been paid on the international application to
the United States Patent and Trademark Office:
By a small entity ( 1.27(a)) $385.00
By other than a small entity $770.00
(2) Where no international preliminary examination fee as set
forth in 1.482 has been paid to the United States Patent and
Trademark Office, but an international search fee as set forth in
1.445(a)(2) has been paid on the international application to the
United States Patent and Trademark Office as an International
Searching Authority:
By a small entity ( 1.27(a)) $405.00
By other than a small entity $810.00
(3) Where no international preliminary examination fee as set
forth in 1.482 has been paid and no international search fee as
set forth in 1.445(a)(2) has been paid on the international
application to the United States Patent and Trademark Office:
By a small entity ( 1.27(a)) $570.00
By other than a small entity $1,140.00
(4) ***
(5) Where a search report on the international application has been
prepared by the European Patent Office or the Japan Patent Office:
By a small entity ( 1.27(a)) $490.00
By other than a small entity $980.00
(b) In addition to the basic national fee, for filing or later
presentation of each independent claim in excess of 3:
By a small entity ( 1.27(a)) $45.00
By other than a small entity $90.00
*****
(d) In addition to the basic national fee, if the application contains,
or is amended to contain, a multiple dependent claim(s), per application:
By a small entity ( 1.27(a)) $155.00
By other than a small entity $310.00
Part 41 - Practice Before the Board of Patent Appeals and Interferences
1. The authority citation for 37 CFR Part 41 would continue to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 135,
unless otherwise noted.
2. Section 41.20 is amended by revising paragraphs (b)(1) through (b)(3) to
read as follows:
41.20 Fees.
*****
(b) Appeal Fees.
(1) For filing a notice of appeal from the examiner to the Board:
By a small entity ( 1.27(a) of this title) $175.00
By other than a small entity $350.00
(2) In addition to the fee for filing a notice of appeal, for filing a
brief in support of an appeal:
By a small entity ( 1.27(a) of this title) $175.00
By other than a small entity $350.00
(3) For filing a request for an oral hearing before the Board in an
appeal under 35 U.S.C. 134:
By a small entity ( 1.27(a) of this title) $155.00
By other than a small entity $310.00
JON W. DUDAS
Under Secretary of Commerce for
Intellectual Property and Director of the
United States Patent and Trademark Office