Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE Print This Notice 1421 CNOG  310 

Fees, Deposit Accounts, Credit Cards, Refunds, etc. Referenced Items (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)
(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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  311 

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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  312 


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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  313 

                   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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  314 


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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  315 

                   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

Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  316 

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
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  317 


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

Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  318 

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-
Top of Notices Top of Notices   (104)  December 29, 2015 US PATENT AND TRADEMARK OFFICE 1421 CNOG  319 

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]