Source: http://thefederalregister.com/2012/09/05/2012-21974.html
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Federal Register | CPI Adjustment of Patent Fees for Fiscal Year 2013
[PTO-C-2011-0007]
SUMMARY: The United States Patent and Trademark Office (Office or USPTO) is adjusting certain patent fee amounts for fiscal year 2013 to reflect fluctuations in the Consumer Price Index (CPI). The patent statute provides for the annual CPI adjustment of patent fees set by statute to recover the higher costs associated with doing business as reflected by the CPI.
DATES: This final rule is effective on October 5, 2012.
FOR FURTHER INFORMATION CONTACT: Gilda Lee by email atGilda.Lee@uspto.gov,by telephone at (571) 272-8698, or by fax at (571) 273-8698.
Purpose:Section 41(f) of Title 35 of the United States Code provides the USPTO with the authority to adjust certain statutory patent fees to reflect fluctuations during the preceding twelve months in the Consumer Price Index (CPI). The purpose of this provision is to allow the USPTO to recover higher costs of providing services as reflected by the CPI. This final rule sets forth which fees will be adjusted and how the adjustment is calculated based on the current fluctuation in the CPI over the twelve months preceding this notice.
Summary of Major Provisions:The USPTO is adjusting certain patent fees in accordance with 35 U.S.C. 41(f), as amended by the Consolidated Appropriations Act (Pub. L. 108-447, 118 Stat. 2809 (2004)) and the Leahy-Smith America Invents Act (Pub. L. 112-29). The fee increase helps the USPTO to meet its strategic goals and maintain effective and efficient operation of the patent system.
Costs and Benefits:This rulemaking is not economically significant as that term is defined in Executive Order 12866 (Sept. 30, 1993).
Statutory Provisions:Patent fees are set by or under the authority provided in 35 U.S.C. 41, 119, 120, 132(b), 156, 157(a), 255, 302, 311, 376, section 532(a)(2) of the Uruguay Round Agreements Act (URAA) (Pub. L. 103-465, § 532(a)(2), 108 Stat. 4809, 4985 (1994)), and section 4506 of the American Inventors Protection Act of 1999 (AIPA) (Pub. L. 106-113, 113 Stat. 1501, 1501A-565 (1999)). For fees paid under 35 U.S.C. 41(a) and (b) and 132(b), independent inventors, small business concerns, and nonprofit organizations who meet the requirements of 35 U.S.C. 41(h)(1) are entitled to a fifty-percent reduction.
Fee Adjustment Level:The patent statutory fees established by 35 U.S.C. 41(a) and (b) are adjusted to reflect the most recent fluctuations occurring during the twelve-month period prior to publication of the final rule implementing this CPI adjustment, as measured by the Consumer Price Index for All Urban Consumers (CPI-U). The Office of Management and Budget (OMB) has advised that in calculating these fluctuations, the USPTO should use CPI-U data as determined by the Secretary of Labor, which is found at“http://www.bls.gov/cpi/”.In accordance with the above description of the statutory fee adjustment, the USPTO is adjusting patent statutory fee amounts based on the Administration's CPI-U for the twelve-month period ending June 30, 2012.
General Procedures:Any fee amount adjusted by the final rule that is paid on or after the effective date of the fee adjustment enacted by the final rule is subject to the new fees in effect. The amount of the fee to be paid for a given item will be determined by the time of filing of that item with the Office. The time of filing will be determined either according to the date of receipt in the Office (37 CFR 1.6) or the date reflected on a proper Certificate of Mailing or Transmission, where such a certificate is authorized under 37 CFR 1.8. Use of a Certificate of Mailing or Transmission is not authorized for items that are specifically excluded from the provisions of 37 CFR 1.8. Items for which a Certificate of Mailing or Transmission under 37 CFR 1.8 is not authorized include, for example, filing of national and international applications for patents.See37 CFR 1.8(a)(2).
