JUSTIFICATION FOR NONMATERIAL/NONSUBSTANTIVE CHANGE
Patent Processing
OMB Control Number 0651-0031
Background
The United States Patent and Trademark Office (USPTO) administers the Leahy-Smith America Invents Act (AIA), 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 the patent and trademark processes. 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.
This request is to update the fees attached to collection 0651-0031 (Patent Processing) that are affected by the rulemaking NPRM RIN 0651-AD31 (July 31, 2019). There are fifteen fees being adjusted as a result of the 2019 Patent Biennial Fee Review. In addition to the fee changes, USPTO is changing the estimates for some respondent numbers and the hourly burden associated with those responses, to reflect current usages and account for expected changes in filing volume. The proposed changes to this collection involve an increase of $42,732,661 in annual non-hourly costs, an increase in 69,459 respondents, and an increase of 97,047 burden hours.
Table 1: Increases in Fee Amount
IC #
|
Item |
Current Fee |
Proposed Fee |
Changes in Fee Amount |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) |
$240 (large entity) $120 (small entity) $60 (micro entity) |
$260 (large entity) $130 (small entity) $65 (micro entity) |
$20 (large entity) $10 (small entity) $5 (micro entity) |
3 |
One-month Extension of Time under 37 CFR 1.136(a) |
$200 (large entity) $100 (large entity) $50 (micro entity) |
$220 (large entity) $110 (small entity) $55 (micro entity) |
$20 (large entity) $10 (small entity) $5 (micro entity) |
3 |
Two-month Extension of Time under 37 CFR 1.136(a) |
$600 (large entity) $300 (small entity) $150 (micro entity) |
$640 (large entity) $320 (small entity) $160 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
3 |
Three-month Extension of Time under 37 CFR 1.136(a) |
$1,400 (large entity) $700 (small entity) $350 (micro entity) |
$1,480 (large entity) $740 (small entity) $370 (micro entity) |
$80 (large entity) $40 (small entity) $20 (micro entity) |
3 |
Four-month Extension of Time under 37 CFR 1.136(a) |
$2,200 (large entity) $1,100 (small entity) $550 (micro entity) |
$2,320 (large entity) $1,160 (small entity) $580 (micro entity) |
$120 (large entity) $60 (small entity) $30 (micro entity) |
3 |
Five-month Extension of Time under 37 CFR 1.136(a) |
$3,000 (large entity) $1,500 (small entity) $750 (micro entity) |
$3,160 (large entity) $1,580 (small entity) $790 (micro entity) |
$160 (large entity) $80 (small entity) $40 (micro entity) |
5 |
Statutory Disclaimer (including terminal disclaimer) |
$160 |
$170 |
$10 |
6 |
Notice of Appeal |
$800 (large entity) $400 (small entity) $200 (micro entity) |
$840(large entity) $420 (small entity) $210 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
9 |
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 |
$2,000 (large entity) $1,000 (small entity) $500 (micro entity) |
$2,100 (large entity) $1,050 (small entity) $525 (micro entity) |
$100 (large entity) $50 (small entity) $25 (micro entity) |
19 |
Request for Continued Examination (RCE) Transmittal |
$1,300 (large entity) $650 (small entity) $325 (micro entity) |
$1,360 (large entity) $680 (small entity) $340 (micro entity) |
$60 (large entity) $30 (small entity) $15 (micro entity) |
19 |
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) |
$1,900 (large entity) $950 (small entity) $475 (micro entity) |
$2,000 (large entity) $1,000 (small entity) $500 (micro entity) |
$100 (large entity) $50 (small entity) $25 (micro entity) |
20 |
Request for Oral Hearing Before the Patent Trial and Appeal Board |
$1,300 (large entity) $650 (small entity) $325 (micro entity) |
$1,360 (large entity) $680 (small entity) $340 (micro entity) |
$60 (large entity) $30 (small entity) $15 (micro entity) |
22 |
Request for Voluntary Publication or Republication (includes publication fee for republication) |
$130 |
$140 |
$10 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) |
$840 (large entity) $420 (small entity) $210 (micro entity) |
$880 (large entity) $440 (small entity) $220 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
33 |
Correction of inventorship after first office action on the merits |
$600 (large entity) $300 (small entity) $150 (micro entity) |
