2023-05382. Reducing Patent Fees for Small Entities and Micro Entities Under the Unleashing American Innovators Act of 2022
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AGENCY:
United States Patent and Trademark Office, Department of Commerce.
ACTION:
Final rule.
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 § 1.16(u) at instruction 3, which is effective on April 3, 2023.
Applicability: The amendments to §§ 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 § 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.
Start Further InfoFOR FURTHER INFORMATION CONTACT:
Brendan Hourigan, Director, Office of Planning and Budget, by telephone at 571-272-8966, or by email at Brendan.Hourigan@uspto.gov; or Dianne Buie, Director, Forecasting and Analysis Division, by telephone at 571-272-6301, or by email at Dianne.Buie@uspto.gov.
End Further Info End Preamble Start Supplemental InformationSUPPLEMENTARY 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.Start Printed 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 § 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 § 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 § 1.445(a)(5) and § 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
CFR section Fee code Description Entity type Previous fees (dollars) Final rule fees (dollars) 1.16(a) 2011 Basic filing fee—Utility (paper filing also requires non-electronic filing fee under 1.16(t)) Small $160 $128 1.16(a) 3011 Basic filing fee—Utility (paper filing also requires non-electronic filing fee under 1.16(t)) Micro 80 64 1.16(a) 4011 Basic filing fee—Utility (electronic filing for small entity) Small 80 64 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 fee Small 150 120 1.16(d) 3005 Provisional application filing fee Micro 75 60 1.16(e) 2014 Basic filing fee—Reissue Small 160 128 1.16(e) 2019 Basic filing fee—Reissue (Design CPA) Small 160 128 1.16(e) 3014 Basic filing fee—Reissue Micro 80 64 1.16(e) 3019 Basic filing fee—Reissue (Design CPA) Micro 80 64 1.16(f) 2051 Surcharge—Late filing fee, search fee, examination fee, inventor's oath or declaration, or application filed without at least one claim or by reference Small 80 64 1.16(f) 3051 Surcharge—Late filing fee, search fee, examination fee, inventor's oath or declaration, or application filed without at least one claim or by reference Micro 40 32 1.16(g) 2052 Surcharge—Late provisional filing fee or cover sheet Small 30 24 1.16(g) 3052 Surcharge—Late provisional filing fee or cover sheet Micro 15 12 1.16(h) 2201 Each independent claim in excess of three Small 240 192 1.16(h) 2204 Each reissue independent claim in excess of three Small 240 192 1.16(h) 3201 Each independent claim in excess of three Micro 120 96 1.16(h) 3204 Each reissue independent claim in excess of three Micro 120 96 1.16(i) 2202 Each claim in excess of 20 Small 50 40 1.16(i) 2205 Each reissue claim in excess of 20 Small 50 40 1.16(i) 3202 Each claim in excess of 20 Micro 25 20 1.16(i) 3205 Each reissue claim in excess of 20 Micro 25 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 search fee Small 80 64 1.16(l) 3112 Design Search Fee or Design CPA search fee Micro 40 32 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 (Design CPA) search fee Small 350 280 1.16(n) 3114 Reissue search fee or Reissue (Design CPA) search fee Micro 175 140 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 Design CPA examination fee Small 320 256 1.16(p) 3312 Design examination fee or Design CPA examination fee Micro 160 128 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 reissue (Design CPA) examination fee Small 1,160 928 1.16(r) 3314 Reissue examination fee or reissue (Design CPA) examination fee Micro 580 464 Start Printed Page 17149 1.16(s) 2081 Utility application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.16(s) 2082 Design application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.16(s) 2083 Plant application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.16(s) 2084 Reissue application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.16(s) 2085 Provisional application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.16(s) 3081 Utility