[Federal Register Volume 88, Number 55 (Wednesday, March 22, 2023)]
[Rules and Regulations]
[Pages 17147-17158]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-05382]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Parts 1 and 41
[Docket No. PTO-P-2023-0005]
RIN 0651-AD66
Reducing Patent Fees for Small Entities and Micro Entities Under
the Unleashing American Innovators Act of 2022
AGENCY: United States Patent and Trademark Office, Department of
Commerce.
ACTION: Final rule.
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SUMMARY: The United States Patent and Trademark Office (Office or
USPTO) amends patent fees for small and micro entities set forth in its
regulations to implement the provisions of the Consolidated
Appropriations Act, 2023--which included the Unleashing American
Innovators Act of 2022 (UAIA). The UAIA, signed into law on December
29, 2022, supports the USPTO's efforts to reduce the innovation
ecosystem's barriers to entry. The UAIA increased fee discounts for
small entities from 50% to 60% and fee discounts for micro entities
from 75% to 80% for fees for filing, searching, examining, issuing,
appealing, and maintaining patent applications and patents. The UAIA
also increased fee discounts for small entities from 75% to 80% for
filing a basic nonprovisional utility application electronically.
DATES:
Effective date: This final rule is effective March 22, 2023, except
for the amendment to Sec. 1.16(u) at instruction 3, which is effective
on April 3, 2023.
Applicability: The amendments to Sec. Sec. 1.445(a)(5) and 1.482
shall apply to those international applications under the Patent
Cooperation Treaty having a receipt date on or after April 1, 2023. The
amendments to Sec. 1.18(b)(1) shall apply to those international
design applications under the Hague Agreement having a date of
international registration on or after May 1, 2023.
FOR FURTHER INFORMATION CONTACT: Brendan Hourigan, Director, Office of
Planning and Budget, by telephone at 571-272-8966, or by email at
[email protected]; or Dianne Buie, Director, Forecasting and
Analysis Division, by telephone at 571-272-6301, or by email at
[email protected].
SUPPLEMENTARY INFORMATION:
Purpose of This Action
The Office issues this final rule to amend 37 CFR parts 1 and 41 to
reflect amendments enacted by the UAIA on December 29, 2022. See
Consolidated Appropriations Act, 2023, Public Law 117-328. Section 107
of the UAIA, ``Fee Reduction for Small and Micro Entities,'' amended 35
U.S.C. 41(h)(1) and section 10(b) of the America Invents Act (AIA),
Public Law 112-29, 125 Stat. 284, as amended by the SUCCESS Act, Public
Law 115-273, 132 Stat. 4158, by (1) striking ``50 percent'' and
inserting ``60 percent'' for fee reductions for small entities and (2)
by striking ``75 percent'' and inserting ``80 percent'' for fee
reductions for micro entities. Consequently, the Office is now required
under 35 U.S.C. 41(h)(1) and section 10(b) of the AIA to reduce patent
fees for filing, searching, examining, issuing, appealing, and
maintaining patent applications and patents by 60% for small entities
and by 80% for micro entities. Section 107 of the UAIA also amended 35
U.S.C. 41(h)(3) by striking ``75 percent'' and inserting ``80 percent''
for fee reductions for small entities filing a basic nonprovisional
utility application electronically under 35 U.S.C. 41(a)(1)(A). Fee
rates reflecting these amended discounts for small and micro entities
were made available to the public on December 29, 2022, and published
on the USPTO's website, https://www.uspto.gov/fees.
[[Page 17148]]
The changes in this final rule apply to any small or micro entity
that pays any patent fee set forth in this final rule. The reduced fee
rates (60% for small entities and 80% for micro entities) apply to any
small entity asserting small entity status and to any micro entity
certifying micro entity status for filing, searching, examining,
issuing, appealing, and maintaining patent applications and patents.
Due to the USPTO's requirement to provide advance notification to
the World Intellectual Property Organization (WIPO) for certain fee
changes before such fee changes can take effect, as provided under the
Hague Agreement and the Patent Cooperation Treaty, the discount to
certain small and micro fees are delayed until the expiration of the
applicable notification period. The changes to Sec. 1.18(b)(1) shall
apply to those international design applications under the Hague
Agreement having a date of international registration on or after May
1, 2023. Certain changes to Sec. 1.445(a)(2) and (a)(3) shall apply to
those international applications under the Patent Cooperation Treaty
having a receipt date on or after April 1, 2023. The changes to Sec.
1.445(a)(5) and Sec. 1.482 shall take effect on April 1, 2023.
Discussion of Specific Rules
The following table shows all of the small entity and micro entity
fees in 37 CFR parts 1 and 41 that are being adjusted in this final
rule to reflect the new small entity and micro entity discounts. Only
the fee amounts for small and micro entities set forth below are being
adjusted. Any other fees paid by small and micro entities are not
affected by this final rule.
Table 1--CFR Fee Changes
----------------------------------------------------------------------------------------------------------------
Previous fees Final rule
CFR section Fee code Description Entity type (dollars) fees (dollars)
----------------------------------------------------------------------------------------------------------------
1.16(a).............. 2011 Basic filing fee--Utility Small........ $160 $128
(paper filing also requires
non-electronic filing fee
under 1.16(t)).
1.16(a).............. 3011 Basic filing fee--Utility Micro........ 80 64
(paper filing also requires
non-electronic filing fee
under 1.16(t)).
1.16(a).............. 4011 Basic filing fee--Utility Small........ 80 64
(electronic filing for small
entity).
1.16(b).............. 2012 Basic filing fee--Design....... Small........ 110 88
1.16(b).............. 2017 Basic filing fee--Design (CPA). Small........ 110 88
1.16(b).............. 3012 Basic filing fee--Design....... Micro........ 55 44
1.16(b).............. 3017 Basic filing fee--Design (CPA). Micro........ 55 44
1.16(c).............. 2013 Basic filing fee--Plant........ Small........ 110 88
1.16(c).............. 3013 Basic filing fee--Plant........ Micro........ 55 44
1.16(d).............. 2005 Provisional application filing Small........ 150 120
fee.
1.16(d).............. 3005 Provisional application filing Micro........ 75 60
fee.
1.16(e).............. 2014 Basic filing fee--Reissue...... Small........ 160 128
1.16(e).............. 2019 Basic filing fee--Reissue Small........ 160 128
(Design CPA).
1.16(e).............. 3014 Basic filing fee--Reissue...... Micro........ 80 64
1.16(e).............. 3019 Basic filing fee--Reissue Micro........ 80 64
(Design CPA).
1.16(f).............. 2051 Surcharge--Late filing fee, Small........ 80 64
search fee, examination fee,
inventor's oath or
declaration, or application
filed without at least one
claim or by reference.
1.16(f).............. 3051 Surcharge--Late filing fee, Micro........ 40 32
search fee, examination fee,
inventor's oath or
declaration, or application
filed without at least one
claim or by reference.
1.16(g).............. 2052 Surcharge--Late provisional Small........ 30 24
filing fee or cover sheet.
1.16(g).............. 3052 Surcharge--Late provisional Micro........ 15 12
filing fee or cover sheet.
1.16(h).............. 2201 Each independent claim in Small........ 240 192
excess of three.
1.16(h).............. 2204 Each reissue independent claim Small........ 240 192
in excess of three.
1.16(h).............. 3201 Each independent claim in Micro........ 120 96
excess of three.
1.16(h).............. 3204 Each reissue independent claim Micro........ 120 96
in excess of three.
1.16(i).............. 2202 Each claim in excess of 20..... Small........ 50 40
1.16(i).............. 2205 Each reissue claim in excess of Small........ 50 40
20.
1.16(i).............. 3202 Each claim in excess of 20..... Micro........ 25 20
1.16(i).............. 3205 Each reissue claim in excess of Micro........ 25 20
20.
