JUSTIFICATION FOR NONMATERIAL/NONSUBSTANTIVE CHANGE
Post Allowance and Refiling
OMB Control Number 0651-0033
Background
The United States Patent and Trademark Office (UPSTO) administers the Leahy-Smith America Invents Act (AIA), Section 10, which sets or adjusts patent fees established authorized, or charged under Title 35, United States Code (U.S.C.). Section 10 prescribes that fees may be set or adjusted only to recover the aggregate estimated costs to the Office for processing, activities, services, and materials related to patent. Section 10 authorities also includes flexibility to set individual fees in a way that furthers key policies factors, while taking into account the cost of the respective services.
The request is to update the fees attached to this collection that are affected by the rulemaking NPRM 0651-AD02, and also to incorporate fees were not counted in pervious approvals. Respondent numbers are also changing due to agency discretion in conjunction with the rule.
There are eleven fees (most broken down into large entities, small entities, and micro entities) being added or adjusted as a result of the 2017 Patent Biennial Fee Review.
Table 1: Updated Annual (Non-hour) Burden
IC # |
Item |
Responses |
Updated Fee |
Updated Non-hour Burden |
1 |
Certificate of Correction |
12,200 |
$150.00 |
$1,830,000.00 |
3 |
Basic Filing Fee – Reissue (large entity) |
850 |
$300.00 |
$255,000.00 |
3 |
Basic Filing Fee – Reissue (small entity) |
250 |
$150.00 |
$37,500.00 |
3 |
Basic Filing Fee – Reissue (micro entity) |
10 |
$75.00 |
$750.00 |
3 |
Basic Filing Fee – Reissue (CPA) (large entity) |
850 |
$300.00 |
$255,000.00 |
3 |
Basic Filing Fee – Reissue (CPA) (small entity) |
250 |
$150.00 |
$37,500.00 |
3 |
Basic Filing Fee – Reissue (CPA) (micro entity) |
10 |
$75.00 |
$750.00 |
3 |
Each Reissue Independent Claim in Excess of Three (large entity) |
1,150 |
$460.00 |
$529,000.00 |
3 |
Each Reissue Independent Claim in Excess of Three (small entity) |
200 |
$230.00 |
$46,000.00 |
3 |
Each Reissue Independent Claim in Excess of Three (micro entity) |
15 |
$115.00 |
$1,725.00 |
3 |
Each Reissue Claim in Excess of 20 (large entity) |
7,535 |
$100.00 |
$753,500.00 |
3 |
Each Reissue Claim in Excess of 20 (small entity) |
2,030 |
$50.00 |
$101,500.00 |
3 |
Each Reissue Claim in Excess of 20 (micro entity) |
90 |
$25.00 |
$2,250.00 |
3 |
Reissue Search Fee (large entity) |
840 |
$660.00 |
$554,400.00 |
3 |
Reissue Search Fee (small entity) |
245 |
$330.00 |
$80,850.00 |
3 |
Reissue Search Fee (micro entity) |
10 |
$165.00 |
$1,650.00 |
4 |
Reissue Examination Fee (large entity) |
840 |
$2,200.00 |
$1,848,000.00 |
4 |
Reissue Examination Fee (small entity) |
245 |
$1,100.00 |
$269,500.00 |
4 |
Reissue Examination Fee (micro entity) |
10 |
$550.00 |
$5,500.00 |
9 |
Utility Issue Fee (large entity) |
236,390 |
$1,000.00 |
$236,380,000.00 |
9 |
Utility Issue Fee (small entity) |
57,830 |
$500.00 |
$28,915,000.00 |
9 |
Utility Issue Fee (micro entity) |
5,625 |
$250.00 |
$1,406,250.00 |
9 |
Reissue Issue Fee (large entity) |
265 |
$1,000.00 |
$265,000.00 |
9 |
Reissue Issue Fee (small entity) |
90 |
$500.00 |
$45,000.00 |
9 |
Reissue Issue Fee (micro entity) |
5 |