37 CFR 1.16 National application filing, and examination fees:Section 1.16, paragraphs (a) through (e), (h) through (j) and (o) through (s), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
37 CFR 1.17 Patent application and reexamination processing fees:Section 1.17, paragraphs (a)(1) through (a)(5), (l), and (m), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
37 CFR 1.18 Patent post allowance (including issue) fees:Section 1.18, paragraphs (a) through (c), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
37 CFR 1.20 Post issuance fees:Section 1.20, paragraphs (c)(3)-(c)(4), and (d) through (g), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
37 CFR 1.492 National stage fees:Section 1.492, paragraphs (a), (c)(2), (d) through (f) and (j), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
37 CFR 41.20 Fees:Section 41.20, paragraphs (b)(1) through (b)(3), is revised to adjust fees established therein to reflect fluctuations in the CPI-U. See Table 1.
Fee Amount Adjustments:Table 1 shows the adjusted patent statutory fee amounts and fee adjustments based on the June 2011 to June 2012 annual CPI-U increase of 1.7%. The other than small entity fee amounts have been adjusted by 1.7%. These fee amounts were then rounded by applying standard arithmetic rules. Fees for other than a small entity of $100 or more were rounded to the nearest $10. Fees of less than $100 were rounded to the nearest even number. The small entity fee amounts are 50% of the large entity fee amounts.
Table 1—Fee Adjustment Calculations Based on CPI-U Adjustment of 1.7% 37 CFR Fee title Current fee
1.16(a)(1) Filing of Utility Patent Application (on or after 12/8/2004) $380
(SE) $190
SE $195
1.16(a)(1) Filing of Utility Patent Application (electronic filing for small entities) (on or after 12/8/2004) $95 $98 $3 1.16(b)(1) Filing of Design Patent Application (on or after 12/8/2004) $250
SE $125
SE $0
1.16(b)(1) Filing of Design Patent Application (Continued Prosecution Application) (on or after 12/8/2004) $250
1.16(c)(1) Filing of Plant Patent Application (on or after 12/8/2004) $250
1.16(d) Provisional Application Filing $250
1.16(e)(1) Filing of Reissue Patent Application (on or after 12/8/2004) $380
SE $190
1.16(e)(1) Filing of Reissue Patent Application (CPA) (on or after 12/8/2004) $380
1.16(h) Independent Claims in Excess of Three $250
1.16(h) Reissue Independent Claims in Excess of Three $250
1.16(i) Claims in Excess of Twenty $60
SE $31
SE $1
1.16(i) Reissue Total Claims in Excess of Twenty $60
1.16(j) Multiple Dependent Claims $450
SE $230
1.16(o) Utility Patent Examination $250
1.16(p) Design Patent Examination $160
SE $80
1.16(q) Plant Patent Examination $200
1.16(r) Reissue Patent Examination $750
SE $375
SE $380
1.16(s) Utility Application Size Fee—For each additional 50 sheets that exceeds 100 sheets $310
SE $155
1.16(s) Design Application Size Fee—For each additional 50 sheets that exceeds 100 sheets $310
1.16(s) Plant Application Size Fee—For each additional 50 sheets that exceeds 100 sheets $310
1.16(s) Reissue Application Size Fee—For each additional 50 sheets that exceeds 100 sheets $310
1.16(s) Provisional Application Size Fee—For each additional 50 sheets that exceeds 100 sheets $310
1.17(a)(1) Extension for Response within First Month $150
SE $75
1.17(a)(2) Extension for Response within Second Month $560
SE $280
SE $285
1.17(a)(3) Extension for Response within Third Month $1,270
SE $635
SE $645
1.17(a)(4) Extension for Response within Fourth Month $1,980
SE $990
SE $1,005
1.17(a)(5) Extension for Resonse within Fifth Month $2,690
SE $1,345
SE $1,365
1.17(l) Petition to Revive Unavoidably Abandoned Application $620
SE $310
SE $315
1.17(m) Petition to Revive Unintentionally Abandoned Application $1,860
SE $930
