America Invents Act Section 10 Patent Fee Adjustments

ICR 201205-0651-001

OMB: 0651-0072

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2012-09-06
Supplementary Document
2012-07-19
Supplementary Document
2012-07-19
Supplementary Document
2012-07-19
Supplementary Document
2012-07-19
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ICR Details
0651-0072 201205-0651-001
Historical Inactive
DOC/PTO
America Invents Act Section 10 Patent Fee Adjustments
New collection (Request for a new OMB Control Number)   No
Regular
Preapproved 10/25/2012
Retrieve Notice of Action (NOA) 09/06/2012
Pre-approval contingent upon no substantive changes to this collection after adoption of the final rule. Otherwise this collection should be re-submitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
10/31/2015 36 Months From Approved
5,832,472 0 0
1,660 0 0
2,594,521,312 0 0

The USPTO is submitting this request in support of the Notice of Proposed Rulemaking titled "Setting and Adjusting Patent Fees" (RIN 0651-AC54). The USPTO proposes to set or adjust patent fees as authorized by the Leahy-Smith America Invents Act ("Act" or "AIA") Pub.L.112-29. The proposed fees will provide the Office with a sufficient amount of aggregate revenue to recover its aggregate cost of patent operations and will help the Office implement a sustainable funding model, reduce the current patent application backlog, decrease patent pendency, improve patent quality, and upgrade the Office's patent business information technology ("IT") capability and infrastructure. The Office also proposes to reduce fees for a new class of patent applicants, "micro entities," under section 10(g) of the Act and proposes to include multipart and staged fees for requests for continued examination ("RCEs") and appeals. These proposals will foster innovation and increase application processing options. When fees are set or adjusted, the aggregate revenue from the patent fees may only be set to recover the aggregate estimated costs to the Office for processing, activities, services, and materials relating to patents, including administrative costs to the Office with respect to such patent operations. Under section 10(b) of the AIA, eligible small entities shall receive a 50 percent fee reduction from the large entity fees for filing, searching, examining, issuing, appealing, and maintaining patent applications and patents. The Act further provides that the micro entities shall receive a 75 percent fee reduction for filing, searching, examining, issuing, appealing, and maintaining patent applications and patents. This information collection request is submitted as a fee-based burden collection to best provide for comment and review of the fee adjustment burden impact of the proposed rulemaking. The USPTO will maintain the information requirements and non-fee burden for the information collection items within separate collections. This new collection will be maintained for fee burden adjustments only. The relevant fee burdens will be removed from their existing collections through non-substantive change requests to discontinue counting those burdens twice and overstating the total respondent burden in the USPTO inventory. This information collection request ("ICR") includes: + "Correct inventorship after first office action on the merits," an item introduced in this proposed rulemaking. The information collection requirements for this item will eventually be moved into 0651-0031 Patent Processing (Updating), and the fee will remain in this collection. + "Petitions to the Chief Administrative Patent Judge under 37 CFR 41.3," an item that is not covered by an existing information collection request and is added to this submission because the fee is affected by the proposed rulemaking. The information requirements for this item will eventually be moved into 0651-0063 Board of Patent Appeals and Interferences (BPAI) Actions, and the fee will remain in this collection. + Fee adjustments to existing and pending items in the agency inventory. Information requirements for those items will remain in their respective collections and only the corresponding fees (as adjusted by the proposed rulemaking) are submitted for this collection. + Response adjustments to existing and pending items in the agency inventory projected to be impacted by the fee adjustments because changes in some fees are expected to change demand for those services, which changes the number of responses. Information requirements for those items will remain in their respective collections and only the corresponding fees are submitted for this collection. The response adjustments are offered here solely for the purpose of capturing the total impact on burden due to the proposed rulemaking.

