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US - United States of America
United States Patent and Trademark Office (USPTO)

Useful information

The PCT Applicant’s Guide is updated almost every week with information received by the International Bureau.
In case of question, please contact the Office or the International Bureau (pct.guide@wipo.int).
List of abbreviations used in this document:
Office: United States Patent and Trademark Office (USPTO)
35 USC: Title 35, United States Code, Patents
The number cited after the letters USC or CFR is the relevant section of the Patent Statute or of the Regulations, respectively
37 CFR: Title 37, Code of Federal Regulations, Patents, Trademarks and Copyrights
The number cited after the letters USC or CFR is the relevant section of the Patent Statute or of the Regulations, respectively
AIA: Leahy-Smith America Invents Act
List of currencies used in this document:
CHF (Swiss franc), EUR (Euro), NZD (New Zealand dollar), USD (US dollar), ZAR (South African rand)
Countries and Offices information:
The list of acronyms used for Offices is no longer shown as it has been integrated in the mouseover functionality for each ST.3 code shown in this document.
Refer to List of WIPO Standards, Recommendations and Guidelines formerly Annex K, List of country names and two-letter codes. It includes a list of short names and two-letter codes accepted for use in indicating States, other entities and intergovernmental organizations and their Offices in documents relating to international applications under the PCT. The list is as set out in WIPO Standard ST.3.
Also refer to PCT Contracting States formerly Annex A.
Office profile
For more technical information about the Office, refer to ePCT Office profile.
PCT Reservations, Declarations, Notifications and Incompatibilities
Article 64(3)(a), Article 64(4)(a), Rule 20.1(d), Rule 23bis.2(e), Rule 26.3ter(b), Rule 26.3ter(d), Rule 49.5(l) (re Rule 49.5(c-bis)), Rule 49.5(l) (re Rule 49.5(k)), Administrative Instructions under the PCT (AI) Section 703(f) (re. Section 703(b)(ii) to (iv) and relevant Sections of Annex F of AI:)
Refer to the full list.
Office Closed dates
The Office is closed weekly on Saturday and Sunday
Additional closed dates can be consulted on the Office Closed dates page