1.16(j).............. 2203 Multiple dependent claim....... Small........ 430 344
1.16(j).............. 3203 Multiple dependent claim....... Micro........ 215 172
1.16(k).............. 2111 Utility search fee............. Small........ 350 280
1.16(k).............. 3111 Utility search fee............. Micro........ 175 140
1.16(l).............. 2112 Design search Fee or Design CPA Small........ 80 64
search fee.
1.16(l).............. 3112 Design Search Fee or Design CPA Micro........ 40 32
search fee.
1.16(m).............. 2113 Plant search fee............... Small........ 220 176
1.16(m).............. 3113 Plant search fee............... Micro........ 110 88
1.16(n).............. 2114 Reissue search fee or Reissue Small........ 350 280
(Design CPA) search fee.
1.16(n).............. 3114 Reissue search fee or Reissue Micro........ 175 140
(Design CPA) search fee.
1.16(o).............. 2311 Utility examination fee........ Small........ 400 320
1.16(o).............. 3311 Utility examination fee........ Micro........ 200 160
1.16(p).............. 2312 Design examination fee or Small........ 320 256
Design CPA examination fee.
1.16(p).............. 3312 Design examination fee or Micro........ 160 128
Design CPA examination fee.
1.16(q).............. 2313 Plant examination fee.......... Small........ 330 264
1.16(q).............. 3313 Plant examination fee.......... Micro........ 165 132
1.16(r).............. 2314 Reissue examination fee or Small........ 1,160 928
reissue (Design CPA)
examination fee.
1.16(r).............. 3314 Reissue examination fee or Micro........ 580 464
reissue (Design CPA)
examination fee.
[[Page 17149]]
1.16(s).............. 2081 Utility application size fee-- Small........ 210 168
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 2082 Design application size fee-- Small........ 210 168
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 2083 Plant application size fee--for Small........ 210 168
each additional 50 sheets that
exceeds 100 sheets.
1.16(s).............. 2084 Reissue application size fee-- Small........ 210 168
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 2085 Provisional application size Small........ 210 168
fee--for each additional 50
sheets that exceeds 100 sheets.
1.16(s).............. 3081 Utility application size fee-- Micro........ 105 84
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 3082 Design application size fee-- Micro........ 105 84
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 3083 Plant application size fee--for Micro........ 105 84
each additional 50 sheets that
exceeds 100 sheets.
1.16(s).............. 3084 Reissue application size fee-- Micro........ 105 84
for each additional 50 sheets
that exceeds 100 sheets.
1.16(s).............. 3085 Provisional application size Micro........ 105 84
fee--for each additional 50
sheets that exceeds 100 sheets.
1.16(u).............. 2054 Non-DOCX filing surcharge fee.. Small........ 200 160
1.16(u).............. 3054 Non-DOCX filing surcharge fee.. Micro........ 100 80
1.17(a)(1)........... 2251 Extension for response within Small........ 110 88
first month.
1.17(a)(1)........... 3251 Extension for response within Micro........ 55 44
first month.
1.17(a)(2)........... 2252 Extension for response within Small........ 320 256
second month.
1.17(a)(2)........... 3252 Extension for response within Micro........ 160 128
second month.
1.17(a)(3)........... 2253 Extension for response within Small........ 740 592
third month.
1.17(a)(3)........... 3253 Extension for response within Micro........ 370 296
third month.
1.17(a)(4)........... 2254 Extension for response within Small........ 1,160 928
fourth month.
1.17(a)(4)........... 3254 Extension for response within Micro........ 580 464
fourth month.
1.17(a)(5)........... 2255 Extension for response within Small........ 1,580 1,264
fifth month.
1.17(a)(5)........... 3255 Extension for response within Micro........ 790 632
fifth month.
1.17(c).............. 2817 Request for prioritized Small........ 2,100 1,680
examination.
1.17(c).............. 3817 Request for prioritized Micro........ 1,050 840
examination.
1.17(d).............. 2819 Correction of inventorship Small........ 320 256
after first action on merits.
1.17(d).............. 3819 Correction of inventorship Micro........ 160 128
after first action on merits.
1.17(e)(1)........... 2801 Request for continued Small........ 680 544
examination (RCE)--1st request
(see 37 CFR 1.114).
1.17(e)(1)........... 3801 Request for continued Micro........ 340 272
examination (RCE)--1st request
(see 37 CFR 1.114).
1.17(e)(2)........... 2820 Request for continued Small........ 1,000 800
examination (RCE)--2nd and
subsequent request (see 37 CFR
1.114).
1.17(e)(2)........... 3820 Request for continued Micro........ 500 400
examination (RCE)--2nd and
subsequent request (see 37 CFR
1.114).
1.17(f).............. 2462 Petitions requiring the Small........ 210 168
petition fee set forth in 37
CFR 1.17(f) (Group I).
1.17(f).............. 3462 Petitions requiring the Micro........ 105 84
petition fee set forth in 37
CFR 1.17(f) (Group I).
1.17(g).............. 2463 Petitions requiring the Small........ 110 88
petition fee set forth in 37
CFR 1.17(g) (Group II).
1.17(g).............. 3463 Petitions requiring the Micro........ 55 44
petition fee set forth in 37
CFR 1.17(g) (Group II).
1.17(h).............. 2464 Petitions requiring the Small........ 70 56
petition fee set forth in 37
CFR 1.17(h) (Group III).
1.17(h).............. 3464 Petitions requiring the Micro........ 35 28
petition fee set forth in 37
CFR 1.17(h) (Group III).
1.17(i)(1)........... 2053 Non-English translation........ Small........ 70 56
1.17(i)(1)........... 2830 Processing fee, except in Small........ 70 56
provisional applications.
1.17(i)(1)........... 3053 Non-English translation........ Micro........ 35 28
1.17(i)(1)........... 3830 Processing fee, except in Micro........ 35 28
provisional applications.
1.17(k).............. 2802 Request for expedited Small........ 800 640
examination of a design
application.
1.17(k).............. 3802 Request for expedited Micro........ 400 320
examination of a design
application.
1.17(m).............. 2453 Petition for revival of an Small........ 1,050 840
abandoned application for a
patent, for the delayed
payment of the fee for issuing
each patent, or for the
delayed response by the patent
owner in any reexamination
proceeding.
1.17(m).............. 2454 Petition for the delayed Small........ 1,050 840
submission of a priority or
benefit claim, or to restore
the right of priority or
benefit.
1.17(m).............. 2558 Petition for the delayed Small........ 1,050 840
payment of the fee for
maintaining a patent in force.
[[Page 17150]]
1.17(m).............. 2628 Petition for the extension of Small........ 1,050 840
the twelve-month (six-month
for designs) period for filing
a subsequent application.
1.17(m).............. 2784 Petition to excuse applicant's Small........ 1,050 840
failure to act within
prescribed time limits in an
international design
application.
1.17(m).............. 3453 Petition for revival of an Micro........ 525 420
abandoned application for a
patent, for the delayed
payment of the fee for issuing
each patent, or for the
delayed response by the patent
owner in any reexamination
proceeding.
1.17(m).............. 3454 Petition for the delayed Micro........ 525 420
submission of a priority or
benefit claim, or to restore
the right of priority or
benefit.
1.17(m).............. 3558 Petition for the delayed Micro........ 525 420
payment of the fee for
maintaining a patent in force.
1.17(m).............. 3628 Petition for the extension of Micro........ 525 420
the twelve-month (six-month
for designs) period for filing
a subsequent application.
1.17(m).............. 3784 Petition to excuse applicant's Micro........ 525 420
failure to act within
prescribed time limits in an
international design
application.
1.17(o).............. 2818 Document fee for third-party Small........ 90 72
submissions (see 37 CFR
1.290(f)).
1.17(p).............. 2806 Submission of an Information Small........ 130 104
Disclosure Statement.
1.17(p).............. 3806 Submission of an Information Micro........ 65 52
Disclosure Statement.
1.17(r).............. 2809 Filing a submission after final Small........ 440 352
rejection (see 37 CFR
1.129(a)).
1.17(r).............. 3809 Filing a submission after final Micro........ 220 176
rejection (see 37 CFR
1.129(a)).