PL: Pub.L. 112 - 29 10 Name of Law: Leahy-Smith America Invents Act
  
PL: Pub.L. 112 - 29 10 Name of Law: Leahy-Smith America Invents Act

0651-AC54 Proposed rulemaking 77 FR 55028 09/06/2012

No

127
IC Title Form No. Form Name
00XX Correct inventorship after first office action on the merits
00XX Petitions to the Chief Administrative Patent Judge under 37 CFR 41.3
0059 Petitions requiring the petition fee set forth in 37 CFR 1.17(h) (Group III)
0064 Request for ex parte reexamination - granted
0064 Supplemental examination document size fees; each additional 50
0064 Reexamination independent claims in excess of three and also in excess of the number of such claims in the patent under reexamination
0016 Surcharge - 3.5 year - Late payment within 6 months
0020 Filing an application for patent term adjustment
0020 Request for reinstatement of term reduced
0020 Extension of term of patent
0020 Initial application for interim extension (see 37 CFR 1.790)
0020 Subsequent application for interim extension (see 37 CFR 1.790)
0021 National Stage Search Fee - U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)
0021 National Stage Search Fee - U.S. was the ISA
0021 National Stage Search Fee - search report prepared and provided to USPTO
0021 National Stage Examination Fee - U.S. was the ISA or IPEA and all claims satisfy PCT Article 33(1)-(4)
0021 Transmitting application to Intl. Bureau to act as receiving office
0021 National Stage Search Fee - all other situations
0021 Search fee - regardless of whether there is a corresponding application (see 35 U.S.C. 361(d) and PCT Rule 16)
0021 Supplemental search fee when required, per additional invention
0021 Preliminary examination fee - U.S. was the ISA
0021 Preliminary examination fee - U.S. was not the ISA
0021 [PCT National Stage] Claims - extra independent (over three)
0021 [PCT National Stage] Claims - extra total (over 20)
0021 [PCT National Stage] Claims - multiple dependent
0016 Maintenance fee due at 3.5 years
0016 Maintenance fee due at 7.5 years
0021 Acceptance of an unintentionally delayed claim for priority, or for filling a request for the restoration of the right of priority
0021 Basic National Stage Fee
0021 National Stage Examination Fee - all other situations
0021 Search fee, examination fee or oath or declaration after thirty months from priority date
0027 Recording each patent assignment, agreement or other paper, per property if not submitted electronically
0027 Recording each patent assignment, agreement or other paper, per property - submitted electronically
0036 Request for publication of SIR - Prior to examiner's action
0012 Reinstatement to practice
0012 For test administration by commercial entity
0012 Registration to practice for change of practitioner type
0059 Petitions requiring the petition fee set forth in 37 CFR 1.17(f) (Group I)
0059 Petitions requiring the petition fee set forth in 37 CFR 1.17(g) (Group II)
0063 Filing a Brief in Support of an Appeal
0063 Filing a brief in support of an appeal in an inter partes reexamination proceeding
0063 Forwarding an Appeal in an Application or Ex Parte Reexamination Proceeding to the Board
0064 Reexamination claims in excess of 20 and also in excess of the number of claims in the patent under reexamination
0064 Reexamination Petition
0021 Supplemental examination fee per additional invention
0021 National Stage Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0031 Request for continued examination (RCE) (1st Request) (see 37 CFR 1.114)
0031 Extension for response within first month
0031 Extension for response within second month
0031 Extension for response within third month
0031 Extension for response within fourth month
0032 Basic filing fee - Design
0032 Utility Search Fee
0032 Design Search Fee
0032 Multiple dependent claim
0032 Utility Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0032 Design Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0032 Plant Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0032 Provisional Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0064 Request for ex parte reexamination - refused
0064 Supplemental Examination Request
0064 Supplemental Examination Reexamination
0064 Supplemental Examination document size fees; 21-50
0069 Inter Partes Post-Institution Request of Each Claim in Excess of 15
0069 Post Grant of Covered Business Method Patent Review Request
0069 Post Grant of Covered Business Method Patent Review Post_Institution
0069 Post Grant or Covered Business Method Patent Review Request of Each Claim in Excess of 20