application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 1.16(s) 3082 Design application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 1.16(s) 3083 Plant application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 1.16(s) 3084 Reissue application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 1.16(s) 3085 Provisional application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 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 first month Small 110 88 1.17(a)(1) 3251 Extension for response within first month Micro 55 44 1.17(a)(2) 2252 Extension for response within second month Small 320 256 1.17(a)(2) 3252 Extension for response within second month Micro 160 128 1.17(a)(3) 2253 Extension for response within third month Small 740 592 1.17(a)(3) 3253 Extension for response within third month Micro 370 296 1.17(a)(4) 2254 Extension for response within fourth month Small 1,160 928 1.17(a)(4) 3254 Extension for response within fourth month Micro 580 464 1.17(a)(5) 2255 Extension for response within fifth month Small 1,580 1,264 1.17(a)(5) 3255 Extension for response within fifth month Micro 790 632 1.17(c) 2817 Request for prioritized examination Small 2,100 1,680 1.17(c) 3817 Request for prioritized examination Micro 1,050 840 1.17(d) 2819 Correction of inventorship after first action on merits Small 320 256 1.17(d) 3819 Correction of inventorship after first action on merits Micro 160 128 1.17(e)(1) 2801 Request for continued examination (RCE)—1st request (see 37 CFR 1.114) Small 680 544 1.17(e)(1) 3801 Request for continued examination (RCE)—1st request (see 37 CFR 1.114) Micro 340 272 1.17(e)(2) 2820 Request for continued examination (RCE)—2nd and subsequent request (see 37 CFR 1.114) Small 1,000 800 1.17(e)(2) 3820 Request for continued examination (RCE)—2nd and subsequent request (see 37 CFR 1.114) Micro 500 400 1.17(f) 2462 Petitions requiring the petition fee set forth in 37 CFR 1.17(f) (Group I) Small 210 168 1.17(f) 3462 Petitions requiring the petition fee set forth in 37 CFR 1.17(f) (Group I) Micro 105 84 1.17(g) 2463 Petitions requiring the petition fee set forth in 37 CFR 1.17(g) (Group II) Small 110 88 1.17(g) 3463 Petitions requiring the petition fee set forth in 37 CFR 1.17(g) (Group II) Micro 55 44 1.17(h) 2464 Petitions requiring the petition fee set forth in 37 CFR 1.17(h) (Group III) Small 70 56 1.17(h) 3464 Petitions requiring the petition fee set forth in 37 CFR 1.17(h) (Group III) Micro 35 28 1.17(i)(1) 2053 Non-English translation Small 70 56 1.17(i)(1) 2830 Processing fee, except in provisional applications Small 70 56 1.17(i)(1) 3053 Non-English translation Micro 35 28 1.17(i)(1) 3830 Processing fee, except in provisional applications Micro 35 28 1.17(k) 2802 Request for expedited examination of a design application Small 800 640 1.17(k) 3802 Request for expedited examination of a design application Micro 400 320 1.17(m) 2453 Petition for revival of an 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 Small 1,050 840 1.17(m) 2454 Petition for the delayed submission of a priority or benefit claim, or to restore the right of priority or benefit Small 1,050 840 1.17(m) 2558 Petition for the delayed payment of the fee for maintaining a patent in force Small 1,050 840 Start Printed Page 17150 1.17(m) 2628 Petition for the extension of the twelve-month (six-month for designs) period for filing a subsequent application Small 1,050 840 1.17(m) 2784 Petition to excuse applicant's failure to act within prescribed time limits in an international design application Small 1,050 840 1.17(m) 3453 Petition for revival of an 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 Micro 525 420 1.17(m) 3454 Petition for the delayed submission of a priority or benefit claim, or to restore the right of priority or benefit Micro 525 420 1.17(m) 3558 Petition for the delayed payment of the fee for maintaining a patent in force Micro 525 420 1.17(m) 3628 Petition for the extension of the twelve-month (six-month for designs) period for filing a subsequent application Micro 525 420 1.17(m) 3784 Petition to excuse applicant's failure to act within prescribed time limits in an international design application