International Phase

Annex B - Information on Contracting States or Intergovernmental Organization

Contracting State:
United States of America
Two-letter code:
US
United States of America - United States Patent and Trademark Office (USPTO)
Name of Office:
United States Patent and Trademark Office (USPTO)
Location:
Customer Service Window
Randolph Building
401 Dulany Street
Alexandria
VA 22314
United States of America
(first floor of the south side of the Randolph Building with street level access from Ballenger Avenue)
Mailing address:
Mail Stop PCT
Commissioner for Patents
P.O. Box 1450
Alexandria
Virginia 22313-1450
United States of America
Telephone:
PCT Help Desk
(1-571) 272 43 00
Toll free technical support for electronic filing
(1-866) 217 91 97
Local technical support for electronic filing
(1-571) 272-41 00
E-mail:
PCTHelp@uspto.gov
As from 1 January 2022, for one year on a pilot basis, for submitting general and non time sensitive questions regarding the PCT and the procedures applicable to international applications filed under the PCT and U.S. national phase applications submitted under 35 U.S.C. §371. This pilot has been extended for an additional year as from 1 January 2023. It should be noted that this e-mail address is not intended for case specific or time sensitive inquiries, which should still be directed by telephone to the PCT Help Desk ((1-571) 272 43 00)
Facsimile:
For details of which documents may be sent by facsimile refer to “Does the Office accept the filing of documents by facsimile or the like means (PCT Rule 92.4)?”
PCT Operations – only available for certain documents
(1-571) 273 83 00
USPTO Central Fax – only available for certain documents
(1-571) 273 83 00
PCT Help Desk
(1-571) 273 04 19
Does the Office accept the filing of documents by facsimile or the like means (PCT Rule 92.4)?
Yes, by facsimile
Which kinds of documents may be so transmitted?
All documents except the following:
— certified documents including priority documents
— documents needed to receive an international filing date under PCT Article 11
— authorizations charging the basic national fee to a deposit account
— when necessary, a copy of the international application for entry into the national phase
— documents directly related to a secrecy order
Must the original of the document be furnished in all cases?
No, only upon invitation
Does the Office send notifications via e-mail in respect of international applications?
No
Would the Office accept evidence of mailing a document, in case of loss or delay, where a delivery service other than the postal authorities is used (PCT Rule 82.1)?
No
Is the Office prepared to allow applicants to make applications available to the WIPO Digital Access Service for Priority Documents (DAS) (PCT Rule 17.1(b-bis)?
Yes, the Office is prepared to allow applicants to make national applications filed in electronic form available to the WIPO DAS
For further details on how to request this Office to make applications available to the DAS refer to:
http://www.uspto.gov/patents/basics/international-protection/electronic-priority-document-exchange-pdx
However, the applicant may not request the receiving Office of the United States of America (RO/US) to obtain a priority document from a digital library and transmit it to the International Bureau pursuant to PCT Rule 17.1(b-bis)
Competent receiving Office(s) for international applications filed by nationals or residents of this State:
Applicants may file with the International Bureau only if the national security provisions allow filing of patent applications abroad. Compliance with such provisions is the applicant’s responsibility and will not be checked by the International Bureau
IB
International Bureau of the World Intellectual Property Organization (WIPO) - International Bureau of WIPO
US
United States of America - United States Patent and Trademark Office (USPTO)
Does national legislation restrict the filing of international applications with foreign Offices?
Title 35, United States Code, Patents, Sections 181 and 184-188. Also refer to 37 CFR 5.11-5.20
Yes, filing restrictions apply to:
Inventions made in the United States of America
Competent designated (or elected) Office(s) for this State:
Refer to corresponding National Phase.
US
United States of America - United States Patent and Trademark Office (USPTO)
Types of protection available via the PCT:
Patents
Availability under the national law for an international-type search (PCT Article 15):
Sections 1.104(a)(3) and (a)(4) and 1.21(e) of the Code of Federal Regulations, Title 37 (37 CFR)
The USPTO does not require that a formal report of an international-type search be prepared in order to obtain a search fee refund in a later filed international application
Provisional protection after international publication:
The patentee is entitled to obtain a reasonable royalty commencing on the date of the publication under PCT Article 21(2)(a) of the international application, or if the publication is in a language other than English, on the date the USPTO receives a translation of the international application in the English language. The right to obtain a reasonable royalty is not available unless the invention as claimed in the patent is substantially identical to the invention claimed in the published international application. For details, refer to National Chapter(US), paragraph US.47 (also refer to 35 USC 154(d)).
Information of interest if this Contracting State is designated (or elected)
WARNING
“Prior art effect” of subject matter disclosed in a US patent issued on the basis of an international application:
The United States of America made a declaration under PCT Article 64(4). However, this declaration only applies to applications that are not subject to the First Inventor to File provisions of the America Invents Act, that is, applications that contain or ever contained a claim having an effective filing date prior to 16 March 2013
Additional information regarding the applicability of the First Inventor to File provisions of the America Invents Act can be found at:
http://www.uspto.gov/patents/first-inventor-file-fitf-resources
Time when the name and address of the inventor must be given:
May be in the request or may be furnished later. If the data concerning the inventor is missing at the expiration of the time limit under PCT Article 22 or 39(1), the Office will invite the applicant to comply with the requirement within a time limit fixed in the invitation.
Are there special provisions concerning the deposit of microorganisms and other biological material?
Yes, refer to Annex L.