SE $945
1.18(a) Utility Issue $1,740
SE $870
SE $885
1.18(a) Reissue Issue $1,740
1.18(b) Design Issue $990
SE $495
SE $505
1.18(c) Plant Issue $1,370
SE $685
SE $695
1.20(c)(3) Reexamination Independent Claims in Excess of Three $250
1.20(c)(4) Reexamination Total Claims in Excess of Twenty $60
1.20(d) Statutory Disclaimer $160
1.20(e) First Stage Maintenance $1,130
SE $565
SE $575
1.20(f) Second Stage Maintenance $2,850
SE $1,425
SE $1,450
1.20(g) Third Stage Maintenance $4,730
SE $2,365
SE $2,405
1.492(a) Filing of PCT National Stage Application $380
1.492(b)(3) PCT National Stage Search Search Report Prepared and Provided to USPTO $490
SE $245
SE $250
1.492(b)(4) PCT National Stage Search—All Other Situations $620
1.492(c)(2) PCT National Stage Examination—All Other Situations $250
1.492(d) Independent Claims in Excess of Three $250
1.492(e) Total Claims in Excess of Twenty $60
1.492(f) Multiple Dependent Claims $450
1.492(j) PCT National Stage Application Size Fee $310
41.20(b)(1) Notice of Appeal $620
41.20(b)(2) Filing a Brief in Support of an Appeal $620
41.20(b)(3) Request for Oral Hearing $1,240
SE $620
SE $630
Comment and Response to Comment:The USPTO published a notice proposing to adjust the patent fees charged under 35 U.S.C. 41(a) and (b) for fiscal year 2013 to reflect fluctuations in the CPI. The Office received one comment in response to the proposed rule. The commenter supports the proposed CPI adjustment of fees for FY 2013 as an interim fee increase until the USPTO exercises its fee-setting authority under Section 10 of the AIA. However, because of the significant administrative burdens on corporations and patent law firms to adjust their internal systems for paying fees and correctly advising clients of fee increases, it is suggested there should not be more than one fee adjustment per year. The commenter suggests that in future years, CPI adjustments and Section 10 adjustments should be timed so as to avoid having two separate adjustments in the same year. The Office's response is patent fees are being set under 35 U.S.C. 41(a) and (b) to ensure proper funding for effective operations. As previously discussed, this interim increase in fees is necessary to allow the USPTO to meet its strategic goals within the time frame outlined in the FY 2013 President's Budget. In the future, the USPTO does not anticipate routinely adjusting patent fees more than once per fiscal year.
Rulemaking Considerations Final Regulatory Flexibility Analysis
1.Description of the reasons that action by the agency is being considered:The USPTO is adjusting the patent fees set under 35 U.S.C. 41(a) and (b) to ensure proper funding for effective operations. The patent fee CPI adjustment under 35 U.S.C. 41(f) is a routine adjustment that has generally occurred on an annual basis when necessary to recover the higher costs of USPTO operations that occur due to the increase in the price of products and services.
2.Statement of the objectives of, and legal basis for, the final rule:Patent fees are set by or under the authority provided in 35 U.S.C. 41, 119, 120, 132(b), 156, 157(a), 255, 302, 311, 376, section 532(a)(2) of the URAA, and 4506 of the AIPA. The objective of the change is to adjust patent fees set under 35 U.S.C. 41(a) and (b) as an annual, routine step in order to recover the higher costs of USPTO operations as reflected by the CPI. 35 U.S.C. 41(f) provides that fees established under 35 U.S.C. 41(a) and (b) may be adjusted every year to reflect fluctuations in the CPI over the previous twelve months.
3.Statement of Significant Issues Raised by the Public Comments in Response to the IRFA and the Office's Response to Such Issues:The Office received no comments concerning the Initial Regulatory Flexibility Act analysis.