Micro 525 420 1.17(o) 2818 Document fee for third-party submissions (see 37 CFR 1.290(f)) Small 90 72 1.17(p) 2806 Submission of an Information Disclosure Statement Small 130 104 1.17(p) 3806 Submission of an Information Disclosure Statement Micro 65 52 1.17(r) 2809 Filing a submission after final rejection (see 37 CFR 1.129(a)) Small 440 352 1.17(r) 3809 Filing a submission after final rejection (see 37 CFR 1.129(a)) Micro 220 176 1.17(s) 2810 For each additional invention to be examined (see 37 CFR 1.129(b)) Small 440 352 1.17(s) 3810 For each additional invention to be examined (see 37 CFR 1.129(b)) Micro 220 176 1.17(t) 2783 Petition to convert an international design application to a design application under 35 U.S.C. chapter 16 Small 90 72 1.17(t) 3783 Petition to convert an international design application to a design application under 35 U.S.C. chapter 16 Micro 45 36 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 (§ 1.510(a)) Streamlined Small 3,150 2,520 1.20(c)(1) 3831 Ex parte Reexamination (§ 1.510(a)) streamlined Micro 1,575 1,260 1.20(c)(2) 2812 Ex parte reexamination (§ 1.510(a)) non-streamlined Small 6,300 5,040 1.20(c)(2) 3812 Ex parte reexamination (§ 1.510(a)) non-streamlined Micro 3,150 2,520 1.20(c)(3) 2821 Each reexamination independent claim in excess of three and also in excess of the number of such claims in the patent under reexamination Small 240 192 1.20(c)(3) 3821 Each reexamination independent claim in excess of three and also in excess of the number of such claims in the patent under reexamination Micro 120 96 1.20(c)(4) 2822 Each reexamination claim in excess of 20 and also in excess of the number of claims in the patent under reexamination Small 50 40 1.20(c)(4) 3822 Each reexamination claim in excess of 20 and also in excess of the number of claims in the patent under reexamination Micro 25 20 1.20(c)(6) 2824 Petitions in a reexamination proceeding, except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d) Small 1,020 816 1.20(c)(6) 3824 Petitions in a reexamination proceeding, except for those specifically enumerated in 37 CFR 1.550(i) and 1.937(d) Micro 510 408 1.20(e) 2551 For maintaining an original or any reissue patent, due at 3.5 years Small 1,000 800 1.20(e) 3551 For maintaining an original or any reissue patent, due at 3.5 years Micro 500 400 1.20(f) 2552 For maintaining an original or any reissue patent, due at 7.5 years Small 1,880 1,504 1.20(f) 3552 For maintaining an original or any reissue patent, due at 7.5 years Micro 940 752 1.20(g) 2553 For maintaining an original or any reissue patent, due at 11.5 years Small 3,850 3,080 1.20(g) 3553 For maintaining an original or any reissue patent, due at 11.5 years Micro 1,925 1,540 1.20(h) 2554 Surcharge—3.5 year—late payment within 6 months Small 250 200 1.20(h) 2555 Surcharge—7.5 year—late payment within 6 months Small 250 200 1.20(h) 2556 Surcharge—11.5 year—late payment within 6 months Small 250 200 1.20(h) 3554 Surcharge—3.5 year—late payment within 6 months Micro 125 100 Start Printed Page 17151 1.20(h) 3555 Surcharge—7.5 year—late payment within 6 months Micro 125 100 1.20(h) 3556 Surcharge—11.5 year—late payment within 6 months Micro 125 100 1.20(k)(1) 2826 Request for supplemental examination Small 2,310 1,848 1.20(k)(1) 3826 Request for supplemental examination Micro 1,155 924 1.20(k)(2) 2827 Reexamination ordered as a result of supplemental examination Small 6,350 5,080 1.20(k)(2) 3827 Reexamination ordered as a result of supplemental examination Micro 3,175 2,540 1.20(k)(3)(i) 2828 Supplemental examination document size fee—for nonpatent document having between 21 and 50 sheets Small 90 72 1.20(k)(3)(i) 3828 Supplemental examination document size fee—for nonpatent document having between 21 and 50 sheets Micro 45 36 1.20(k)(3)(ii) 2829 Supplemental examination document size fee—for each additional 50 sheets or a fraction thereof in a nonpatent document Small 150 120 1.20(k)(3)(ii) 3829 Supplemental examination document size fee—for each additional 50 sheets or a fraction thereof in a nonpatent document Micro 75 60 1.21(o)(1) 2091 Submission of sequence listings of 300Mb to 800Mb Small 530 424 1.21(o)(1) 3091 Submission