1.17(s).............. 2810 For each additional invention Small........ 440 352
to be examined (see 37 CFR
1.129(b)).
1.17(s).............. 3810 For each additional invention Micro........ 220 176
to be examined (see 37 CFR
1.129(b)).
1.17(t).............. 2783 Petition to convert an Small........ 90 72
international design
application to a design
application under 35 U.S.C.
chapter 16.
1.17(t).............. 3783 Petition to convert an Micro........ 45 36
international design
application to a design
application under 35 U.S.C.
chapter 16.
1.18(a)(1)........... 2501 Utility issue fee.............. Small........ 600 480
1.18(a)(1)........... 2511 Reissue issue fee.............. Small........ 600 480
1.18(a)(1)........... 3501 Utility issue fee.............. Micro........ 300 240
1.18(a)(1)........... 3511 Reissue issue fee.............. Micro........ 300 240
1.18(b)(1)........... 2502 Design issue fee............... Small........ 370 296
1.18(b)(1)........... 3502 Design issue fee............... Micro........ 185 148
1.18(c)(1)........... 2503 Plant issue fee................ Small........ 420 336
1.18(c)(1)........... 3503 Plant issue fee................ Micro........ 210 168
1.20(c)(1)........... 2831 Ex parte reexamination (Sec. Small........ 3,150 2,520
1.510(a)) Streamlined.
1.20(c)(1)........... 3831 Ex parte Reexamination (Sec. Micro........ 1,575 1,260
1.510(a)) streamlined.
1.20(c)(2)........... 2812 Ex parte reexamination (Sec. Small........ 6,300 5,040
1.510(a)) non-streamlined.
1.20(c)(2)........... 3812 Ex parte reexamination (Sec. Micro........ 3,150 2,520
1.510(a)) non-streamlined.
1.20(c)(3)........... 2821 Each reexamination independent Small........ 240 192
claim in excess of three and
also in excess of the number
of such claims in the patent
under reexamination.
1.20(c)(3)........... 3821 Each reexamination independent Micro........ 120 96
claim in excess of three and
also in excess of the number
of such claims in the patent
under reexamination.
1.20(c)(4)........... 2822 Each reexamination claim in Small........ 50 40
excess of 20 and also in
excess of the number of claims
in the patent under
reexamination.
1.20(c)(4)........... 3822 Each reexamination claim in Micro........ 25 20
excess of 20 and also in
excess of the number of claims
in the patent under
reexamination.
1.20(c)(6)........... 2824 Petitions in a reexamination Small........ 1,020 816
proceeding, except for those
specifically enumerated in 37
CFR 1.550(i) and 1.937(d).
1.20(c)(6)........... 3824 Petitions in a reexamination Micro........ 510 408
proceeding, except for those
specifically enumerated in 37
CFR 1.550(i) and 1.937(d).
1.20(e).............. 2551 For maintaining an original or Small........ 1,000 800
any reissue patent, due at 3.5
years.
1.20(e).............. 3551 For maintaining an original or Micro........ 500 400
any reissue patent, due at 3.5
years.
1.20(f).............. 2552 For maintaining an original or Small........ 1,880 1,504
any reissue patent, due at 7.5
years.
1.20(f).............. 3552 For maintaining an original or Micro........ 940 752
any reissue patent, due at 7.5
years.
1.20(g).............. 2553 For maintaining an original or Small........ 3,850 3,080
any reissue patent, due at
11.5 years.
1.20(g).............. 3553 For maintaining an original or Micro........ 1,925 1,540
any reissue patent, due at
11.5 years.
1.20(h).............. 2554 Surcharge--3.5 year--late Small........ 250 200
payment within 6 months.
1.20(h).............. 2555 Surcharge--7.5 year--late Small........ 250 200
payment within 6 months.
1.20(h).............. 2556 Surcharge--11.5 year--late Small........ 250 200
payment within 6 months.
1.20(h).............. 3554 Surcharge--3.5 year--late Micro........ 125 100
payment within 6 months.
[[Page 17151]]
1.20(h).............. 3555 Surcharge--7.5 year--late Micro........ 125 100
payment within 6 months.
1.20(h).............. 3556 Surcharge--11.5 year--late Micro........ 125 100
payment within 6 months.
1.20(k)(1)........... 2826 Request for supplemental Small........ 2,310 1,848
examination.
1.20(k)(1)........... 3826 Request for supplemental Micro........ 1,155 924
examination.
1.20(k)(2)........... 2827 Reexamination ordered as a Small........ 6,350 5,080
result of supplemental
examination.
1.20(k)(2)........... 3827 Reexamination ordered as a Micro........ 3,175 2,540
result of supplemental
examination.
1.20(k)(3)(i)........ 2828 Supplemental examination Small........ 90 72
document size fee--for
nonpatent document having
between 21 and 50 sheets.
1.20(k)(3)(i)........ 3828 Supplemental examination Micro........ 45 36
document size fee--for
nonpatent document having
between 21 and 50 sheets.
1.20(k)(3)(ii)....... 2829 Supplemental examination Small........ 150 120
document size fee--for each
additional 50 sheets or a
fraction thereof in a
nonpatent document.
1.20(k)(3)(ii)....... 3829 Supplemental examination Micro........ 75 60
document size fee--for each
additional 50 sheets or a
fraction thereof in a
nonpatent document.
1.21(o)(1)........... 2091 Submission of sequence listings Small........ 530 424
of 300Mb to 800Mb.
1.21(o)(1)........... 3091 Submission of sequence listings Micro........ 265 212
of 300Mb to 800Mb.
1.21(o)(2)........... 2092 Submission of sequence listings Small........ 5,250 4,200
of more than 800Mb.
1.21(o)(2)........... 3092 Submission of sequence listings Micro........ 2,625 2,100
of more than 800Mb.
1.445(a)(1)(i)(A).... 2601 Transmittal fee................ Small........ 130 104
1.445(a)(1)(i)(A).... 3601 Transmittal fee................ Micro........ 65 52
1.445(a)(2)(i)....... 2602 Search fee--regardless of Small........ 1,090 872
whether there is a
corresponding application (see
35 U.S.C. 361(d) and PCT Rule
16).
1.445(a)(2)(i)....... 3602 Search fee--regardless of Micro........ 545 436
whether there is a
corresponding application (see
35 U.S.C. 361(d) and PCT Rule
16).
1.445(a)(3)(i)....... 2604 Supplemental search fee when Small........ 1,090 872
required, per additional
invention.
1.445(a)(3)(i)....... 3604 Supplemental search fee when Micro........ 545 436
required, per additional
invention.
1.445(a)(4).......... 2621 Transmitting application to Small........ 130 104
Intl. Bureau to act as
receiving office.
1.445(a)(4).......... 3621 Transmitting application to Micro........ 65 52
Intl. Bureau to act as
receiving office.
1.445(a)(5)/1.482(c). 2627 Late furnishing fee for Small........ 160 128
providing a sequence listing
in response to an invitation
under PCT Rule 13ter.
1.445(a)(5)/1.482(c). 3627 Late furnishing fee for Micro........ 80 64
providing a sequence listing
in response to an invitation
under PCT Rule 13ter.
1.482(a)(1)(i)....... 2605 Preliminary examination fee-- Small........ 320 256
U.S. was the ISA.
1.482(a)(1)(i)....... 3605 Preliminary examination fee-- Micro........ 160 128
U.S. was the ISA.
1.482(a)(1)(ii)...... 2606 Preliminary examination fee-- Small........ 400 320
U.S. was not the ISA.
1.482(a)(1)(ii)...... 3606 Preliminary examination fee-- Micro........ 200 160
U.S. was not the ISA.
1.482(a)(2).......... 2607 Supplemental examination fee Small........ 320 256
per additional invention.
1.482(a)(2).......... 3607 Supplemental examination fee Micro........ 160 128
per additional invention.
1.492(a)............. 2631 Basic national stage fee....... Small........ 160 128
1.492(a)............. 3631 Basic national stage fee....... Micro........ 80 64
1.492(b)(2).......... 2641 National stage search fee--U.S. Small........ 70 56
was the ISA.