$250.00 |
$1,250.00 |
9 |
Design Issue Fee (large entity) |
15,230 |
$700.00 |
$10,661,000.00 |
9 |
Design Issue Fee (small entity) |
11,150 |
$350.00 |
$3,902,500.00 |
9 |
Design Issue Fee (micro entity) |
2,210 |
$175.00 |
$386,750.00 |
9 |
Plant Issue Fee (large entity) |
610 |
$800.00 |
$488,000.00 |
9 |
Plant Issue Fee (small entity) |
655 |
$400..00 |
$262,000.00 |
9 |
Plant Issue Fee (micro entity) |
10 |
$200.00 |
$2,000.00 |
|
Totals |
357,700 |
|
$289,325,125.00 |
Table 2: Increase in Fee Amounts
IC # |
Item |
Existing Fee |
Proposed Fee |
Fee Increase |
1 |
Certificate of Correction |
$100 |
$150 |
$50 |
3 |
Basic Filing Fee – Reissue |
$280 (large entity) $140 (small entity) $70 (micro entity) |
$300 (large entity) $150 (small entity) $75 (micro entity) |
$20 (large entity) $10 (small entity) $5 (micro entity) |
3 |
Basic Filing Fee – Reissue (CPA) |
$280 (large entity) $140 (small entity) $70 (micro entity) |
$300 (large entity) $150 (small entity) $75 (micro entity) |
$20 (large entity) $10 (small entity) $5 (micro entity) |
3 |
Each Reissue Independent Claim in Excess of three |
$420 (large entity) $210 (small entity) $105 (micro entity) |
$460 (large entity) $230 (small entity) $115 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
3 |
Each Reissue Claim in Excess of 20 |
$80 (large entity) $40 (small entity) $20 (micro entity) |
$100 (large entity) $50 (small entity) $25 (micro entity) |
$20 (large entity) $10 (small entity) $5 (micro entity) |
3 |
Reissue Search Fee |
$600 (large entity) $300 (small entity) $150 (micro entity) |
$660 (large entity) $330 (small entity) $165 (micro entity) |
$60 (large entity) $15 (micro entity) |
4 |
Reissue Examination Fee |
$2,160 (large entity) $1,080 (small entity) $540 (micro entity) |
$2,200 (large entity) $1,100 (small entity) $550 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
9 |
Utility Issue Fee |
$960 (large entity) $480 (small entity) $240 (micro entity) |
$1,000 (large entity) $500 (small entity) $250 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
9 |
Reissue Issue Fee |
$960 (large entity) $480 (small entity) $240 (micro entity) |
$1,000 (large entity) $500 (small entity) $250 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
9 |
Design Issue Fee |
$560 (large entity) $280 (small entity) $140 (micro entity) |
$700 (large entity) $350 (small entity) $175 (micro entity) |
$140 (large entity) $70 (small entity) $35 (micro entity) |
9 |
Plant Issue Fee |
$760 (large entity) $380 (small entity) $190 (micro entity) |
$800 (large entity) $400 (small entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
Table 3: Increases in Hourly Burden Respondents
IC # |
Item |
Current Annual Responses |
Proposed Annual Responses |
Increases in Responses |
3 |
Basic Filing Fee – Reissue (CPA) (large entity) |
0 |
850 |
850 |
3 |
Basic Filing Fee – Reissue (CPA) (small entity) |
0 |
250 |
250 |
3 |
Basic Filing Fee – Reissue (CPA) (micro entity) |
0 |
10 |
10 |
|
Totals |
0 |
1,100 |
1,100 |
Table 4: Increases in Non-Hourly Costs (Fees)
IC # |
Item |
Current Total Cost ($) |
Proposed Total Cost ($) |
Total Cost Increase |
1 |
Certificate of Correction |
$1,220,000.00 |
$1,830,000.00 |
$610,000.00 |