Annex C - Receiving Office

Competent receiving Office for nationals and residents of:
United States of America
Language in which international applications may be filed:
English
Language accepted for language-dependent free text in the sequence listing:
The Office does not permit the language-dependent free text of the sequence listing part of the description to be filed in more than one language, under PCT Rule 12.1(d).
Same as above
Language in which the request may be filed:
English
Number of copies required by the receiving Office if application filed on paper:
1
Does the receiving Office accept the filing of international applications in electronic form?
Yes
Where the international application is filed in electronic form, the total amount of the international filing fee is reduced (refer to “Fees payable to the receiving Office”).
Where the international application contains a sequence listing as a separate part of the description, this should be furnished in accordance with Annex C of the Administrative Instructions, that is, in compliance with WIPO Standard ST.26 XML format; no fees are due for sequence listings filed in this format. Where the international application is filed on paper, a sequence listing part of the description should be furnished in WIPO Standard ST.26 XML format on physical medium.
The USPTO accepts the filing of international applications in electronic form according to its national law and technical systems (refer to Section 703(d) and 703(f)(ii) of the PCT Administrative Instructions). For more information, refer to:
https://www.uspto.gov/patents/apply
Technical support for filing international applications electronically is available from the Patent Electronic Business Center (EBC) at (1-866) 217 91 97. Note that the applicable national law and technical systems provide for requirements which are different from, and not compatible with, the requirements of Section 703(b)(ii) to (iv) of the PCT Administrative Instructions (refer to PCT Gazette No. 18/2002, page 8974). Applicants may, however, use ePCT or PCT-SAFE to generate a .zip file containing a validated request form, and then submit the .zip file electronically via EFS-Web or Patent Center. For further details, refer to:
https://www.federalregister.gov/documents/2020/09/30/2020-18743/facilitating-the-use-of-the-world-intellectual-property-organizations-epct-system-to-prepare
Does the receiving Office accept requests for restoration of the right of priority (PCT Rule 26bis.3)?
Yes, the Office applies the “unintentional” criterion to such requests
Competent International Searching Authority:
AU
Australia - Australian Patent Office
1
EP
European Patent Organisation - European Patent Office (EPO)
IL
Israel - Israel Patent Office
2
JP
Japan - Japan Patent Office (JPO)
3
KR
Republic of Korea - Korean Intellectual Property Office
SG
Singapore - Intellectual Property Office of Singapore
US
United States of America - United States Patent and Trademark Office (USPTO)
Competent International Preliminary Examining Authority:
AU
Australia - Australian Patent Office
4
EP
European Patent Organisation - European Patent Office (EPO)
4
IL
Israel - Israel Patent Office
4
JP
Japan - Japan Patent Office (JPO)
4
KR
Republic of Korea - Korean Intellectual Property Office
SG
Singapore - Intellectual Property Office of Singapore
4
US
United States of America - United States Patent and Trademark Office (USPTO)
Fees payable to the receiving Office:
The amounts of these fees change periodically. The receiving Office or the current USPTO Fee Schedule should be consulted for the applicable amounts at:
http://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
Transmittal fee:
260 USD
Small entity 104 USD 5
Micro entity 52 USD 6
In addition, there is:
— a non-electronic filing fee applicable to international applications filed other than by the Office electronic filing system (EFS):
400 USD
— or in the case of filings by small or micro entities:
200 USD
International filing fee:
1,435 USD
This fee is reduced by 90% if certain conditions apply (refer to Annex C(IB)).
Fee per sheet in excess of 30:
16 USD
Reductions (under Schedule of Fees, item 4):
Electronic filing (EFS-Web/ Patent Center without ePCT or PCT-EASY.zip file):
108 USD
Electronic filing (EFS-Web/ Patent Center with ePCT or PCT-EASY.zip file):
216 USD
Search fee:
Refer to
Annex D(AU)
Annex D(EP)
Annex D(IL)
Annex D(JP)
Annex D(KR)
Annex D(SG)
Annex D(US)
Fee for priority document (PCT Rule 17.1(b)):
None
Fee for requesting restoration of the right of priority (PCT Rule 26bis.3(d)):
2,100 USD
Small entity 840 USD 5
Micro entity 420 USD 6
Is an agent required by the receiving Office?
No
Who can act as agent?
Patent attorneys and patent agents registered to practice before the Office. A list of registered patent attorneys and agents may be obtained on the Internet at:
http://oedci.uspto.gov/OEDCI/
Waiver of power of attorney:
Waivers of powers of attorney do not apply (PCT Rule 90.4(e) and 90.5(d)) where the agent or common representative submits any notice of withdrawal during the international phase (PCT Rule 90bis.1 to 90bis.4, also refer to International Phase, paragraph 11.048).
Has the Office waived the requirement that a separate power of attorney be submitted?
Yes
Particular instances in which a separate power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis
Has the Office waived the requirement that a copy of a general power of attorney be submitted?
Yes
Particular instances in which a copy of a general power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis

Annex D - International Searching Authority

The Office participates in the IP5 pilot project on collaborative search and examination under the PCT. For further information refer to:
http://www.uspto.gov/patents-getting-started/international-protection/patent-cooperation-treaty/pct-collaborative-search
International Searching Authority competent for the following Receiving Offices:
BH
Bahrain - National Patent Office (Bahrain)
BR
Brazil - National Institute of Industrial Property (Brazil)
CL
Chile - National Institute of Industrial Property (Chile)
DO
Dominican Republic - National Office of Industrial Property (Dominican Republic)
EG
Egypt - Egyptian Patent Office
GE
Georgia - National Intellectual Property Center of Georgia (SAKPATENTI)
IL
Israel - Israel Patent Office
IN
India - Indian Patent Office
JO
Jordan - Industrial Property Protection Directorate, Ministry of Industry, Trade and Supply (Jordan)
KN
Saint Kitts and Nevis - Intellectual Property Office (Saint Kitts and Nevis)
MX
Mexico - Mexican Institute of Industrial Property
NZ
New Zealand - Intellectual Property Office of New Zealand (IPONZ)
OM
Oman - National Intellectual Property Office (Ministry of Commerce, Industry and Investment Promotion) (Oman)
PA
Panama - Directorate General of the Industrial Property Registry (DIGERPI) (Panama)
PE
Peru - National Institute for the Defense of Competition and Intellectual Property Protection (Peru)
PH
Philippines - Intellectual Property Office of the Philippines
QA
Qatar - Intellectual Property Department (Qatar)
SA
Saudi Arabia - Saudi Authority for Intellectual Property (SAIP)
TH
Thailand - Department of Intellectual Property (DIP) (Thailand)
TT
Trinidad and Tobago - Intellectual Property Office, Office of the Attorney General and Ministry of Legal Affairs (Trinidad and Tobago)
US
United States of America - United States Patent and Trademark Office (USPTO)
ZA
South Africa - Companies and Intellectual Property Commission (CIPC) (South Africa)
Search fee (PCT Rule 16):
2,020 CHF
Small entity 808 CHF 5
Micro entity 404 CHF 6
2,064 EUR
Small entity 826 EUR 5
Micro entity 413 EUR 6
3,400 NZD
Small entity 1,360 NZD 5
Micro entity 680 NZD 6
2,180 USD
Small entity 872 USD 5
Micro entity 436 USD 6
42,250 ZAR
Small entity 16,900ZAR 5
Micro entity 8,450 ZAR 6
This fee is payable to the receiving Office in the currency or one of the currencies accepted by it
The amount of this fee changes periodically. The International Searching Authority or the current USPTO Fee Schedule should be consulted for the applicable amount at:
http://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
Additional search fee (PCT Rule 40.2):
2,180 USD
Small entity 872 USD 5
Micro entity 436 USD 6
The amount of this fee changes periodically. The International Searching Authority or the current USPTO Fee Schedule should be consulted for the applicable amount at:
http://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
This fee is payable to the International Searching Authority and only in particular circumstances
Fee for copies of documents cited in the international search report (PCT Rule 44.3):
— US patent document
per copy 3 USD
From 3 July 2007, the USPTO no longer mails paper copies of cited US patents and US patent application publications cited in search reports, written opinions or international preliminary examination reports in international applications
From 29 October 2013, the USPTO also no longer mails copies of published international applications cited in international applications. However, electronic copies may be viewed at the USPTO’s Internet web site:
http://www.uspto.gov/patents/search
The copies can also be printed for free. Copies can also be purchased online:
ebiz1.uspto.gov/oems25p/index.html
or obtained from the USPTO Office of Public Records ((1-800) 972 63 82 or (571) 272 31 50) at the fee indicated above
— Non-US patent documents
None
The applicant receives, together with the international search report, a copy of each cited document that is not a US patent document or a published international application
Fee for copies of documents contained in the file of the international application (PCT Rule 94.1ter):
— US patent document
per copy 3 USD
— Non-US patent document
per copy 25 USD
Refer to 37 CFR 1.19 for other document supply fees
Protest fee (PCT Rule 40.2(e)):
None
Late furnishing fee (PCT Rule 13ter.1(c)):
320 USD
Small entity 128 USD 5
Micro entity 64 USD 6
Conditions for refund and amount of refund of the search fee:
Money paid by mistake, without cause, or in excess, will be refunded
Where the international application is withdrawn or is considered withdrawn, under PCT Article 14(1), (3) or (4), before the start of the international search:
refund of 100%
Languages accepted for international search:
English
Does the Authority accept informal comments on earlier search results where an international application claims priority from an earlier application already searched by this Authority?
No
Types of physical media accepted for the furnishing of nucleotide and/or amino acid sequence listings :
Read-only optical disc: CD–ROM, CD–R, DVD–R, DVD+R
Subject matter that will not be searched:
The subject matter specified in items (i) to (vi) of PCT Rule 39.1 with the exception of any subject matter searched under the patent grant procedure in accordance with the provisions of United States patent law
Waiver of power of attorney:
Waivers of powers of attorney do not apply (PCT Rule 90.4(e) and 90.5(d)) where the agent or common representative submits any notice of withdrawal during the international phase (PCT Rule 90bis.1 to 90bis.4, also refer to International Phase, paragraph 11.048).
Has the Authority waived the requirement that a separate power of attorney be submitted?
Yes
Particular instances in which a separate power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis
Has the Authority waived the requirement that a copy of a general power of attorney be submitted?
Yes
Particular instances in which a copy of a general power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis

Annex E - International Preliminary Examining Authority

The USPTO may act as International Preliminary Examining Authority only if the international search is or has been performed by that Office, except that the USPTO may act as International Preliminary Examining Authority for international applications filed by at least one resident or national of the United States of America with the USPTO or the International Bureau of WIPO as receiving Office where the selected ISA is competent for residents or nationals of the United States of America.
International Preliminary Examining Authority competent for the following Receiving Offices:
BH
Bahrain - National Patent Office (Bahrain)
BR
Brazil - National Institute of Industrial Property (Brazil)
CL
Chile - National Institute of Industrial Property (Chile)
DO
Dominican Republic - National Office of Industrial Property (Dominican Republic)
EG
Egypt - Egyptian Patent Office
GE
Georgia - National Intellectual Property Center of Georgia (SAKPATENTI)
IL
Israel - Israel Patent Office
IN
India - Indian Patent Office
JO
Jordan - Industrial Property Protection Directorate, Ministry of Industry, Trade and Supply (Jordan)
KN
Saint Kitts and Nevis - Intellectual Property Office (Saint Kitts and Nevis)
MX
Mexico - Mexican Institute of Industrial Property
NZ
New Zealand - Intellectual Property Office of New Zealand (IPONZ)
OM
Oman - National Intellectual Property Office (Ministry of Commerce, Industry and Investment Promotion) (Oman)
PA
Panama - Directorate General of the Industrial Property Registry (DIGERPI) (Panama)
PE
Peru - National Institute for the Defense of Competition and Intellectual Property Protection (Peru)
PH
Philippines - Intellectual Property Office of the Philippines
QA
Qatar - Intellectual Property Department (Qatar)
SA
Saudi Arabia - Saudi Authority for Intellectual Property (SAIP)
TH
Thailand - Department of Intellectual Property (DIP) (Thailand)
TT
Trinidad and Tobago - Intellectual Property Office, Office of the Attorney General and Ministry of Legal Affairs (Trinidad and Tobago)
US
United States of America - United States Patent and Trademark Office (USPTO)
ZA
South Africa - Companies and Intellectual Property Commission (CIPC) (South Africa)
Preliminary examination fee (PCT Rule 58):
— When the international search was carried out by the USPTO:
640 USD
Small entity 256 USD 5
Micro entity 128 USD 6
— When the international search was not carried out by the USPTO:
800 USD
Small entity 320 USD 5
Micro entity 160 USD 6
This fee is payable to the International Preliminary Examining Authority
The amounts of these fees change periodically. The International Preliminary Examining Authority or the current USPTO Fee Schedule should be consulted for the applicable amounts at:
http://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
Additional preliminary examination fee (PCT Rule 68.3):
640 USD
Small entity 256 USD 5
Micro entity 128 USD 6
This fee is payable to the International Preliminary Examining Authority and only in particular circumstances
Handling fee (PCT Rule 57.1):
216 USD
This fee is payable to the International Preliminary Examining Authority. It is reduced by 90% if certain conditions apply (refer to Annex C(IB)).
Fee for copies of documents cited in the international preliminary examination report (PCT Rule 71.2):
None
The applicant receives, together with the international preliminary examination report, a copy of each additional document not cited in the international search report which is not a US patent document or a published international application
From 3 July 2007, the USPTO no longer mails paper copies of cited US patents and US patent application publications cited in search reports, written opinions or international preliminary examination reports in international applications
From 29 October 2013, the USPTO also no longer mails copies of published international applications cited in international applications. However, electronic copies may be viewed at the USPTO’s Internet web site:
http://www.uspto.gov/patents/search
The copies can also be printed for free. Copies can also be purchased online:
ebiz1.uspto.gov/oems25p/index.html
or obtained from the USPTO Office of Public Records ((1-800) 972 63 82 or (571) 272 31 50) at the fee indicated above
Fee for copies of documents contained in the file of the international application (PCT Rule 94.2):
— US patent document
per copy 3 USD
— Non-US patent document
per copy 25 USD
Refer to 37 CFR 1.19 for other document supply fees
Protest fee (PCT Rule 68.3(e)):
None
Late furnishing fee (PCT Rule 13ter.2):
320 USD
Small entity 128 USD 5
Micro entity 64 USD 6
Conditions for refund and amount of refund of the preliminary examination fee:
Money paid by mistake, without cause, or in excess, will be refunded
In the cases provided for under PCT Rule 58.3 where the demand is considered as if it had not been submitted (PCT Rules 54.4, 58bis.1(b) or 60.1(c)):
refund of 100%
If the international application or the demand is withdrawn before the start of the international preliminary examination:
refund of the amount paid less a processing fee equivalent to the transmittal fee (refer to Annex C(US))
Languages accepted for international preliminary examination:
English
Subject matter that will not be examined:
The subject matter specified in items (i) to (vi) of PCT Rule 67.1 with the exception of any subject matter examined under the patent grant procedure in accordance with the provisions of United States patent law
Waiver of power of attorney:
Waivers of powers of attorney do not apply (PCT Rule 90.4(e) and 90.5(d)) where the agent or common representative submits any notice of withdrawal during the international phase (PCT Rule 90bis.1 to 90bis.4, also refer to International Phase, paragraph 11.048).
Has the Authority waived the requirement that a separate power of attorney be submitted?
Yes
Particular instances in which a separate power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis
Has the Authority waived the requirement that a copy of a general power of attorney be submitted?
Yes
Particular instances in which a copy of a general power of attorney is required:
Where it is unclear whether a purported agent has the power to act on behalf of the applicant, and for certain changes under PCT Rule 92bis