of sequence listings of 300Mb to 800Mb Micro 265 212 1.21(o)(2) 2092 Submission of sequence listings of more than 800Mb Small 5,250 4,200 1.21(o)(2) 3092 Submission of sequence listings of more than 800Mb Micro 2,625 2,100 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 whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) Small 1,090 872 1.445(a)(2)(i) 3602 Search fee—regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16) Micro 545 436 1.445(a)(3)(i) 2604 Supplemental search fee when required, per additional invention Small 1,090 872 1.445(a)(3)(i) 3604 Supplemental search fee when required, per additional invention Micro 545 436 1.445(a)(4) 2621 Transmitting application to Intl. Bureau to act as receiving office Small 130 104 1.445(a)(4) 3621 Transmitting application to Intl. Bureau to act as receiving office Micro 65 52 1.445(a)(5)/1.482(c) 2627 Late furnishing fee for providing a sequence listing in response to an invitation under PCT Rule 13 ter Small 160 128 1.445(a)(5)/1.482(c) 3627 Late furnishing fee for providing a sequence listing in response to an invitation under PCT Rule 13 ter Micro 80 64 1.482(a)(1)(i) 2605 Preliminary examination fee—U.S. was the ISA Small 320 256 1.482(a)(1)(i) 3605 Preliminary examination fee—U.S. was the ISA Micro 160 128 1.482(a)(1)(ii) 2606 Preliminary examination fee—U.S. was not the ISA Small 400 320 1.482(a)(1)(ii) 3606 Preliminary examination fee—U.S. was not the ISA Micro 200 160 1.482(a)(2) 2607 Supplemental examination fee per additional invention Small 320 256 1.482(a)(2) 3607 Supplemental examination fee per additional invention Micro 160 128 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. was the ISA Small 70 56 1.492(b)(2) 3641 National stage search fee—U.S. was the ISA Micro 35 28 1.492(b)(3) 2642 National stage search fee—search report prepared and provided to USPTO Small 270 216 1.492(b)(3) 3642 National stage search fee—search report prepared and provided to USPTO Micro 135 108 1.492(b)(4) 2632 National stage search fee—all other situations Small 350 280 1.492(b)(4) 3632 National stage search fee—all other situations Micro 175 140 1.492(c)(2) 2633 National stage examination fee—all other situations Small 400 320 1.492(c)(2) 3633 National stage examination fee—all other situations Micro 200 160 1.492(d) 2614 Each independent claim in excess of three Small 240 192 1.492(d) 3614 Each independent claim in excess of three Micro 120 96 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 oath or declaration after the date of commencement of the national stage Small 80 64 1.492(h) 3617 Search fee, examination fee or oath or declaration after the date of commencement of the national stage Micro 40 32 1.492(i) 2618 English translation after thirty months from priority date Small 70 56 1.492(i) 3618 English translation after thirty months from priority date Micro 35 28 1.492(j) 2681 National stage application size fee—for each additional 50 sheets that exceeds 100 sheets Small 210 168 1.492(j) 3681 National stage application size fee—for each additional 50 sheets that exceeds 100 sheets Micro 105 84 1.1031(a) 2781 Hague International design application—Transmittal Fee Small 60 48 1.1031(a) 3781 Hague International design application—Transmittal Fee Micro 30 24 41.20(b)(1) 2401 Notice of appeal Small 420 336 41.20(b)(1) 3401 Notice of appeal Micro 210 168 Start Printed Page 17152 41.20(b)(2)(ii) 2404 Filing a brief in support of an appeal in an inter partes reexamination proceeding Small 1,050 840 41.20(b)(2)(ii) 3404 Filing a brief in support of an appeal in an inter partes reexamination proceeding Micro 525 420 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 application or ex parte reexamination proceeding to the Board Small 1,180 944 41.20(b)(4) 3413 Forwarding an appeal in an application or ex parte reexamination proceeding to the Board Micro 590 472 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. See5 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, Start Printed 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. See2 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. See42 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.