1.492(b)(2).......... 3641 National stage search fee--U.S. Micro........ 35 28
was the ISA.
1.492(b)(3).......... 2642 National stage search fee-- Small........ 270 216
search report prepared and
provided to USPTO.
1.492(b)(3).......... 3642 National stage search fee-- Micro........ 135 108
search report prepared and
provided to USPTO.
1.492(b)(4).......... 2632 National stage search fee--all Small........ 350 280
other situations.
1.492(b)(4).......... 3632 National stage search fee--all Micro........ 175 140
other situations.
1.492(c)(2).......... 2633 National stage examination fee-- Small........ 400 320
all other situations.
1.492(c)(2).......... 3633 National stage examination fee-- Micro........ 200 160
all other situations.
1.492(d)............. 2614 Each independent claim in Small........ 240 192
excess of three.
1.492(d)............. 3614 Each independent claim in Micro........ 120 96
excess of three.
1.492(e)............. 2615 Each claim in excess of 20..... Small........ 50 40
1.492(e)............. 3615 Each claim in excess of 20..... Micro........ 25 20
1.492(f)............. 2616 Multiple dependent claim....... Small........ 430 344
1.492(f)............. 3616 Multiple dependent claim....... Micro........ 215 172
1.492(h)............. 2617 Search fee, examination fee or Small........ 80 64
oath or declaration after the
date of commencement of the
national stage.
1.492(h)............. 3617 Search fee, examination fee or Micro........ 40 32
oath or declaration after the
date of commencement of the
national stage.
1.492(i)............. 2618 English translation after Small........ 70 56
thirty months from priority
date.
1.492(i)............. 3618 English translation after Micro........ 35 28
thirty months from priority
date.
1.492(j)............. 2681 National stage application size Small........ 210 168
fee--for each additional 50
sheets that exceeds 100 sheets.
1.492(j)............. 3681 National stage application size Micro........ 105 84
fee--for each additional 50
sheets that exceeds 100 sheets.
1.1031(a)............ 2781 Hague International design Small........ 60 48
application--Transmittal Fee.
1.1031(a)............ 3781 Hague International design Micro........ 30 24
application--Transmittal Fee.
41.20(b)(1).......... 2401 Notice of appeal............... Small........ 420 336
41.20(b)(1).......... 3401 Notice of appeal............... Micro........ 210 168
[[Page 17152]]
41.20(b)(2)(ii)...... 2404 Filing a brief in support of an Small........ 1,050 840
appeal in an inter partes
reexamination proceeding.
41.20(b)(2)(ii)...... 3404 Filing a brief in support of an Micro........ 525 420
appeal in an inter partes
reexamination proceeding.
41.20(b)(3).......... 2403 Request for oral hearing....... Small........ 680 544
41.20(b)(3).......... 3403 Request for oral hearing....... Micro........ 340 272
41.20(b)(4).......... 2413 Forwarding an appeal in an Small........ 1,180 944
application or ex parte
reexamination proceeding to
the Board.
41.20(b)(4).......... 3413 Forwarding an appeal in an Micro........ 590 472
application or ex parte
reexamination proceeding to
the Board.
----------------------------------------------------------------------------------------------------------------
Rulemaking Considerations
A. Administrative Procedure Act (APA): This final rule implements
amendments enacted in section 107 of the UAIA on December 29, 2022,
which amended 35 U.S.C. 41(h) and section 10(b) of the America Invents
Act (AIA), Public Law 112-29, 125 Stat. 284, to require the Office to
reduce patent fees for filing, searching, examining, issuing,
appealing, and maintaining patent applications and patents by 60% for
small entities and by 80% for micro entities and to reduce the basic
filing fee for nonprovisional utility applications filed electronically
by 80% for small entities. The changes in this final rule simply
implement the provisions of the UAIA, and involve the rules of agency
practice and procedure, and/or interpretive rules. See Perez v.
Mortgage Bankers Ass'n, 135 S. Ct. 1199, 1204 (2015) (interpretive
rules ``advise the public of the agency's construction of the statutes
and rules which it administers'') (citations and internal quotation
marks omitted); Nat'l Org. of Veterans' Advocates v. Sec'y of Veterans
Affairs, 260 F.3d 1365, 1375 (Fed. Cir. 2001) (rule that clarifies
interpretation of a statute is interpretive); Bachow Commc'ns Inc. v.
FCC, 237 F.3d 683, 690 (D.C. Cir. 2001) (rules governing an application
process are procedural under the Administrative Procedure Act); Inova
Alexandria Hosp. v. Shalala, 244 F.3d 342, 350 (4th Cir. 2001) (rules
for handling appeals are procedural where they do not change the
substantive standard for reviewing claims).
Accordingly, prior notice and opportunity for public comment for
the changes in this rulemaking are not required pursuant to 5 U.S.C.
553(b) or (c), or any other law. See Perez, 135 S. Ct. at 1206 (notice-
and-comment procedures are not required when an agency ``issue[s] an
initial interpretive rule'' or when it amends or repeals that
interpretive rule); Cooper Techs. Co. v. Dudas, 536 F.3d 1330, 1336-37
(Fed. Cir. 2008) (stating that 5 U.S.C. 553, and thus 35 U.S.C.
2(b)(2)(B), do not require notice-and-comment rulemaking for
``interpretative rules, general statements of policy, or rules of
agency organization, procedure, or practice'' (quoting 5 U.S.C.
553(b)(A))).
In addition, the Office finds good cause pursuant to the authority
at 5 U.S.C. 553(b)(B) and (d)(3) to dispense with prior notice and
opportunity for public comment, and to publish this final rule with an
immediate effective date, because such procedures are impracticable and
contrary to the public interest. The discount percentages and the fees
to which they are applicable are set by the terms of the UAIA, and the
Office has no discretion to make changes in those areas. The UAIA
amendments were effective as of the date of enactment of the statute,
which is December 29, 2022. Thus, this final rule revises the patent
fees for filing, searching, examining, issuing, appealing, and
maintaining patent applications and patents, to reflect the new
discount percentages immediately. If this rulemaking were to be delayed
to allow for prior notice and opportunity for public comment and a 30-
day delay in effective date, USPTO's regulations would remain out of
date with the current fees adjusted by statute, which would create
confusion as to current fee amounts. Thus, the USPTO implements this
final rule without prior notice and opportunity for comment and with
immediate effect.
B. Regulatory Flexibility Act: As prior notice and an opportunity
for public comment are not required pursuant to 5 U.S.C. 553 or any
other law, neither a Regulatory Flexibility Act analysis nor a
certification under the Regulatory Flexibility Act (5 U.S.C. 601 et
seq.) is required. See 5 U.S.C. 603.
C. Executive Order 12866 (Regulatory Planning and Review): This
rulemaking has been determined to be not significant for purposes of
Executive Order (E.O.) 12866 (Sept. 30, 1993).
D. Executive Order 13563 (Improving Regulation and Regulatory
Review): The Office has complied with E.O. 13563 (Jan. 18, 2011).
Specifically, the Office has, to the extent feasible and applicable:
(1) made a reasoned determination that the benefits justify the costs
of this final rule; (2) tailored this final rule to impose the least
burden on society consistent with obtaining the regulatory objectives;
(3) selected a regulatory approach that maximizes net benefits; (4)
specified performance objectives; (5) identified and assessed available
alternatives; (6) involved the public in an open exchange of
information and perspectives among experts in relevant disciplines,
affected stakeholders in the private sector, and the public as a whole,
and provided online access to the rulemaking docket; (7) attempted to
promote coordination, simplification, and harmonization across
government agencies and identified goals designed to promote
innovation; (8) considered approaches that reduce burdens and maintain
flexibility and freedom of choice for the public; and (9) ensured the
objectivity of scientific and technological information and processes.
E. Executive Order 13132 (Federalism): This rulemaking does not
contain policies with federalism implications sufficient to warrant
preparation of a Federalism Assessment under E.O. 13132 (Aug. 4, 1999).
