Optimal Operating Reserve Level $732 $778 $789 $802 $818 Alternative 1: Proposed Fee Schedule – Setting and Adjusting Patent Fees during Fiscal Year 2017 – Aggregate Patent Revenue $2,951 $3,260 $3,265 $3,412 $3,599 EOY Operating Reserve Alternative 1: $349 $513 $639 $861 $1,206 Alternative 2: Unit Cost Recovery – Aggregate Patent Revenue $2,971 $3,210 $3,277 $3,432 $3,599 EOY Operating Reserve Alternative 2: $369 $483 $621 $863 $1,208 Alternative 3: Across the Board Adjustment to Patent Fees – Aggregate Patent Revenue $2,947 $3,267 $3,267 $3,414 $3,602 EOY Operating Reserve Alternative 3: $345 $516 $644 $868 $1,216 Alternative 4: Baseline – Aggregate Patent Revenue $2,878 $3,110 $3,110 $3,250 $3,429 EOY Operating Reserve Alternative 4: $277 $292 $264 $325 $501 Over the five-year timeframe of this analysis (FY 2017 – FY 2021), the Office projects that Alternatives 1, 2, and 3 secure a sufficient amount of aggregate revenue to sustain progress on the Office’s core mission programs and strategic initiatives. The Baseline does not generate enough revenue to achieve the operating reserve minimum balance of $300 million until the end of FY 2020 and does not achieve the optimal three month patent operating reserve during the five year horizon. Section 4 provides detailed discussions of each alternative.
Copy of Patent-Related File Wrapper and Contents if Provided Electronically or on a Physical Electronic Medium as Specified in 1.19(b)(1)(ii) $55 Discontinue Additional Fee for Each Continuing Physical Electronic Medium in Single Order of 1.19(b)(1)(ii)(B) $15 Discontinue Copy of Patent-Related File Wrapper Contents That Were Submitted and are Stored on Compact Disk or Other Electronic Form (e.g., Compact Disks Stored in Artifact Folder), Other Than as Available in 1.19(b)(1); First Physical Electronic Medium in a Single Order $55 Discontinue Additional Fee for Each Continuing Copy of Patent-Related File Wrapper Contents as Specified in 1.19(b)(2)(i)(A) $15 Discontinue Copy of Patent-Related File Wrapper Contents That Were Submitted and are Stored on Compact Disk, or Other Electronic Form, Other Than as Available in 1.19(b)(1); if Provided Electronically Other Than on a Physical Electronic Medium, per Order $55 Discontinue For Assignment Records, Abstract of Title and Certification, per Patent $25 $35 40% Uncertified Statement Re Status of Maintenance Fee Payments $10 Discontinue Petitions for documents in form other than that provided by this part, or in form other than that generally provided by Director, to be decided in accordance with merits. at cost Discontinue Recording Each Patent Assignment, Agreement or Other Paper, per Property – if Not Submitted Electronically $40 $50 25% Labor Charges for Services, per Hour or Fraction Thereof $40 Discontinue Unspecified Other Services, Excluding Labor at cost Discontinue Additional Fee for Overnight Delivery (NEW) n/a $40 n/a Additional Fee for Expedited Service (NEW) n/a $160 n/a Application Fee (Non-Refundable) $40 $100 150% Registration to Practice or Grant of Limited Recognition Under § 11.9(b) or (c) $100 $200 100% On Grant of Limited Recognition Under § 11.9(b) (NEW) n/a $200 n/a Certificate of Good Standing as an Attorney or Agent $10 $40 300% Certificate of Good Standing as an Attorney or Agent, Suitable for Framing $20 $50 150%
Review of Decision by the Director of Enrollment and Discipline Under § 11.2(c) $130 $400 208% Review of Decision of the Director of Enrollment and Discipline Under § 11.2(d) $130 $400 208% Administrative Reinstatement Fee $100 $200 100% Establish OED Information System Customer Interface Account (ID & Password) – Performed by OED (NEW) n/a $70 n/a Roster Maintenance in OED Information System Customer Interface (Change of Address) – Performed by OED (NEW) n/a $70 n/a Registration Examination Review Session (NEW) n/a $450 n/a Establish Deposit Account $10 Discontinue Computer Records at cost Discontinue Copy of Patent Grant Single-Page TIFF Images n/a $10,400 n/a Copy of Patent Grant Full-Text W/Embedded Images, Patent Application Publication Single-Page TIFF Images, or Patent Application Publication Full-Text W/Embedded Images (NEW) n/a $5,200 n/a Copy of Patent Bibliographic Extract and Other DVD (Optical Disc) Products (NEW) n/a $50 n/a Copy of U.S. Patent Custom Data Extracts (NEW) n/a $100 n/a Copy of Selected Technology Reports, Miscellaneous Technology Areas (NEW) n/a $30 n/a Self-Service Copy Charge, per Page $0.25 Discontinue