Start List of SubjectsList 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:
Start PartPART 1—RULES OF PRACTICE IN PATENT CASES
End Part Start Amendment Part1. The authority citation for 37 CFR part 1 continues to read as follows:
End Amendment Part Start Amendment Part2. Effective March 22, 2023, § 1.16 is amended by revising the tables in paragraphs (a) through (s) to read as follows:
End Amendment PartNational application filing, search, and examination fees.(a) * * *
Table 1 to Paragraph ( a )
By a micro entity (§ 1.29) $64.00 By a small entity (§ 1.27(a)) 128.00 By a small entity (§ 1.27(a)) if the application is submitted in compliance with the USPTO patent electronic filing system (§ 1.27(b)(2)) 64.00 By other than a small or micro entity 320.00 (b) * * *
Table 2 to Paragraph ( b )
By a micro entity (§ 1.29) $44.00 By a small entity (§ 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 (§ 1.29) $44.00 By a small entity (§ 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 (§ 1.29) $60.00 By a small entity (§ 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 (§ 1.29) $64.00 By a small entity (§ 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 (§ 1.29) $32.00 By a small entity (§ 1.27(a)) 64.00 Start Printed Page 17154 By other than a small or micro entity 160.00 (g) * * *
Table 7 to Paragraph ( g )
By a micro entity (§ 1.29) $12.00 By a small entity (§ 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 (§ 1.29) $96.00 By a small entity (§ 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 (§ 1.29) $20.00 By a small entity (§ 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 (§ 1.29) $172.00 By a small entity (§ 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 (§ 1.29) $140.00 By a small entity (§ 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 (§ 1.29) $32.00 By a small entity (§ 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 (§ 1.29) $88.00 By a small entity (§ 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 (§ 1.29) $140.00 By a small entity (§ 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 (§ 1.29) $160.00 By a small entity (§ 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 (§ 1.29) $128.00 By a small entity (§ 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 (§ 1.29) $132.00 By a small entity (§ 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 (§ 1.29) $464.00 By a small entity (§ 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 (§ 1.29) $84.00 By a small entity (§ 1.27(a)) 168.00 By other than a small or micro entity 420.00 * * * * *3. Effective April 3, 2023, § 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:
End Amendment PartNational application filing, search, and examination fees.* * * * *(u) * * *
Table 21 to Paragraph ( u )
By a micro entity (§ 1.29) $80.00 By a small entity (§ 1.27(a)) 160.00 By a small entity (§ 1.27(a)) if the application is submitted in compliance with the USPTO patent electronic filing system (§ 1.27(b)(2)) 160.00 By other than a small or micro entity 400.00 4. Effective March 22, 2023, § 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:
End Amendment PartPatent application and reexamination processing fees.(a) * * *
(1) * * *
Table 1 to Paragraph ( a )(1)
By a micro entity (§ 1.29) $44.00 By a small entity (§ 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 (§ 1.29) $128.00 By a small entity (§ 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 (§ 1.29) $296.00 By a small entity (§ 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 (§ 1.29) $464.00 By a small entity (§ 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 (§ 1.29) $632.00 By a small entity (§ 1.27(a)) 1,264.00 By other than a small or micro entity 3,160.00 * * * * *(c) * * * Start Printed Page 17155
Table 6 to Paragraph ( c )
By a micro entity (§ 1.29) $840.00 By a small entity (§ 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 (§ 1.29) $128.00 By a small entity (§ 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 (§ 1.29) $272.00 By a small entity (§ 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 (§ 1.29) $400.00 By a small entity (§ 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 (§ 1.29) $84.00 By a small entity (§ 1.27(a)) 168.00 By other than a small or micro entity 420.00 § 1.36(a)—for revocation of a power of attorney by fewer than all of the applicants.