Annex L - Deposits of Microorganisms and Other Biological Material

Requirements of designated and elected Offices
Only Offices whose applicable national law contains provisions concerning the deposits of microorganisms and other biological material are listed in Annex L. Unless otherwise indicated, deposits may be made for the purposes of patent procedure before these Offices with any depositary institution having acquired the status of international depositary authority under the Budapest Treaty on the International Recognition of the Deposit of Microorganisms for the Purposes of Patent Procedure.
For a list of these institutions refer to:
Notifications related thereto may be consulted under:
Further information concerning the requirements of international depository authorities under the Budapest Treaty is available at:
Time (if any) earlier than 16 months from priority date by which applicant must furnish:
— the indications prescribed in Rule 13bis.3(a)(i) to (iii):
None
— any additional indications:
At the time of filing
Additional indications (if any) which must be given besides those prescribed in Rule 13bis.3(a)(i) to (iii) pursuant to notifications from the Office:
To the extent feasible, a description of the deposited biological material sufficient to specifically identify it and to permit examination
Additional information
When the original deposit is made after the effective filing date of an application for a patent, the applicant must promptly submit a statement from a person in a position to corroborate the fact, stating that the biological material which is deposited is a biological material specifically identified in the application as filed (refer to 37 CFR 1.804(b)).
Deposits may also be made for the purposes of patent procedure before the USPTO with any other depository institution recognized to be suitable by the Office (refer to 37 CFR 1.803).