4.Description and estimate of the number of affected small entities:The Small Business Administration (SBA) small business size standards applicable to most analyses conducted to comply with the Regulatory Flexibility Act are set forth in 13 CFR 121.201. These regulations generally define small businesses as those with fewer than a maximum number of employees or less than a specified level of annual receipts for the entity's industrial sector or North American Industry Classification System (NAICS) code. The USPTO, however, has formally adopted, with SBA approval, an alternate size standard as the size standard for the purpose of conducting an analysis or making a certification under the Regulatory Flexibility Act for patent-related regulations.See Business Size Standard for Purposes of United States Patent and Trademark Office Regulatory Flexibility Analysis for Patent-Related Regulations,71 FR 67109 (Nov. 20, 2006), 1313Off. Gaz. Pat. Office60 (Dec. 12, 2006). This alternate small business size standard is the previously established size standard that identifies the criteria entities must meet to be entitled to pay reduced patent fees. See 13 CFR 121.802. If patent applicants identify themselves on the patent application as qualifying for reduced patent fees, the USPTO captures this data in the Patent Application Location and Monitoring (PALM) database system, which tracks information on each patent application submitted to the USPTO.
Unlike the general SBA small business size standards set forth in 13 CFR 121.201, USPTO's approved alternative size standard is not industry-specific. Specifically, the USPTO definition of small business concern for Regulatory Flexibility Act purposes is a business or other concern that: (1) Meets the SBA's definition of a “business concern or concern” set forth in 13 CFR 121.105; and (2) meets the size standards set forth in 13 CFR 121.802 for the purpose of paying reduced patent fees, namely, an entity: (a) Whose number of employees, including affiliates, does not exceed 500 persons; and (b) which has not assigned, granted, conveyed, or licensed (and is under no obligation to do so) any rights in the invention to any person who made it and could not be classified as an independent inventor, or to any concern which would not qualify as a non-profit organization or a small business concern under this definition.See Business Size Standard for Purposes of United States Patent and Trademark Office Regulatory Flexibility Analysis for Patent-Related Regulations,71 FR at 67112 (November 20, 2006), 1313Off. Gaz. Pat. Officeat 63 (December 12, 2006).
The USPTO has been advised that a number of small entity applicants and patentees do not claim small entity status for various reasons.See Business Size Standard for Purposes of United States Patent and Trademark Office Regulatory Flexibility Analysis for Patent-Related Regulations,71 FR at 67110 (November 20, 2006), 1313Off. Gaz. Pat. Officeat 61 (December 12, 2006). Therefore, the USPTO is also considering all other entities paying patent fees to be small entities as well in an effort to capture the impact on allsmall entity applicants whether they claim that status or not. While the USPTO does not record the number of small entity filers in a given year, the USPTO estimates that in FY 2011, of the patent fees where a small entity discount is available, 3,980,519 patent fees were paid, out of which 1,190,558 fees claimed the small entity discount.
5.Description of the reporting, recordkeeping and other compliance requirements of the final rule, including an estimate of the classes of small entities which will be subject to the requirement and the type of professional skills necessary for preparation of the report or record:This final rule does not require any reporting or recordkeeping or incorporate other compliance requirements. This final rule only adjusts patent fees (as discussed previously) to reflect changes in the CPI.
6.Description of any significant alternatives to the final rule which accomplish the stated objectives of applicable statutes and which minimize any significant economic impact of the rule on small entities:The alternative of not adjusting patent fees would have a lesser economic impact on small entities, but would not accomplish the stated objectives of the applicable statutes. The USPTO is making a small adjustment to patent fees, under 35 U.S.C. 41(f), to ensure proper funding for effective operations in light of changes in the CPI. The patent fee CPI adjustment is a routine adjustment that has generally occurred on an annual basis to recover the higher costs of USPTO operations that occur due to increases in the price of products and services. This CPI adjustment helps the Office maintain effective operations and decrease patent pendency levels.
7.Identification, to the extent practicable, of all relevant Federal rules which may duplicate, overlap or conflict with the final rule:The USPTO is the sole agency of the United States Government responsible for administering the provisions of Title 35, United States Code, pertaining to examination and granting patents. Therefore, no other Federal, state, or local entity shares jurisdiction over the examination and granting of patents and there are no duplicative, overlapping or conflicting rules.