$640 (large entity) $320 (small entity) $160 (micro entity) |
$40 (large entity) $20 (small entity) $10 (micro entity) |
Table 2: Proposed Cost
IC #
|
Item |
Responses |
Proposed Fee |
Proposed Cost |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) (large entity) |
37,500 |
$260.00 |
$9,750,000 |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) (small entity) |
11,460 |
$130.00 |
$1,489,800 |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) (micro entity) |
1,040 |
$65.00 |
$67,600 |
3 |
One-month Extension of Time under 37 CFR 1.136(a) (large entity) |
102,500 |
$220.00 |
$22,550,000.00 |
3 |
One-month Extension of Time under 37 CFR 1.136(a) (small entity) |
38,000 |
$110.00 |
$4,180,000.00 |
3 |
One-month Extension of Time under 37 CFR 1.136(a) (micro entity) |
4,000 |
$55.00 |
$220,000.00 |
3 |
Two-month Extension of Time under 37 CFR 1.136(a) (large entity) |
43,600 |
$640.00 |
$27,904,000.00 |
3 |
Two-month Extension of Time under 37 CFR 1.136(a) (small entity) |
22,000 |
$320.00 |
$7,040,000.00 |
3 |
Two-month Extension of Time under 37 CFR 1.136(a) (micro entity) |
2,100 |
$160.00 |
$336,000.00 |
3 |
Three-month Extension of Time under 37 CFR 1.136(a) (large entity) |
40,000 |
$1,480.00 |
$59,200,000.00 |
3 |
Three-month Extension of Time under 37 CFR 1.136(a) (small entity) |
32,000 |
$740.00 |
$23,680,000.00 |
3 |
Three-month Extension of Time under 37 CFR 1.136(a) (micro entity) |
3,000 |
$370.00 |
$1,110,000.00 |
3 |
Four-month Extension of Time under 37 CFR 1.136(a) (large entity) |
2,500 |
$2,320.00 |
$5,800,000.00 |
3 |
Four-month Extension of Time under 37 CFR 1.136(a) (small entity) |
2,500 |
$1,160.00 |
$2,900,000.00 |
3 |
Four-month Extension of Time under 37 CFR 1.136(a) (micro entity) |
350 |
$580.00 |
$203,000.00 |
3 |
Five-month Extension of Time under 37 CFR 1.136(a) (large entity) |
3,500 |
$3,160.00 |
$11,060,000.00 |
3 |
Five-month Extension of Time under 37 CFR 1.136(a) (small entity) |
3,700 |
$1,580.00 |
$5,846,000.00 |
3 |
Five-month Extension of Time under 37 CFR 1.136(a) (micro entity) |
250 |
$790.00 |
$197,500.00 |
5 |
Statutory Disclaimer (including terminal disclaimer) |
66,289 |
$170.00 |
$11,269,130.00 |
6 |
Notice of Appeal (large entity) |
22,500 |
$840.00 |
$18,900,000.00 |
6 |
Notice of Appeal (small entity) |
6,000 |
$420.00 |
$2,520,000.00 |
6 |
Notice of Appeal (micro entity) |
500 |
$210.00 |
$105,000.00 |
9 |
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 (large entity) |
150 |
$2,100.00 |
$315,000.00 |
9 |
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 entity) |
50 |
$1,050.00 |
$52,500.00 |
9 |
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 entity) |
0 |
$525.00 |
$0.00 |
19 |
Request for Continued Examination (RCE) Transmittal (large entity) |
78,400 |
$1,360.00 |
$106,624,000.00 |
19 |
Request for Continued Examination (RCE) Transmittal (small entity) |
28,000 |
$680.00 |
$19,040,000.00 |
19 |
Request for Continued Examination (RCE) Transmittal (micro entity) |
5,600 |
$340.00 |
$1,904,000.00 |
19 |
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (large entity) |
40,600 |
$2,000.00 |
$81,200,000.00 |
19 |
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (small entity) |
14,500 |
$1,000.00 |
$14,500,000.00 |
19 |
Request for Continued Examination (RCE) Transmittal (Second and Subsequent Requests) (micro entity) |
2,900 |
$500.00 |
$1,450,000.00 |
20 |
Request for Oral Hearing Before the Patent Trial and Appeal Board (large entity) |
700 |
$1,360.00 |
$952,000.00 |
20 |
Request for Oral Hearing Before the Patent Trial and Appeal Board (small entity) |
240 |
$680.00 |
$163,200.00 |
20 |
Request for Oral Hearing Before the Patent Trial and Appeal Board (micro entity) |
10 |
$340.00 |
$3,400.00 |
22 |
Request for Voluntary Publication or Republication (includes publication fee for republication) |
340 |
$140.00 |
$47,600.00 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) (large entity) |
60 |
$880.00 |
$52,800.00 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) (small entity) |
50 |
$440.00 |
$22,000.00 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) (micro entity) |
10 |
$220.00 |
$2,200.00 |
33 |
Correction of inventorship after first office action on the merits (large entity) |
2,100 |
$640.00 |
$1,344,000.00 |
33 |