National Phase

Summary of requirements for entry into the national phase

Time limits applicable for entry into the national phase:
Under PCT Article 22(1): 30 months from the priority date
Under PCT Article 39(1)(a): 30 months from the priority date
Translation of international application required into (one of) the following language(s):
Must be furnished within the time limit applicable under PCT Article 22 or 39(1). The requirement may still be complied with in response to a notice sent to the applicant, provided that a processing fee is paid for furnishing the translation later
English
Required contents of the translation for entry into the national phase:
Must be furnished within the time limit applicable under PCT Article 22 or 39(1). The requirement may still be complied with in response to a notice sent to the applicant, provided that a processing fee is paid for furnishing the translation later
If the translation of the amendments is not furnished, the amendments are considered to be cancelled (37 CFR 1.495(d) and (e))
Under PCT Article 22: Request, description, claims (if amended, both as originally filed and as amended, together with any statement under PCT Article 19), any text matter in the drawings, abstract
Under PCT Article 39(1): Request, description, claims, any text matter in the drawings, abstract (if any of those parts has been amended, both as originally filed and as amended by the annexes to the international preliminary report on patentability (Chapter II))
Is a copy of the international application required in particular circumstances?
Must be furnished within the time limit applicable under PCT Article 22 or 39(1)
The applicant is only required to send a copy of the international application if the national application is filed prior to the publication of the international application. This may be the case where the applicant expressly requests an earlier start of the national phase under PCT Article 23(2)
No copy is required if the international application was filed with the USPTO as receiving Office. A copy of amendments of the claims filed under PCT Article 19 with the International Bureau is required under the conditions indicated in the previous paragraph
National fees:
The amounts of these fees change periodically. The United States Patent and Trademark Office or the current USPTO Fee Schedule should be consulted for the applicable amounts at:
https://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
Basic national fee
320 USD
Small entity (128 USD) 7
Micro entity (64 USD) 8
Must be paid within the time limit applicable under PCT Article 22 or 39(1)
Search fee:
— IPRP (Chapter II) prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4)
0 USD
Small entity (0 USD) 7
Micro entity (0 USD) 8
— International search fee paid to the USPTO as ISA
140 USD
Small entity (56 USD) 7
Micro entity (28 USD) 8
— Search report has been prepared by an ISA other than the US and is provided or has been previously communicated by the IB to the USPTO
540 USD
Small entity (216 USD) 7
Micro entity (108 USD) 8
— All other situations
700 USD
Small entity (280 USD) 7
Micro entity (140 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Examination fee:
— IPRP (Chapter II) prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4)
0 USD
Small entity (0 USD) 7
Micro entity (0 USD) 8
— All other situations
800 USD
Small entity (320 USD) 7
Micro entity (160 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
For every 50 sheets or fraction thereof of the specification and drawings that exceeds 100 sheets (excluding any sequence listing or computer program listing filed in an electronic medium)
420 USD
Small entity (168 USD) 7
Micro entity (84 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Additional fee for each claim in independent form in excess of three
480 USD
Small entity (192 USD) 7
Micro entity (96 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Additional fee for each claim, independent or dependent, in excess of 20
100 USD
Small entity (40 USD) 7
Micro entity (20 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
In addition, if the application contains one or more multiple dependent claims, per application
860 USD
Small entity (344 USD) 7
Micro entity (172 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Surcharge for paying any of the search fee, the examination fee, or filing the oath or declaration after the date of commencement of the national stage
160 USD
Small entity (64 USD) 7
Micro entity (32 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Processing fee for filing English-language translation after the expiration of the time limit applicable under PCT Article 22 or 39(1)
140 USD
Small entity (56 USD) 7
Micro entity (28 USD) 8
If not paid with the basic national fee, the USPTO will invite the applicant to pay the fee within a time period fixed in the invitation
Mega-Sequence Listing filing fee:
— submission of sequence listing of 300 MB to 800 MB
1,060 USD
Small entity (424 USD) 7
Micro entity (212 USD) 8
— submission of sequence listing of more than 800 MB
10,500 USD
Small entity (4,200 USD) 7
Micro entity (2,100 USD) 8
Exemptions, reductions or refunds of fees:
Reductions of the national fees are indicated under the national fees listed above
Special requirements of the Office (PCT Rule 51bis):
Oath or declaration of the inventor 9
Information disclosure statement is recommended 10
Furnishing, where applicable, of a nucleotide and/or amino acid sequence listing in electronic form
Who can act as agent?
Patent attorneys and patent agents registered to practice before the Office.
A list of registered patent attorneys and agents may be obtained on the Internet at:
https://oedci.uspto.gov/OEDCI/
Does the Office accept requests for restoration of the right of priority (PCT Rule 49ter.2)?
Yes, the Office applies the “unintentional” criterion to such requests