§ 1.53(e)—to accord a filing date.
§ 1.182—for a decision on a question not specifically provided for in an application for a patent.
§ 1.183—to suspend the rules in an application for a patent.
§ 1.741(b)—to accord a filing date to an application under § 1.740 for an extension of a patent term.
§ 1.1023—to review the filing date of an international design application.
(g) * * *
Table 11 to Paragraph ( g )
By a micro entity (§ 1.29) $44.00 By a small entity (§ 1.27(a)) 88.00 By other than a small or micro entity 220.00 § 1.12—for access to an assignment record.
§ 1.14—for access to an application.
§ 1.46—for filing an application on behalf of an inventor by a person who otherwise shows sufficient proprietary interest in the matter.
§ 1.55(f)—for filing a belated certified copy of a foreign application.
§ 1.55(g)—for filing a belated certified copy of a foreign application.
§ 1.57(a)—for filing a belated certified copy of a foreign application.
§ 1.59—for expungement of information.
§ 1.103(a)—to suspend action in an application.
§ 1.136(b)—for review of a request for an extension of time when the provisions of § 1.136(a) are not available.
§ 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.
§ 1.550(c)—for patent owner requests for an extension of time in ex parte reexamination proceedings.
§ 1.956—for patent owner requests for an extension of time in inter partes reexamination proceedings.
§ 5.12 of this chapter—for expedited handling of a foreign filing license.
§ 5.15 of this chapter—for changing the scope of a license.
§ 5.25 of this chapter—for a retroactive license.
(h) * * *
Table 12 to Paragraph ( h )
By a micro entity (§ 1.29) $28.00 By a small entity (§ 1.27(a)) 56.00 By other than a small or micro entity 140.00 § 1.84—for accepting color drawings or photographs.
§ 1.91—for entry of a model or exhibit.
§ 1.102(d)—to make an application special.
§ 1.138(c)—to expressly abandon an application to avoid publication.
§ 1.313—to withdraw an application from issue.
§ 1.314—to defer issuance of a patent.
(i) * * *
(1) * * *
Table 13 to Paragraph ( i )(1)
By a micro entity (§ 1.29) $28.00 By a small entity (§ 1.27(a)) 56.00 By other than a small or micro entity 140.00 § 1.28(c)(3)—for processing a non-itemized fee deficiency based on an error in small entity status.
§ 1.29(k)(3)—for processing a non-itemized fee deficiency based on an error in micro entity status.
§ 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.
§ 1.48—for correcting inventorship, except in provisional applications.
§ 1.52(d)—for processing a nonprovisional application filed with a specification in a language other than English.
§ 1.53(c)(3)—to convert a provisional application filed under § 1.53(c) into a nonprovisional application under § 1.53(b).
§ 1.71(g)(2)—for processing a belated amendment under § 1.71(g).
§ 1.102(e)—for requesting prioritized examination of an application.
§ 1.103(b)—for requesting limited suspension of action, continued prosecution application for a design patent (§ 1.53(d)).
§ 1.103(c)—for requesting limited suspension of action, request for continued examination (§ 1.114).
§ 1.103(d)—for requesting deferred examination of an application.
§ 1.291(c)(5)—for processing a second or subsequent protest by the same real party in interest.
