As specified in 37 CFR 1.16(u), the non-DOCX filing surcharge fee is due for any application filed under 35 U.S.C. 111 for an original patentâexcept design, plant, or provisional applicationsâwhere the specification, claims, and/or abstract do not conform to the USPTO requirements for submission in the DOCX format. Therefore, the fee is due for nonprovisional utility applications filed under 35 U.S.C. 111, including continuing applications, that are not filed in the DOCX format.
The USPTO has taken many steps to ensure a fair and reasonable transition to the DOCX format. The USPTO conducted the eMod Text Pilot Program between August 2016 and September 2017. The USPTO then expanded the ability to file patent applications in the DOCX format in EFS-Web to all users in September 2017. In 2018, the USPTO launched Patent Center and conducted the Patent Center Text Pilot Program from June 2018 through April 2020. All applicants have been able to file applications in the DOCX format in Patent Center since April 2020. Information about Patent Center is available at www.uspto.gov/PatentCenter. In addition, the USPTO has, since April 2022, provided patent applicants with the option to submit a back-up applicant-generated PDF version of the application along with the DOCX file(s) when filing an application in Patent Center. See Extension of the Option for Submission of a PDF With a Patent Application Filed in DOCX Format, 88 FR 37036 (June 6, 2023).
The USPTO continues to provide several resources to help applicants submit their applications in the DOCX format. The Patent Center and DOCX webpages contain many resources for applicants, such as FAQs and a training mode through which applicants can file test submissions to practice filing in DOCX. The USPTO also provides a Patent Center User Guide and a DOCX Intake in Patent Center Quick Start Guide to assist applicants in navigating the Patent Center system. The USPTO additionally provides free training sessions and videos about how to file DOCX documents in Patent Center. For one-on-one assistance, the USPTOâs Patent Center Help Desk provides step-by-step guidance for submitting applications to the USPTO.
The items in this information collection relate solely to the impacts of the § 1.16(u) non-DOCX filing surcharge fee on the filing of nonprovisional utility applications under 35 U.S.C. 111, including continuing applications. In particular, this information collection accounts for the § 1.16(u) non-DOCX filing surcharge fee itself, as well as an additional 30 minutes of time to accommodate (i) the extra review that some respondents may undertake as they start to become more familiar with the DOCX format and (ii) submission of the back-up applicant-generated PDF that some respondents will opt to submit.
The estimated volumes for the items in this information collection are based from the estimates for the corresponding nonprovisional utility applications filed under 35 U.S.C. 111, including continuing applications, that are covered under another information collection (OMB control number 0651-0032; Initial Patent Applications). Respondents for the items in this information collection will either take an extra 30 minutes to file their applications in DOCX format or they will pay the non-DOCX surcharge, they will not do both.
The total number of responses has decreased by 46,818 due to more respondents filing in DOCX format and fewer respondents paying the non-DOCX filing surcharge fee. This increase in the number of respondents and responses filing DOCX submissions results in an increase of 45,045 hours in the annual time burden estimates.
Change in Annual Non-hour Costs due to Adjustment in Agency Estimate
For this renewal, the USPTO estimates that the total annual non-hour costs will decrease by $44,834,982 from the previous approval. This decrease is due to fewer respondents paying the non-DOCX filing surcharge fee.
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.
Venne_PTO-P-2026-0331-DRAFT-0010.html
0089 60-Day FRN Schar_Comments.pdf
0651-0089 Supporting Statement 2026.docx
Non-DOCX Filing Surcharge Fee (micro entity)