F. Executive Order 13175 (Tribal Consultation): This rulemaking
will not: (1) have substantial direct effects on one or more Indian
tribes, (2) impose substantial direct compliance costs on Indian tribal
governments, or (3) preempt tribal law. Therefore, a tribal summary
impact statement is not required under E.O. 13175 (Nov. 6, 2000).
G. Executive Order 13211 (Energy Effects): This rulemaking is not a
significant energy action under E.O. 13211 (May 18, 2001) because this
rulemaking is not likely to have a significant adverse effect on the
supply,
[[Page 17153]]
distribution, or use of energy. Therefore, a Statement of Energy
Effects is not required under E.O. 13211.
H. Executive Order 12988 (Civil Justice Reform): This rulemaking
meets applicable standards to minimize litigation, eliminate ambiguity,
and reduce burden as set forth in sections 3(a) and 3(b)(2) of E.O.
12988 (Feb. 5, 1996).
I. Executive Order 13045 (Protection of Children): This rulemaking
does not concern an environmental risk to health or safety that may
disproportionately affect children under E.O. 13045 (Apr. 21, 1997).
J. Executive Order 12630 (Taking of Private Property): This
rulemaking will not affect a taking of private property or otherwise
have taking implications under E.O. 12630 (Mar. 15, 1988).
K. Congressional Review Act: Under the Congressional Review Act
provisions of the Small Business Regulatory Enforcement Fairness Act of
1996 (5 U.S.C. 801 et seq.), the USPTO will submit a report containing
the final rule and other required information to the United States
Senate, the United States House of Representatives, and the Comptroller
General of the Government Accountability Office. The changes in this
rulemaking are not expected to result in an annual effect on the
economy of $100 million or more, a major increase in costs or prices,
or significant adverse effects on competition, employment, investment,
productivity, innovation, or the ability of United States-based
enterprises to compete with foreign-based enterprises in domestic and
export markets. Therefore, this rulemaking is not expected to result in
a ``major rule'' as defined in 5 U.S.C. 804(2).
L. Unfunded Mandates Reform Act of 1995: The changes set forth in
this rulemaking do not involve a federal intergovernmental mandate that
will result in the expenditure by state, local, and tribal governments,
in the aggregate, of $100 million (as adjusted) or more in any one
year, or a federal private sector mandate that will result in the
expenditure by the private sector of $100 million (as adjusted) or more
in any one year, and will not significantly or uniquely affect small
governments. Therefore, no actions are necessary under the provisions
of the Unfunded Mandates Reform Act of 1995. See 2 U.S.C. 1501 et seq.
M. National Environmental Policy Act: This rulemaking will not have
any effect on the quality of the environment and is thus categorically
excluded from review under the National Environmental Policy Act of
1969. See 42 U.S.C. 4321 et seq.
N. National Technology Transfer and Advancement Act: The
requirements of section 12(d) of the National Technology Transfer and
Advancement Act of 1995 (15 U.S.C. 272 note) are not applicable because
this rulemaking does not contain provisions that involve the use of
technical standards.
O. Paperwork Reduction Act: The Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.) requires that the Office consider the impact of
paperwork and other information collection burdens imposed on the
public. This Final Rule involves information collection requirements
that are subject to review by the OMB under the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501-3549). The collection of information involved
in this Final Rule have been reviewed and previously approved by the
OMB under control numbers: 0651-0016, 0651-0021, 0651-0024, 0651-0031,
0651-0032, 0651-0033, 0651-0059, 0651-0062, 0651-0063, 0651-0064, and
0651-0073. In addition, updates to the aforementioned information
collections as a result of this Final Rule have been submitted to the
OMB as non-substantive change requests.
Notwithstanding any other provision of law, no person is required
to respond to, nor shall any 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.
P. E-Government Act Compliance: The USPTO is committed to
compliance with the E-Government Act to promote the use of the internet
and other information technologies, to provide increased opportunities
for citizen access to Government information and services, and for
other purposes.
List 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, Reporting and recordkeeping requirements.
For the reasons stated in the preamble, the USPTO amends 37 CFR
parts 1 and 41 as follows:
PART 1--RULES OF PRACTICE IN PATENT CASES
0
1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), unless otherwise noted.
0
2. Effective March 22, 2023, Sec. 1.16 is amended by revising the
tables in paragraphs (a) through (s) to read as follows:
Sec. 1.16 National application filing, search, and examination fees.
(a) * * *
Table 1 to Paragraph (a)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $64.00
By a small entity (Sec. 1.27(a))......................... 128.00
By a small entity (Sec. 1.27(a)) if the application is 64.00
submitted in compliance with the USPTO patent electronic
filing system (Sec. 1.27(b)(2)).........................
By other than a small or micro entity...................... 320.00
------------------------------------------------------------------------
(b) * * *
Table 2 to Paragraph (b)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $44.00
By a small entity (Sec. 1.27(a))......................... 88.00
By other than a small or micro entity...................... 220.00
------------------------------------------------------------------------
(c) * * *
Table 3 to Paragraph (c)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $44.00
By a small entity (Sec. 1.27(a))......................... 88.00
By other than a small or micro entity...................... 220.00
------------------------------------------------------------------------
(d) * * *
Table 4 to Paragraph (d)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $60.00
By a small entity (Sec. 1.27(a))......................... 120.00
By other than a small or micro entity...................... 300.00
------------------------------------------------------------------------
(e) * * *
Table 5 to Paragraph (e)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $64.00
By a small entity (Sec. 1.27(a))......................... 128.00
By other than a small or micro entity...................... 320.00
------------------------------------------------------------------------
(f) * * *
Table 6 to Paragraph (f)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $32.00
By a small entity (Sec. 1.27(a))......................... 64.00
[[Page 17154]]
By other than a small or micro entity...................... 160.00
------------------------------------------------------------------------
(g) * * *
Table 7 to Paragraph (g)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $12.00
By a small entity (Sec. 1.27(a))......................... 24.00
By other than a small or micro entity...................... 60.00
------------------------------------------------------------------------
(h) * * *
Table 8 to Paragraph (h)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $96.00
By a small entity (Sec. 1.27(a))......................... 192.00
By other than a small or micro entity...................... 480.00
------------------------------------------------------------------------
(i) * * *
Table 9 to Paragraph (i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $20.00
By a small entity (Sec. 1.27(a))......................... 40.00
By other than a small or micro entity...................... 100.00
------------------------------------------------------------------------
(j) * * *
Table 10 to Paragraph (j)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $172.00
By a small entity (Sec. 1.27(a))......................... 344.00
By other than a small or micro entity...................... 860.00
------------------------------------------------------------------------
(k) * * *
Table 11 to Paragraph (k)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $140.00
By a small entity (Sec. 1.27(a))......................... 280.00
By other than a small or micro entity...................... 700.00
------------------------------------------------------------------------
(l) * * *
Table 12 to Paragraph (l)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $32.00
By a small entity (Sec. 1.27(a))......................... 64.00
By other than a small or micro entity...................... 160.00
------------------------------------------------------------------------
(m) * * *
Table 13 to Paragraph (m)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $88.00
By a small entity (Sec. 1.27(a))......................... 176.00
By other than a small or micro entity...................... 440.00
------------------------------------------------------------------------
(n) * * *
Table 14 to Paragraph (n)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $140.00
By a small entity (Sec. 1.27(a))......................... 280.00
By other than a small or micro entity...................... 700.00
------------------------------------------------------------------------
(o) * * *
Table 15 to Paragraph (o)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $160.00
By a small entity (Sec. 1.27(a))......................... 320.00
By other than a small or micro entity...................... 800.00
------------------------------------------------------------------------
(p) * * *
Table 16 to Paragraph (p)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $128.00
By a small entity (Sec. 1.27(a))......................... 256.00
By other than a small or micro entity...................... 640.00
------------------------------------------------------------------------
(q) * * *
Table 17 to Paragraph (q)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $132.00
By a small entity (Sec. 1.27(a))......................... 264.00
By other than a small or micro entity...................... 660.00
------------------------------------------------------------------------
(r) * * *
Table 18 to Paragraph (r)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $464.00
By a small entity (Sec. 1.27(a))......................... 928.00
By other than a small or micro entity...................... 2,320.00
------------------------------------------------------------------------
(s) * * *
Table 19 to Paragraph (s)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $84.00
By a small entity (Sec. 1.27(a))......................... 168.00
By other than a small or micro entity...................... 420.00
------------------------------------------------------------------------
* * * * *
0
3. Effective April 3, 2023, Sec. 1.16 is further amended by revising
the table in paragraph (u), as added Aug. 3, 2020, at 85 FR 46985,
effective Jan. 1, 2022, and delayed until Jan 1, 2023, at 86 FR 66193,
Nov. 22, 2021, and further delayed until Apr. 3, 2023, at 87 FR 80073,
Dec. 29, 2022, to read as follows:
Sec. 1.16 National application filing, search, and examination fees.