§ 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 (§ 1.29) $320.00 By a small entity (§ 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 (§ 1.29) $420.00 By a small entity (§ 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 (§ 1.27(a)) or micro entity (§ 1.29) $72.00 By other than a small or micro entity 180.00 (p) * * *
Table 18 to Paragraph ( p )
By a micro entity (§ 1.29) $52.00 By a small entity (§ 1.27(a)) 104.00 Start Printed Page 17156 By other than a small or micro entity 260.00 * * * * *(r) * * *
Table 19 to Paragraph ( r )
By a micro entity (§ 1.29) $176.00 By a small entity (§ 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 (§ 1.29) $176.00 By a small entity (§ 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 (§ 1.29) $36.00 By a small entity (§ 1.27(a)) 72.00 By other than a small or micro entity 180.00 5. Effective March 22, 2023 § 1.18 is amended by revising the tables in paragraphs (a), (b)(1), and (c) to read as follows:
End Amendment PartPatent post allowance (including issue) fees.(a) * * *
Table 1 to Paragraph (a)
By a micro entity (§ 1.29) $240.00 By a small entity (§ 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 (§ 1.29) $148.00 By a small entity (§ 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 (§ 1.29) $168.00 By a small entity (§ 1.27(a)) 336.00 By other than a small or micro entity 840.00 * * * * *6. Effective March 22, 2023, § 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:
End Amendment PartPost-issuance fees.* * * * *(c) * * *
(1)(i) * * *
Table 1 to Paragraph (c)(1)(i)
By a micro entity (§ 1.29) $1,260.00 By a small entity (§ 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 (§ 1.29) $2,520.00 By a small entity (§ 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 (§ 1.29) $96.00 By a small entity (§ 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 (§ 1.29) $20.00 By a small entity (§ 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 (§ 1.29) $408.00 By a small entity (§ 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 (§ 1.29) $756.00 By a small entity (§ 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 (§ 1.29) $400.00 By a small entity (§ 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 (§ 1.29) $752.00 By a small entity (§ 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 (§ 1.29) $1,540.00 By a small entity (§ 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 (§ 1.29) $100.00 By a small entity (§ 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 (§ 1.29) $924.00 By a small entity (§ 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 (§ 1.29) $2,540.00 By a small entity (§ 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 (§ 1.29) $36.00 By a small entity (§ 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 (§ 1.29) $60.00 By a small entity (§ 1.27(a)) 120.00 Start Printed Page 17157 By other than a small or micro entity 300.00 7. Effective March 22, 2023, § 1.21 is amended by revising the tables in paragraphs (o)(1) and (2) to read as follows:
Miscellaneous fees and charges.* * * * *(o) * * *
(1) * * *
Table 1 to Paragraph ( o )(1)
By a micro entity (§ 1.29) $212.00 By a small entity (§ 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 (§ 1.29) $2,100.00 By a small entity (§ 1.27(a)) 4,200.00 By other than a small or micro entity 10,500.00 * * * * *8. Effective March 22, 2023, § 1.445 is amended by:
End Amendment Part Start Amendment Parta. Redesignating paragraphs (a)(1)(i)(A) through (C), as paragraphs (a)(1)(i)(B) through (D);
End Amendment Part Start Amendment Partb. Adding new paragraph (a)(1)(i)(A);
End Amendment Part Start Amendment Partc. Revising newly redesignated paragraph (a)(1)(i)(B) introductory text and table heading;
End Amendment Part Start Amendment Partd. Revising the table heading in newly redesignated paragraph (a)(1)(i)(C);
End Amendment Part Start Amendment Parte. Revising the table heading in paragraph (a)(1)(ii);
End Amendment Part Start Amendment Partf. Redesignating paragraphs (a)(2)(i) through (iii) as paragraphs (a)(2)(ii) through (iv);
End Amendment Part Start Amendment Partg. Adding new paragraph (a)(2)(i);
End Amendment Part Start Amendment Parth. Revising newly redesignated paragraph (a)(2)(ii) introductory text and table heading;
End Amendment Part Start Amendment Parti. Revising the table heading in newly redesignated paragraph (a)(2)(iii);
End Amendment Part Start Amendment Partj. Redesignating paragraphs (a)(3)(i) through (iii) as paragraphs (a)(3)(ii) through (iv);
End Amendment Part Start Amendment Partk. Adding new paragraph (a)(3)(i);
End Amendment Part Start Amendment Partl. Revising newly redesignated paragraph (a)(3)(ii) introductory text and table heading;
End Amendment Part Start Amendment Partm. Revising the table heading in newly redesignated paragraph (a)(3)(iii); and
End Amendment Part Start Amendment Partn. Revising the table in paragraph (a)(5).