Correction of inventorship after first office action on the merits (small entity) |
750 |
$320.00 |
$240,000.00 |
33 |
Correction of inventorship after first office action on the merits (micro entity) |
150 |
$160.00 |
$24,000.00 |
|
Totals |
689,899 |
|
$460,094,830 |
Table 3: Changes in Cost
IC #
|
Item |
Current Cost |
Proposed Cost |
Changes in Cost |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) |
$758,300 |
$11,307,400 |
$10,549,100 |
3 |
Extension of Time under 37 CFR 1.136(a) |
$154,998,725 |
$172,226,500 |
$17,227,775 |
5 |
Statutory Disclaimer (including terminal disclaimer) |
$10,288,053 |
$11,269,130.00 |
$981,077 |
6 |
Notice of Appeal |
$24,856,250 |
$21,525,000.00 |
$3,331,250 |
9 |
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 |
$332,500 |
$367,500.00 |
$35,000 |
19 |
Request for Continued Examination (RCE) Transmittal |
$207,713,375 |
$224,718,000.00 |
$17,004,625 |
20 |
Request for Oral Hearing Before the Patent Trial and Appeal Board |
$1,015,788 |
$1,118,600.00 |
$102,812 |
22 |
Request for Voluntary Publication or Republication (includes publication fee for republication) |
$37,830 |
$47,600.00 |
$9,770 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) |
$68,973 |
$77,000.00 |
$8,027 |
33 |
Correction of inventorship after first office action on the merits |
$1,462,275 |
$1,608,000.00 |
$145,725 |
|
Totals |
$401,532,069 |
$444,264,730.00 |
$42,732,661 |
Related to the fee adjustments, the Patent Office is estimating that certain respondent numbers associated with existing forms will change. These numbers and their respective burden hour estimates are described in the following tables.
Table 4: Increases in Respondents
IC # |
Item |
Current Annual Responses |
Proposed Annual Responses |
Increases in Responses |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) |
5,000 |
50,000 |
45,000 |
3 |
Extension of Time under 37 CFR 1.136(a) |
290,000 |
300,000 |
10,000 |
5 |
Statutory Disclaimer (including terminal disclaimer) |
58,000 |
66,289 |
8,289 |
6 |
Notice of Appeal |
28,000 |
29,000 |
1,000 |
9 |
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 |
190 |
200 |
10 |
19 |
Request for Continued Examination (RCE) Transmittal |
165,000 |
170,000 |
5,000 |
22 |
Request for Voluntary Publication or Republication (includes publication fee for republication) |
290 |
340 |
50 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) |
110 |
120 |
10 |
33 |
Correction of inventorship after first office action on the merits |
2900 |
3000 |
100 |
|
Totals |
549,490 |
618,839 |
69,459 |
Table 5: Increases in Time Burden (Hours)
IC # |
Item |
Current Annual Time Burden |
Proposed Annual Time Burden |
Increases in Time Burden |
1 |
Information Disclosure Statements (IDS) that require the fee set forth in 37 CFR 1.17(p) |
10,000 |
100,000 |
90,000 |
3 |
Extension of Time under 37 CFR 1.136(a) |
87,000 |
90,000 |
3,000 |
5 |
Statutory Disclaimer (including terminal disclaimer) |
14,500 |
16,572 |
2,072 |
6 |
Notice of Appeal |
8,400 |
8,700 |
300 |
9 |
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 |
190 |
200 |
10 |
19 |
Request for Continued Examination (RCE) Transmittal |
49,500 |
51,000 |
1,500 |
22 |
Request for Voluntary Publication or Republication (includes publication fee for republication) |
58 |
68 |
10 |
32 |
Filing a submission after final rejection (see 37 CFR 1.129(a)) |
880 |
960 |
80 |
33 |
Correction of inventorship after first office action on the merits |
2,175 |
2,250 |
75 |
|
Totals |
172,703 |
269,750 |
97,047 |
Summary of Changes
The Patent Fee Review results in the revision of fifteen fees and an increase of $42,732,661 in annual 52(non-hourly) costs, an increase of 69,459 respondents, and an increase of 97,047 burden hours .
Changes in Burden
Burden Type |
Currently Approved |
Proposed Change |
New Estimate |
Number of Responses |
3,542,082 |
69,459 |
3,611,541 |
Time Burden (Hours) |
3,736,708 |
97,047 |
3,833,755 |
Non-hourly Cost |
$444,088,311 |
$42,732,661 |
486,820,972 |
+
0651-0031’s revised burden is as follows:
3,611,541 in annual number of responses
3,833,755 hours in annual time burden
$486,820,972 in annual (non-hourly) costs
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| Author | Gunther, Sarah (AMBIT) |
| File Modified | 0000-00-00 |
| File Created | 2021-01-15 |