* * * * *
(u) * * *
Table 21 to Paragraph (u)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $80.00
By a small entity (Sec. 1.27(a))......................... 160.00
By a small entity (Sec. 1.27(a)) if the application is 160.00
submitted in compliance with the USPTO patent electronic
filing system (Sec. 1.27(b)(2)).........................
By other than a small or micro entity...................... 400.00
------------------------------------------------------------------------
0
4. Effective March 22, 2023, Sec. 1.17 is amended by revising the
tables in paragraphs (a)(1) through (5), (c), (d), (e)(1) and (2), (f)
through (h), (i)(1), (k), (m), (o), (p), and (r) through (t) to read as
follows:
Sec. 1.17 Patent application and reexamination processing fees.
(a) * * *
(1) * * *
Table 1 to Paragraph (a)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $44.00
By a small entity (Sec. 1.27(a))......................... 88.00
By other than a small or micro entity...................... 220.00
------------------------------------------------------------------------
(2) * * *
Table 2 to Paragraph (a)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $128.00
By a small entity (Sec. 1.27(a))......................... 256.00
By other than a small or micro entity...................... 640.00
------------------------------------------------------------------------
(3) * * *
Table 3 to Paragraph (a)(3)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $296.00
By a small entity (Sec. 1.27(a))......................... 592.00
By other than a small or micro entity...................... 1,480.00
------------------------------------------------------------------------
(4) * * *
Table 4 to Paragraph (a)(4)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $464.00
By a small entity (Sec. 1.27(a))......................... 928.00
By other than a small or micro entity...................... 2,320.00
------------------------------------------------------------------------
(5) * * *
Table 5 to Paragraph (a)(5)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $632.00
By a small entity (Sec. 1.27(a))......................... 1,264.00
By other than a small or micro entity...................... 3,160.00
------------------------------------------------------------------------
* * * * *
(c) * * *
[[Page 17155]]
Table 6 to Paragraph (c)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $840.00
By a small entity (Sec. 1.27(a))......................... 1,680.00
By other than a small or micro entity...................... 4,200.00
------------------------------------------------------------------------
(d) * * *
Table 7 to Paragraph (d)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $128.00
By a small entity (Sec. 1.27(a))......................... 256.00
By other than a small or micro entity...................... 640.00
------------------------------------------------------------------------
(e) * * *
(1) * * *
Table 8 to Paragraph (e)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $272.00
By a small entity (Sec. 1.27(a))......................... 544.00
By other than a small or micro entity...................... 1,360.00
------------------------------------------------------------------------
(2) * * *
Table 9 to Paragraph (e)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $400.00
By a small entity (Sec. 1.27(a))......................... 800.00
By other than a small or micro entity...................... 2,000.00
------------------------------------------------------------------------
(f) * * *
Table 10 to Paragraph (f)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $84.00
By a small entity (Sec. 1.27(a))......................... 168.00
By other than a small or micro entity...................... 420.00
------------------------------------------------------------------------
Sec. 1.36(a)--for revocation of a power of attorney by fewer than all
of the applicants.
Sec. 1.53(e)--to accord a filing date.
Sec. 1.182--for a decision on a question not specifically provided for
in an application for a patent.
Sec. 1.183--to suspend the rules in an application for a patent.
Sec. 1.741(b)--to accord a filing date to an application under Sec.
1.740 for an extension of a patent term.
Sec. 1.1023--to review the filing date of an international design
application.
(g) * * *
Table 11 to Paragraph (g)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $44.00
By a small entity (Sec. 1.27(a))......................... 88.00
By other than a small or micro entity...................... 220.00
------------------------------------------------------------------------
Sec. 1.12--for access to an assignment record.
Sec. 1.14--for access to an application.
Sec. 1.46--for filing an application on behalf of an inventor by a
person who otherwise shows sufficient proprietary interest in the
matter.
Sec. 1.55(f)--for filing a belated certified copy of a foreign
application.
Sec. 1.55(g)--for filing a belated certified copy of a foreign
application.
Sec. 1.57(a)--for filing a belated certified copy of a foreign
application.
Sec. 1.59--for expungement of information.
Sec. 1.103(a)--to suspend action in an application.
Sec. 1.136(b)--for review of a request for an extension of time when
the provisions of Sec. 1.136(a) are not available.
Sec. 1.377--for review of a decision refusing to accept and record
payment of a maintenance fee filed prior to the expiration of a patent.
Sec. 1.550(c)--for patent owner requests for an extension of time in
ex parte reexamination proceedings.
Sec. 1.956--for patent owner requests for an extension of time in
inter partes reexamination proceedings.
Sec. 5.12 of this chapter--for expedited handling of a foreign filing
license.
Sec. 5.15 of this chapter--for changing the scope of a license.
Sec. 5.25 of this chapter--for a retroactive license.
(h) * * *
Table 12 to Paragraph (h)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $28.00
By a small entity (Sec. 1.27(a))......................... 56.00
By other than a small or micro entity...................... 140.00
------------------------------------------------------------------------
Sec. 1.84--for accepting color drawings or photographs.
Sec. 1.91--for entry of a model or exhibit.
Sec. 1.102(d)--to make an application special.
Sec. 1.138(c)--to expressly abandon an application to avoid
publication.
Sec. 1.313--to withdraw an application from issue.
Sec. 1.314--to defer issuance of a patent.
(i) * * *
(1) * * *
Table 13 to Paragraph (i)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $28.00
By a small entity (Sec. 1.27(a))......................... 56.00
By other than a small or micro entity...................... 140.00
------------------------------------------------------------------------
Sec. 1.28(c)(3)--for processing a non-itemized fee deficiency based on
an error in small entity status.
Sec. 1.29(k)(3)--for processing a non-itemized fee deficiency based on
an error in micro entity status.
Sec. 1.41(b)--for supplying the name or names of the inventor or joint
inventors in an application without either an application data sheet or
the inventor's oath or declaration, except in provisional applications.
Sec. 1.48--for correcting inventorship, except in provisional
applications.
Sec. 1.52(d)--for processing a nonprovisional application filed with a
specification in a language other than English.
Sec. 1.53(c)(3)--to convert a provisional application filed under
Sec. 1.53(c) into a nonprovisional application under Sec. 1.53(b).
Sec. 1.71(g)(2)--for processing a belated amendment under Sec.
1.71(g).
Sec. 1.102(e)--for requesting prioritized examination of an
application.
Sec. 1.103(b)--for requesting limited suspension of action, continued
prosecution application for a design patent (Sec. 1.53(d)).
Sec. 1.103(c)--for requesting limited suspension of action, request
for continued examination (Sec. 1.114).
Sec. 1.103(d)--for requesting deferred examination of an application.
Sec. 1.291(c)(5)--for processing a second or subsequent protest by the
same real party in interest.
Sec. 3.81--for a patent to issue to assignee, assignment submitted
after payment of the issue fee.