End Amendment PartThe revisions and additions read as follows:
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 (§ 1.29) $52.00 By a small entity (§ 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 (§ 1.29) $436.00 By a small entity (§ 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 (§ 1.29) $436.00 By a small entity (§ 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 (§ 1.29) $64.00 By a small entity (§ 1.27(a)) 128.00 By other than a small or micro entity 320.00 * * * * *9. Effective March 22, 2023, § 1.482 is amended by revising the tables in paragraphs (a)(1)(i) and (ii), (a)(2), and (c) to read as follows:
End Amendment PartInternational preliminary examination and processing fees.(a) * * *
(1) * * *
(i) * * *
Table 1 to Paragraph ( a )(1)( i )
By a micro entity (§ 1.29) $128.00 By a small entity (§ 1.27(a)) 256.00 By other than a small or micro entity 640.00 (ii) * * *
Start Printed Page 17158Table 2 to Paragraph ( a )(1)( ii )
By a micro entity (§ 1.29) $160.00 By a small entity (§ 1.27(a)) 320.00 By other than a small or micro entity 800.00 (2) * * *
Table 3 to Paragraph ( a )(2)
By a micro entity (§ 1.29) $128.00 By a small entity (§ 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 (§ 1.29) $64.00 By a small entity (§ 1.27(a)) 128.00 By other than a small or micro entity 320.00 10. Effective March 22, 2023, § 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.
National stage fees.* * * * *(a) * * *
Table 1 to Paragraph ( a )
By a micro entity (§ 1.29) $64.00 By a small entity (§ 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 (§ 1.29) $28.00 By a small entity (§ 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 (§ 1.29) $108.00 By a small entity (§ 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 (§ 1.29) $140.00 By a small entity (§ 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 (§ 1.29) $160.00 By a small entity (§ 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 (§ 1.29) $96.00 By a small entity (§ 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 (§ 1.29) $20.00 By a small entity (§ 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 (§ 1.29) $172.00 By a small entity (§ 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 (§ 1.29) $32.00 By a small entity (§ 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 (§ 1.29) $28.00 By a small entity (§ 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 (§ 1.29) $84.00 By a small entity (§ 1.27(a)) 168.00 By other than a small or micro entity 420.00 11. Effective March 22, 2023, § 1.1031 is amended by revising the table in paragraph (a) to read as follows:
End Amendment PartInternational design application fees.(a) * * *
Table 1 to Paragraph ( a )
By a micro entity (§ 1.29) $24.00 By a small entity (§ 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
End Part Start Amendment Part12. The authority citation for 37 CFR part 41 continues to read as follows:
End Amendment Part Start Amendment Part13. Effective March 22, 2023, § 41.20 is amended by revising the tables in paragraphs (b)(1), (b)(2)(ii), and (b)(3) and (4) to read as follows:
End Amendment PartFees.* * * * *(b) * * *
(1) * * *
Table 1 to Paragraph ( b )(1)
By a micro entity (§ 1.29) $168.00 By a small entity (§ 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 (§ 1.29) $420.00 By a small entity (§ 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 (§ 1.29) $272.00 By a small entity (§ 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 (§ 1.29) $472.00 By a small entity (§ 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
Document Information
- Effective Date:
- 3/22/2023
- Published:
- 03/22/2023
- Department:
- Patent and Trademark Office
- Entry Type:
- Rule
- Action:
- Final rule.
- Document Number:
- 2023-05382
- 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.
- Pages:
- 17147-17158 (12 pages)
- Docket Numbers:
- Docket No. PTO-P-2023-0005
- RINs:
- 0651-AD66
- Topics:
- Administrative practice and procedure, Biologics, Courts, Freedom of information, Inventions and patents, Lawyers, Reporting and recordkeeping requirements, Small businesses
- PDF File:
- 2023-05382.pdf
- CFR: (10)
- 37 CFR 1.16
- 37 CFR 1.17
- 37 CFR 1.18
- 37 CFR 1.20
- 37 CFR 1.21
- More ...