0031 Extension for response within fifth month
0031 Petition to revive unavoidably abandoned application
0031 Petition to revive unintentionally abandoned application
0016 Maintenance fee due at 11.5 years
0016 Surcharge - 7.5 year - Late payment within 6 months
0016 Surcharge - 11.5 year - Late payment within 6 months
0016 Surcharge after expiration - Late payment is unavoidable
0016 Surcharge after expiration - Late payment is unintentional
0021 English translation after thirty months from priority date
0021 Transmittal fee
0069 Derivation proceeding
0069 Inter Partes Review Request Fee
0069 Inter Partes Review Post-Institution Fee
0069 Post Grant or Covered Business Method Patent Review Post-Institution Request of Each Claim in Excess of 15
0012 Application fee (non-refundable)
0012 Registration to practice or grant of limited recognition under §11.9(b) or (c)
0031 Request for expedited examination of a design application
0031 Submission of an Information Disclosure Statement
0031 Statutory disclaimer, including terminal disclaimer
0031 Publication fee for republication
0031 Filing a submission after final rejection (see 37 CFR 1.129(a))
0031 Request for continued examination (RCE) (2nd and subsequent)
0032 Provisional application filing fee
0032 Surcharge - Late provisional filing fee or cover sheet
0032 Non-English specification
0032 Plant Search Fee
0032 Utility Examination Fee
0032 Design Examination Fee
0032 Plant Examination Fee
0032 Independent claims in excess of three
0032 Claims in excess of 20
0032 Processing fee for provisional applications
0036 Request for publication of SIR - After examiner's action
0031 Processing fee, except in provisional applications
0031 Request for voluntary publication or republication
0032 Basic filing fee - Utility
0032 Basic filing fee - Utility (electronic filing for small entities)
0032 Surcharge - Late filing fee, search fee, examination fee or oath or declaration
0032 Basic filing fee - Design (CPA)
0032 Basic filing fee - Plant
0069 Inter Partes Review Request of Each Claim in Excess of 20
0069 Request to make settlement agreement available
00XX For each additional invention to be examined (see 37 CFR 1.129(b))
00XX Notice of appeal
00XX Request for oral hearing
0033 Basic filing fee - Reissue
0033 Reissue Search Fee
0033 Reissue independent claims in excess of three
0033 Reissue claims in excess of 20
0033 Reissue Application Size Fee - for each additional 50 sheets that exceeds 100 sheets
0033 Reissue Examination Fee
0033 Publication fee for early, voluntary, or normal publication
0033 Utility issue fee
0033 Design issue fee
0033 Plant issue fee
0033 Reissue issue fee
0033 Certificate of correction
0012 Review of decision by the Director of Enrollment and Discipline under §11.2(c)
0012 Review of decision of the Director of Enrollment and Discipline under §11.2(d)
0012 Application fee for person disciplined, convicted of a felony or certain misdemeanors under §11.7(h)

  Total Request Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 5,832,472 0 315,377 5,517,095 0 0
Annual Time Burden (Hours) 1,660 0 1,000 660 0 0
Annual Cost Burden (Dollars) 2,594,521,312 0 349,621,871 2,244,899,441 0 0
Yes
Miscellaneous Actions
No
This information collection request (ICR) includes program changes that are part of the impact of the proposed rulemaking (new statute). In addition to the new information requirement introduced by this proposed rulemaking--Correct Inventorship After First Office Action on the Merits--these changes include revised fee amounts and fee structures that will have an impact on annual cost burden as well as on the estimated responses for the associated information requirements whose fees are affected by this ICR. This ICR also includes program changes that are not part of the impact of the proposed rulemaking. These changes are primarily from the movement of the affected fees and their associated responses (as estimated and approved in previous ICRs) into this new information collection, as well as the addition of an existing information requirement, Petition to the Chief Administrative Patent Judge Under 37 CFR 41.3, that is not covered by a current information collection. Please consult sections 1, 12, 13, and 15 of the Supporting Statement for further explanation of these changes.

$2,612
No
No
No
No
No
Uncollected
Jennifer McDowell 571 272-7013 [email protected]

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
09/06/2012


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