* * * * *
(k) * * *
Table 15 to Paragraph (k)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $320.00
By a small entity (Sec. 1.27(a))......................... 640.00
By other than a small or micro entity...................... 1,600.00
------------------------------------------------------------------------
* * * * *
(m) * * *
Table 16 to Paragraph (m)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $420.00
By a small entity (Sec. 1.27(a))......................... 840.00
By other than a small or micro entity...................... 2,100.00
------------------------------------------------------------------------
* * * * *
(o) * * *
Table 17 to Paragraph (o)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a small entity (Sec. 1.27(a)) or micro entity (Sec. $72.00
1.29).....................................................
By other than a small or micro entity...................... 180.00
------------------------------------------------------------------------
(p) * * *
Table 18 to Paragraph (p)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $52.00
By a small entity (Sec. 1.27(a))......................... 104.00
[[Page 17156]]
By other than a small or micro entity...................... 260.00
------------------------------------------------------------------------
* * * * *
(r) * * *
Table 19 to Paragraph (r)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $176.00
By a small entity (Sec. 1.27(a))......................... 352.00
By other than a small or micro entity...................... 880.00
------------------------------------------------------------------------
(s) * * *
Table 20 to Paragraph (s)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $176.00
By a small entity (Sec. 1.27(a))......................... 352.00
By other than a small or micro entity...................... 880.00
------------------------------------------------------------------------
(t) * * *
Table 21 to Paragraph (t)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $36.00
By a small entity (Sec. 1.27(a))......................... 72.00
By other than a small or micro entity...................... 180.00
------------------------------------------------------------------------
0
5. Effective March 22, 2023 Sec. 1.18 is amended by revising the
tables in paragraphs (a), (b)(1), and (c) to read as follows:
Sec. 1.18 Patent post allowance (including issue) fees.
(a) * * *
Table 1 to Paragraph (a)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $240.00
By a small entity (Sec. 1.27(a))......................... 480.00
By other than a small or micro entity...................... 1,200.00
------------------------------------------------------------------------
(b)(1) * * *
Table 2 to Paragraph (b)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $148.00
By a small entity (Sec. 1.27(a))......................... 296.00
By other than a small or micro entity...................... 740.00
------------------------------------------------------------------------
* * * * *
(c) * * *
Table 3 to Paragraph (c)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $168.00
By a small entity (Sec. 1.27(a))......................... 336.00
By other than a small or micro entity...................... 840.00
------------------------------------------------------------------------
* * * * *
0
6. Effective March 22, 2023, Sec. 1.20 is amended by revising the
tables in paragraphs (c)(1)(i), (c)(2) through (4), (c)(6) and (7), (e)
through (h), (k)(1) and (2), and (k)(3)(i) and (ii) to read as follows:
Sec. 1.20 Post-issuance fees.
* * * * *
(c) * * *
(1)(i) * * *
Table 1 to Paragraph (c)(1)(i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $1,260.00
By a small entity (Sec. 1.27(a))......................... 2,520.00
By other than a small or micro entity...................... 6,300.00
------------------------------------------------------------------------
* * * * *
(2) * * *
Table 2 to Paragraph (c)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $2,520.00
By a small entity (Sec. 1.27(a))......................... 5,040.00
By other than a small or micro entity...................... 12,600.00
------------------------------------------------------------------------
(3) * * *
Table 3 to Paragraph (c)(3)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $96.00
By a small entity (Sec. 1.27(a))......................... 192.00
By other than a small or micro entity...................... 480.00
------------------------------------------------------------------------
(4) * * *
Table 4 to Paragraph (c)(4)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $20.00
By a small entity (Sec. 1.27(a))......................... 40.00
By other than a small or micro entity...................... 100.00
------------------------------------------------------------------------
* * * * *
(6) * * *
Table 5 to Paragraph (c)(6)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $408.00
By a small entity (Sec. 1.27(a))......................... 816.00
By other than a small or micro entity...................... 2,040.00
------------------------------------------------------------------------
(7) * * *
Table 6 to Paragraph (c)(7)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $756.00
By a small entity (Sec. 1.27(a))......................... 1,512.00
By other than a small or micro entity...................... 3,780.00
------------------------------------------------------------------------
* * * * *
(e) * * *
Table 7 to Paragraph (e)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $400.00
By a small entity (Sec. 1.27(a))......................... 800.00
By other than a small or micro entity...................... 2,000.00
------------------------------------------------------------------------
(f) * * *
Table 8 to Paragraph (f)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $752.00
By a small entity (Sec. 1.27(a))......................... 1,504.00
By other than a small or micro entity...................... 3,760.00
------------------------------------------------------------------------
(g) * * *
Table 9 to Paragraph (g)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $1,540.00
By a small entity (Sec. 1.27(a))......................... 3,080.00
By other than a small or micro entity...................... 7,700.00
------------------------------------------------------------------------
(h) * * *
Table 10 to Paragraph (h)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $100.00
By a small entity (Sec. 1.27(a))......................... 200.00
By other than a small or micro entity...................... $500.00
------------------------------------------------------------------------
* * * * *
(k) * * *
(1) * * *
Table 12 to Paragraph (k)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $924.00
By a small entity (Sec. 1.27(a))......................... 1,848.00
By other than a small or micro entity...................... 4,620.00
------------------------------------------------------------------------
(2) * * *
Table 13 to Paragraph (k)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $2,540.00
By a small entity (Sec. 1.27(a))......................... 5,080.00
By other than a small or micro entity...................... 12,700.00
------------------------------------------------------------------------
(3) * * *
(i) * * *
Table 14 to Paragraph (k)(3)(i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $36.00
By a small entity (Sec. 1.27(a))......................... 72.00
By other than a small or micro entity...................... 180.00
------------------------------------------------------------------------
(ii) * * *
Table 15 to Paragraph (k)(3)(ii)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $60.00
By a small entity (Sec. 1.27(a))......................... 120.00
[[Page 17157]]
By other than a small or micro entity...................... 300.00
------------------------------------------------------------------------
7. Effective March 22, 2023, Sec. 1.21 is amended by revising the
tables in paragraphs (o)(1) and (2) to read as follows:
Sec. 1.21 Miscellaneous fees and charges.
* * * * *
(o) * * *
(1) * * *
Table 1 to Paragraph (o)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $212.00
By a small entity (Sec. 1.27(a))......................... 424.00
By other than a small or micro entity...................... 1,060.00
------------------------------------------------------------------------
(2) * * *
Table 2 to Paragraph (o)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $2,100.00
By a small entity (Sec. 1.27(a))......................... 4,200.00
By other than a small or micro entity...................... 10,500.00
------------------------------------------------------------------------
* * * * *
0
8. Effective March 22, 2023, Sec. 1.445 is amended by:
0
a. Redesignating paragraphs (a)(1)(i)(A) through (C), as paragraphs
(a)(1)(i)(B) through (D);
0
b. Adding new paragraph (a)(1)(i)(A);
0
c. Revising newly redesignated paragraph (a)(1)(i)(B) introductory text
and table heading;
0
d. Revising the table heading in newly redesignated paragraph
(a)(1)(i)(C);
0
e. Revising the table heading in paragraph (a)(1)(ii);
0
f. Redesignating paragraphs (a)(2)(i) through (iii) as paragraphs
(a)(2)(ii) through (iv);
0
g. Adding new paragraph (a)(2)(i);
0
h. Revising newly redesignated paragraph (a)(2)(ii) introductory text
and table heading;
0
i. Revising the table heading in newly redesignated paragraph
(a)(2)(iii);
0
j. Redesignating paragraphs (a)(3)(i) through (iii) as paragraphs
(a)(3)(ii) through (iv);
0
k. Adding new paragraph (a)(3)(i);
0
l. Revising newly redesignated paragraph (a)(3)(ii) introductory text
and table heading;
0
m. Revising the table heading in newly redesignated paragraph
(a)(3)(iii); and
0
n. Revising the table in paragraph (a)(5).
The revisions and additions read as follows:
Sec. 1.445 International application filing, processing and search
fees.