Maintenance Fee Due at 3.5 years $1,600 -46% -46% -46% Maintenance Fee Due at 7.5 years $3,600 $1,800 $900 $1,700 $850 $425 -53% -53% -53% Maintenance Fee Due at 11.5 $7,400 $3,700 $1,850 $2,540 $1,270 $635 -66% -66% -66% Notice of Appeal $800 $400 $200 $40 $20 $10 -95% -95% -95% Forwarding an Appeal in an Application or Ex Parte Reexamination Proceeding to the Board $2,000 $1,000 $500 $4,820 $2,410 $1,205 141% 141% 141% Inter Partes Review Request Fee – Up to 20 Claims $9,000 $22,160 146% Inter Partes Review Fee – Up to 15 Claims $14,000 $12,680 -9% Post-Grant or Covered Business Method Review Request Fee – Up to 20 Claims $12,000 $16,220 35% Post-Grant or Covered Business Method Review Fee – Up to 15 Claims $18,000 $23,060 28%
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 $1,700 $850 $850 $240 $120 $60 -86% -86% -93% Petition for the Delayed Submission of a Priority or Benefit or to Restore the Right of Priority or Benefit $1,700 $850 $850 $240 $120 $60 -86% -86% -93% Petition to Excuse Applicant's Failure to Act Within Prescribed Time Limits in an International Design Application $1,700 $850 $850 $1,700 $850 $425 0% 0% -50% Basic National Stage Fee $280 $140 $70 $340 $170 $85 21% 21% 21% National Stage Search Fee – U.S. Was the ISA $120 $60 $30 $320 $160 $80 167% 167% 167% $480 $240 $120 $1,780 $890 $445
Basic Filing fee – Utility (Paper Filing – Also Requires Filing Fee under 1.16(t)) 7% 7% 7% Basic Filing Fee – Utility (Electronic Filing) n/a $70 n/a $75 7% Filing Fee – Design $180 $90 $45 $180 $90 $45 0% 0% 0% Basic Filing Fee – Plant $180 $90 $45 $180 $90 $45 0% 0% 0% Provisional Application Filing Fee $260 $130 $65 $280 $140 $10 8% 8% 8% Basic Filing Fee – Reissue $280 $140 $70 $300 $150 $75 7% 7% 7% Each Independent Claim in Excess of Three $420 $210 $105 $440 $220 $110 5% 5% 5% Each Claim in Excess of 20 $80 $40 $20 $80 $40 $20 0% 0% 0% Multiple Dependent Claim $780 $390 $195 $820 $410 $205 5% 5% 5% Utility Search Fee $600 $300 $150 $640 $320 $160 7% 7% 7% Design Search Fee $120 $60 $30 $120 $60 $30 0% 0% 0% Utility Examination Fee $720 $360 $180 $760 $380 $190 6% 6% 6% Design Examination Fee $460 $230 $115 $480 $240 $120 4% 4% 4% Utility Issue Fee $960 $480 $240 $1,000 $500 $250 4% 4% 4% Design Issue Fee $560 $280 $140 $580 $290 $145 4% 4% 4% Issue Fee $760 $380 $190 $800 $400 $200 5% 5% 5% Request for Continued Examination (RCE) – 1st Request (see 37 CFR 1.114) $1,200 $600 $300 $1,260 5% $630 5% $315 5% Request for Continued Examination (RCE) – 2nd and Subsequent Request (see 37 CFR 1.114) $1,700 $850 $425 $1,780 $890 $445 5% 5% 5% Maintenance Fee Due at 3.5 years $1,600 $800 $1,680 $840 $420
5% 5% 5% Maintenance Fee Due at 7.5 years $3,600 $1,800 $900 $3,780 $1,890 $945 5% 5% 5% Maintenance Fee Due at 11.5 $7,400 $3,700 $1,850 $7,780 $3,890 $1,945 5% 5% 5% Notice of Appeal $800 $400 $200 $840 $420 $210 5% 5% 5% Forwarding an Appeal in an Application or Ex Parte Reexamination Proceeding to the Board $2,000 $1,000 $500 $2,100 $1,050 $525 5% 5% 5% Inter Partes Review Request Fee – Up to 20 Claims $9,000 $9,450 5% Inter Partes Review Fee – Up to 15 Claims $14,000 $14,700 5% Post-Grant or Covered Business Method Review Request Fee – Up to 20 Claims $12,000 $12,600 5% or Covered Business Method Review Post-Institution Fee – Up to 15 Claims $18,000 $18,900 5% Basic National Stage Fee $280 $140 $70 $300 $150 $75 7% 7% 7% National Stage Search Fee – U.S. Was the ISA $120 $60 $30 $120 $60 $30 0% 0% 0% National Stage Search Fee – Search Report Prepared and Provided to USPTO $480 $240 $120 $500 $250 $125 4% 4% 4% National Stage Search Fee – All Other Situations $600 $300 $150 $640 $320 $160 7% 7% 7% National Stage Examination Fee – All Other Situations $720 $360 $180 $760 $380 $190 6% 6% 6% National Stage – Each Independent Claim in Excess of Three $420 $210 $105 $440 $220 $110 5% 5% 5% Enrollment – Application Fee (Non-Refundable) $40 $40 0% Registration to Practice or Grant of Limited Recognition Under § 11.9(b) or (c) $100 $105 5%
APPENDIX A: Acronyms ABC – costing ABI – Activity-based information AIA – Leahy-Smith American Invents Act CBO – Congressional Budget Office CPI-U – Consumer Price Index for All Urban Consumers, as determined by the Secretary of Labor FY – Fiscal Year IDS – Information Disclosure Statement IP – Intellectual Property IPEA/US – International Preliminary Examining Authority IRFA – Initial Regulatory Flexibility Analysis ISA/US – International Searching Authority ISR – International Search Report IT – Information Technology NPRM – Notice of Proposed Rulemaking OIRA – Office of Information Regulatory Affairs OMB – Office of Management and Budget PCT Patent Cooperation Treaty PPAC – Patent Public Advisory Committee PPM – Patent Pendency Model PTAB – Patent and Appeal Board R&D – Research and Development RCE – Request for Continued Examination