Under the Congressional Review Act provisions of the Small Business Regulatory Enforcement Fairness Act of 1996 (5 U.S.C. 801et seq.), the USPTO has submitted a report containing the final rule and other required information to the U.S. Senate, the U.S. House of Representatives and the Comptroller General of the Government Accountability Office. The changes in this final rule will not result in an annual effect on the economy of 100 million dollars 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 final rule is not a “major rule” as defined in 5 U.S.C. 804(2).
The changes in this final rule 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 dollars (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 dollars (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 UnfundedMandates Reform Act of 1995.See2 U.S.C. 1501et seq.
This rulemaking will not have any effect on the quality of environment and is thus categorically excluded from review under the National Environmental Policy Act of 1969.See42 U.S.C. 4321et seq.
This final rule involves information collection requirements which are subject to review by the Office of Management and Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501et seq.).
Administrative practice and procedure, Courts, Freedom of information, Inventions and patents, Reporting and record keeping requirements, Small businesses.
PART 1—RULES OF PRACTICE IN PATENT CASES 1. The authority citation for 37 CFR Part 1 continues to read as follows: Authority:
By a small entity (§ 1.27(a)) if the application is submitted in compliance with the Office electronic filing system (§ 1.27(b)(2)): $98.00 By a small entity (§ 1.27(a)) $195.00 By other than a small entity $390.00
(1) For an application filed on or after December 8, 2004: By a small entity (§ 1.27(a)) $125.00 By other than a small entity $250.00
By a small entity (§ 1.27(a)) $125.00 By other than a small entity $250.00
(1) For an application filed on or after December 8, 2004: By a small entity (§ 1.27(a)) $195.00 By other than a small entity $390.00
By a small entity (§ 1.27(a)) $31.00 By other than a small entity $62.00
By a small entity (§ 1.27(a)) $230.00 By other than a small entity $460.00
By a small entity (§ 1.27(a)) $80.00 By other than a small entity $160.00
By a small entity (§ 1.27(a)) $100.00 By other than a small entity $200.00
By a small entity (§ 1.27(a)) $380.00 By other than a small entity $760.00
By a small entity (§ 1.27(a)) $160.00 By other than a small entity $320.00
(1) For reply within first month: By a small entity (§ 1.27(a)) $75.00 By other than a small entity $150.00 (2) For reply within second month: By a small entity (§ 1.27(a)) $285.00 By other than a small entity $570.00 (3) For reply within third month: By a small entity (§ 1.27(a)) $645.00 By other than a small entity $1,290.00 (4) For reply within fourth month: By a small entity (§ 1.27(a)) $1,005.00 By other than a small entity $2,010.00 (5) For reply within fifth month: By a small entity (§ 1.27(a)) $1,365.00 By other than a small entity $2,730.00
(l) For filing a petition for the revival of an unavoidably abandoned application under 35 U.S.C. 111, 133, 364, or 371, for the unavoidably delayed payment of the issue fee under 35 U.S.C. 151, or for the revival of an unavoidably terminated reexamination proceeding under 35 U.S.C. 133 (§ 1.137(a)):
By a small entity (§ 1.27(a)) $315.00 By other than a small entity $630.00
By a small entity (§ 1.27(a)) $945.00 By other than a small entity $1,890.00
By a small entity (§ 1.27(a)) $885.00 By other than a small entity $1,770.00
By a small entity (§ 1.27(a)) $505.00 By other than a small entity $1,010.00
By a small entity (§ 1.27(a)) $695.00 By other than a small entity $1,390.00
By a small entity (§ 1.27(a)) $575.00 By other than a small entity $1,150.00
By a small entity (§ 1.27(a)) $1,450.00 By other than a small entity $2,900.00
By a small entity (§ 1.27(a)) $2,405.00 By other than a small entity $4,810.00
§ 1.492 National st