(a) * * *
(1) * * *
(i) * * *
(A) For an international application having a receipt date that is
on or after December 29, 2022:
Table 1 to Paragraph (a)(1)(i)(A)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $52.00
By a small entity (Sec. 1.27(a))......................... 104.00
By other than a small or micro entity...................... 260.00
------------------------------------------------------------------------
(B) For an international application having a receipt date that is
on or after October 2, 2020 and before December 29, 2022:
Table 2 to Paragraph (a)(1)(i)(B)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * *
------------------------------------------------------------------------
(C) * * *
Table 2 to Paragraph (a)(1)(i)(B)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * *
------------------------------------------------------------------------
Table 3 to Paragraph (a)(1)(i)(C)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * *
------------------------------------------------------------------------
(ii) * * *
Table 4 to Paragraph (a)(1)(i)(B)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * *
------------------------------------------------------------------------
(2) * * *
(i) For an international application having a receipt date that is
on or after April 1, 2023:
Table 5 to Paragraph (a)(2)(i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $436.00
By a small entity (Sec. 1.27(a))......................... 872.00
By other than a small or micro entity...................... 2,180.00
------------------------------------------------------------------------
(ii) For an international application having a receipt date that is
on or after October 2, 2020, and before April 1, 2023:
Table 6 to Paragraph (a)(2)(ii)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * * *
------------------------------------------------------------------------
(iii) * * *
Table 7 to Paragraph (a)(2)(iii)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * * *
------------------------------------------------------------------------
(3) * * *
(i) For an international application having a receipt date that is
on or after April 1, 2023:
Table 8 to Paragraph (a)(3)(i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $436.00
By a small entity (Sec. 1.27(a))......................... 872.00
By other than a small or micro entity...................... 2,180.00
------------------------------------------------------------------------
(ii) For an international application having a receipt date that is
on or after October 2, 2020 and before April 1, 2023:
Table 9 to Paragraph (a)(3)(ii)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * * *
------------------------------------------------------------------------
(iii) * * *
Table 10 to Paragraph (a)(3)(iii)
------------------------------------------------------------------------
-------------------------------------------------------------------------
* * * * *
------------------------------------------------------------------------
(5) * * *
Table 11 to Paragraph (a)(5)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $64.00
By a small entity (Sec. 1.27(a))......................... 128.00
By other than a small or micro entity...................... 320.00
------------------------------------------------------------------------
* * * * *
0
9. Effective March 22, 2023, Sec. 1.482 is amended by revising the
tables in paragraphs (a)(1)(i) and (ii), (a)(2), and (c) to read as
follows:
Sec. 1.482 International preliminary examination and processing fees.
(a) * * *
(1) * * *
(i) * * *
Table 1 to Paragraph (a)(1)(i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $128.00
By a small entity (Sec. 1.27(a))......................... 256.00
By other than a small or micro entity...................... 640.00
------------------------------------------------------------------------
(ii) * * *
Table 2 to Paragraph (a)(1)(ii)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $160.00
By a small entity (Sec. 1.27(a))......................... 320.00
By other than a small or micro entity...................... 800.00
------------------------------------------------------------------------
[[Page 17158]]
(2) * * *
Table 3 to Paragraph (a)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $128.00
By a small entity (Sec. 1.27(a))......................... 256.00
By other than a small or micro entity...................... 640.00
------------------------------------------------------------------------
* * * * *
(c) * * *
Table 4 to Paragraph (c)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $64.00
By a small entity (Sec. 1.27(a))......................... 128.00
By other than a small or micro entity...................... 320.00
------------------------------------------------------------------------
10. Effective March 22, 2023, Sec. 1.492 is amended by revising
the tables in paragraphs (a), (b)(2) through (4), (c)(2), (d) through
(f), and (h) through (j) to read as follows.
Sec. 1.492 National stage fees.
* * * * *
(a) * * *
Table 1 to Paragraph (a)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $64.00
By a small entity (Sec. 1.27(a))......................... 128.00
By other than a small or micro entity...................... 320.00
------------------------------------------------------------------------
(b) * * *
(2) * * *
Table 3 to Paragraph (b)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $28.00
By a small entity (Sec. 1.27(a))......................... 56.00
By other than a small or micro entity...................... 140.00
------------------------------------------------------------------------
(3) * * *
Table 4 to Paragraph (b)(3)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $108.00
By a small entity (Sec. 1.27(a))......................... 216.00
By other than a small or micro entity...................... 540.00
------------------------------------------------------------------------
(4) * * *
Table 5 to Paragraph (b)(4)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $140.00
By a small entity (Sec. 1.27(a))......................... 280.00
By other than a small or micro entity...................... 700.00
------------------------------------------------------------------------
(c) * * *
(2) * * *
Table 7 to Paragraph (c)(2)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $160.00
By a small entity (Sec. 1.27(a))......................... 320.00
By other than a small or micro entity...................... 800.00
------------------------------------------------------------------------
(d) * * *
Table 8 to Paragraph (d)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $96.00
By a small entity (Sec. 1.27(a))......................... 192.00
By other than a small or micro entity...................... 480.00
------------------------------------------------------------------------
(e) * * *
Table 9 to Paragraph (e)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $20.00
By a small entity (Sec. 1.27(a))......................... 40.00
By other than a small or micro entity...................... 100.00
------------------------------------------------------------------------
(f) * * *
Table 10 to Paragraph (f)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $172.00
By a small entity (Sec. 1.27(a))......................... 344.00
By other than a small or micro entity...................... 860.00
------------------------------------------------------------------------
* * * * *
(h) * * *
Table 11 to Paragraph (h)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $32.00
By a small entity (Sec. 1.27(a))......................... 64.00
By other than a small or micro entity...................... 160.00
------------------------------------------------------------------------
(i) * * *
Table 12 to Paragraph (i)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $28.00
By a small entity (Sec. 1.27(a))......................... 56.00
By other than a small or micro entity...................... 140.00
------------------------------------------------------------------------
(j) * * *
Table 13 to Paragraph (j)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $84.00
By a small entity (Sec. 1.27(a))......................... 168.00
By other than a small or micro entity...................... 420.00
------------------------------------------------------------------------
0
11. Effective March 22, 2023, Sec. 1.1031 is amended by revising the
table in paragraph (a) to read as follows:
Sec. 1.1031 International design application fees.
(a) * * *
Table 1 to Paragraph (a)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $24.00
By a small entity (Sec. 1.27(a))......................... 48.00
By other than a small or micro entity...................... 120.00
------------------------------------------------------------------------
* * * * *
PART 41--PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD
0
12. The authority citation for 37 CFR part 41 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134,
135, and Pub. L. 112-29.
0
13. Effective March 22, 2023, Sec. 41.20 is amended by revising the
tables in paragraphs (b)(1), (b)(2)(ii), and (b)(3) and (4) to read as
follows:
Sec. 41.20 Fees.
* * * * *
(b) * * *
(1) * * *
Table 1 to Paragraph (b)(1)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $168.00
By a small entity (Sec. 1.27(a))......................... 336.00
By other than a small or micro entity...................... 840.00
------------------------------------------------------------------------
(2) * * *
(ii) * * *
Table 2 to Paragraph (b)(2)(ii)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $420.00
By a small entity (Sec. 1.27(a))......................... 840.00
By other than a small or micro entity...................... 2,100.00
------------------------------------------------------------------------
(3) * * *
Table 3 to Paragraph (b)(3)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $272.00
By a small entity (Sec. 1.27(a))......................... 544.00
By other than a small or micro entity...................... 1,360.00
------------------------------------------------------------------------
(4) * * *
Table 4 to Paragraph (b)(4)
------------------------------------------------------------------------
------------------------------------------------------------------------
By a micro entity (Sec. 1.29)............................ $472.00
By a small entity (Sec. 1.27(a))......................... 944.00
By other than a small or micro entity...................... 2,360.00
------------------------------------------------------------------------
Katherine K. Vidal,
Under Secretary of Commerce for Intellectual Property and Director of
the United States Patent and Trademark Office.
[FR Doc. 2023-05382 Filed 3-21-23; 8:45 am]
BILLING CODE 3510-16-P