3 |
Basic Filing Fee – Reissue (large entity) |
$238,000.00 |
$255,000.00 |
$17,000.00 |
3 |
Basic Filing Fee – Reissue (small entity) |
$35,000.00 |
$37,500.00 |
$2,500.00 |
3 |
Basic Filing Fee – Reissue (micro entity) |
$700.00 |
$750.00 |
$50.00 |
3 |
Basic Filing Fee – Reissue (CPA) (large entity) |
$0.00 |
$255,000.00 |
$255,000.00 |
3 |
Basic Filing Fee – Reissue (CPA) (small entity) |
$0.00 |
$37,500.00 |
$37,500.00 |
3 |
Basic Filing Fee – Reissue (CPA) (micro entity) |
$0.00 |
$750.00 |
$750.00 |
3 |
Each Reissue Independent Claim in Excess of Three (large entity) |
$483,000.00 |
$529,000.00 |
$46,000.00 |
3 |
Each Reissue Independent Claim in Excess of Three (small entity) |
$42,000.00 |
$46,000.00 |
$4,000.00 |
3 |
Each Reissue Independent Claim in Excess of Three (micro entity) |
$1,575.00 |
$1,725.00 |
$150.00 |
3 |
Each Reissue Claim in Excess of 20 (large entity) |
$602,800.00 |
$753,500.00 |
$150,700.00 |
3 |
Each Reissue Claim in Excess of 20 (small entity) |
$81,200.00 |
$101,500.00 |
$20,300.00 |
3 |
Each Reissue Claim in Excess of 20 (micro entity) |
$1,800.00 |
$2,250.00 |
$450.00 |
3 |
Reissue Search Fee (large entity) |
$510,000.00 |
$554,400.00 |
$44,400.00 |
3 |
Reissue Search Fee (small entity) |
$75,000.00 |
$80,850.00 |
$5,850.00 |
3 |
Reissue Search Fee (micro entity) |
$1,500.00 |
$1,650.00 |
$150.00 |
4 |
Reissue Examination Fee (large entity) |
$1,814,400.00 |
$1,848,000.00 |
$33,600.00 |
4 |
Reissue Examination Fee (small entity) |
$264,600.00 |
$269,500.00 |
$4,900.00 |
4 |
Reissue Examination Fee (micro entity) |
$5,400.00 |
$5,500.00 |
$100.00 |
9 |
Utility Issue Fee (large entity) |
$225,964,800.00 |
$236,380,000.00 |
$10,415,200.00 |
9 |
Utility Issue Fee (small entity) |
$27,758,400.00 |
$28,915,000.00 |
$1,156,600.00 |
9 |
Utility Issue Fee (micro entity) |
$13,500.00 |
$1,406,250.00 |
$56,250.00 |
9 |
Reissue Issue Fee (large entity) |
$254,400.00 |
$265,000.00 |
$10,600.00 |
9 |
Reissue Issue Fee (small entity) |
$43,200.00 |
$45,000.00 |
$1,800.00 |
9 |
Reissue Issue Fee (micro entity) |
$1,200.00 |
$1,250.00 |
$50.00 |
9 |
Design Issue Fee (large entity) |
$8,528,000.00 |
$10,661,000.00 |
$2,133,000.00 |
9 |
Design Issue Fee (small entity) |
$3,122,000.00 |
$3,902,500.00 |
$780,500.00 |
9 |
Design Issue Fee (micro entity) |
$309,400.00 |
$386,750.00 |
$77,350.00 |
9 |
Plant Issue Fee (large entity) |
$463,900.00 |
$488,000.00 |
$24,100.0.0 |
9 |
Plant Issue Fee (small entity) |
$248,900.00 |
$262,000.00 |
$13,100.00 |
9 |
Plant Issue Fee (micro entity) |
$1,900.00 |
$2,000.00 |
$100.00 |
|
Totals |
$273,423,075.00 |
$289,325,125 |
$15,902,050.00 |
Summary of Changes
The addition of one new fee and the revision of ten existing fees in collection 0651-0031 resulted in an increase of $15,902,050 in annual (non-hour) costs.
Changes in Burden
Item |
Current Total |
Proposed Increase |
Proposed Total |
Annual Non-Hour Cost Burden |
$273,468,563.60 |
$15,902,050 |
$289,370,613.60 |
The 0651-0033 revised total burden is as follows:
$289,370,613.60 in annual (non-hour) cost burden
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Gunther, Sarah (AMBIT) |
| File Modified | 0000-00-00 |
| File Created | 2021-01-21 |