The procedure in the national Phase

US.01 APPLICANT
35 USC 116, 35 USC 117, 35 USC 118, 37 CFR 1.42, 37 CFR 1.43, 37 CFR 1.45, 37 CFR 1.46, 37 CFR 1.421, 37 CFR 1.422, 37 CFR 1.423, 37 CFR 1.424
For US national phase applications having an international filing date on or after 16 September 2012, the applicant may be:
(a) the inventor(s);
(b) the legal representative of a deceased or legally incapacitated inventor;
(c) the assignee;
(d) the obligated assignee (i.e., a person to whom the inventor is under an obligation to assign the invention); or
(e) a person who otherwise shows proprietary interest in the application.
For such applications, the person identified in the international stage as the applicant will normally be considered the applicant for the US national phase application, even if such applicant is not the inventor.
US.02
Where the applicant is a person who otherwise shows sufficient proprietary interest in the matter, such applicant must submit a petition including: the applicable fee, a showing that such person has sufficient proprietary interest in the matter, and a statement that making the application for patent by a person who otherwise shows sufficient proprietary interest in the matter on behalf of and as agent for the inventor is appropriate to preserve the rights of the parties.
US.03 INVENTORS
For US national phase applications with an international filing date prior to 16 September 2012, the inventor(s) is required to be the applicant(s) or, if an inventor is dead, insane, or otherwise legally incapacitated, such inventor’s legal representative. This is true even if the national phase documents are filed after 16 September 2012.
US.04
37 CFR 1.41
The inventorship of a US national phase application having an international filing date on or after 16 September 2012 is the inventor or joint inventors set forth in an application data sheet accompanying the initial national phase submission (refer to paragraph US.06). If the initial national phase submission for an application with an international filing date on or after 16 September 2012 is not accompanied by a proper application data sheet, OR if the national phase application has an international filing date prior to 16 September 2012, the inventorship is the inventor or joint inventors set forth in the international application, which includes any change effected under PCT Rule 92bis.
US.05 FORM FOR ENTERING THE NATIONAL PHASE
The USPTO has available a special transmittal form, Form PTO-1390 (refer to Annex US.III), to accompany the fees and documents required for entering the national phase. Use of the Form PTO-1390 is strongly encouraged because the form clearly identifies the submission as a national phase entry filed under 35 USC 371, as required for proper processing (refer to paragraph US.11). In addition, the Form PTO-1390 provides applicants with a checklist of items generally required or potentially applicable to a national phase filing, as well as a mechanism to make specific requests that may be appropriate in a particular national phase application. For example, the Form PTO-1390 contains checkboxes to expressly request that national examination procedures begin immediately (refer to paragraph US.37), to instruct the USPTO not to enter amendments made in the international phase, and to assert small entity status (refer to paragraph US.20). Use of the Form PTO-1390 is not, however, required.
US.06 APPLICATION DATA SHEET (ADS)
37 CFR 1.76, 37 CFR 1.495(c)
Together with the Form PTO-1390 discussed above, applicants are also strongly encouraged to submit an “application data sheet” (ADS). The ADS facilitates electronic capture of the bibliographic data by the USPTO, thus leading to more accurate data recording and quicker processing by eliminating the need to have this data manually extracted from the application documents. An application data sheet form for use where the international filing date is on or after 16 September 2012 (Form PTO/AIA/14) and instructions for preparing the form can be found at: http://www.uspto.gov/patents/apply/forms
The Form PTO/AIA/14 is attached as Annex US.IV.
The Form PTO/AIA/14 is attached as Annex US.IV and the Form PTO/SB/14 is attached as Annex US.V.
US.07
In an application with an international filing date on or after 16 September 2012, an application data sheet is required to postpone submission of the required oath or declaration of the inventors (refer to paragraph US.26, below).
US.08 CORRESPONDENCE
37 CFR 1.1, 37 CFR 1.5, 37 CFR 1.6(d), 37 CFR 1.6(g), 37 CFR 1.8(a)(2)
It is preferable to file the required national phase items online using the USPTO’s Patent Electronic System, which currently comprises EFS-Web and Patent Center. The Patent Electronic System provides customers the ability to electronically file a variety of patent application documents directly to the USPTO, including those associated with US national phase entries under 35 USC 371. It is recommended that applicants continue to use the Form PTO-1390 when electronically filing documents for entry into the US national phase under 35 USC 371 (refer to paragraph US.05). More information regarding the electronic filing of US patent applications using the Patent Electronic System may be obtained at https://www.uspto.gov/patents/apply. Full technical support is available through the Patent Electronic Business Center (EBC) at (1-866) 217 91 97 from 6 a.m. to 12 Midnight Eastern Time, Monday – Friday (except federal holidays). EBC may be emailed anytime at ebc@uspto.gov. In the event that the Patent Electronic System is not available due to an outage, information regarding alternative filing methods may be obtained at https://www.uspto.gov/patents/apply/filing-online/filing-documents-during-outage.
US.09
Patent Center, which will replace EFS-Web, has the added capability of enabling the electronic filing of a sequence listing in Extensible Markup Language (XML) format. This capability is important in view of the implementation of WIPO Standard ST.26, incorporated into U.S. sequence rules 37 CFR 1.831 - 1.839, which require that a sequence listing filed in any national phase application that has an international filing date on or after 1 July 2022 be in XML format in compliance with ST.26. For all applications having an international filing date before 1 July 2022, a sequence listing may be filed as an ASCII text file (.TXT) in ST.25 format, as per 37 CFR 1.821 - 1.825, but not as an ST.26 XML file. The USPTO’s Patent Electronic System has a file size limit of 100 MB for sequence listings in text or XML format, which must be uploaded separately from other types of files. Sequence listing files that exceed 100 MB can be submitted on optical disc in accordance with 37 CFR 1.52(e) on the same day by using Priority Mail Express® from the USPS in accordance with 37 CFR 1.10, or by hand delivery. Note that it is not necessary to submit a copy of a sequence listing that is part of the description of the international application upon entry into national phase at the USPTO if the international application has been published by the International Bureau (IB); the USPTO will obtain a copy of the published international application, including the sequence listing, from the IB under PCT Article 20. The inclusion of a sequence listing as part of the description is indicated on the front page of the published international application. The Patent Electronic System has a file size limit of 25 MB per PDF file, but up to 60 documents of this size may be submitted in a single electronic package.
US.10
National phase documents may also be submitted by mail addressed to: Mail Stop PCT, Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450, USA. If the applicant has received a “Notice of Acceptance of Application Under 35 USC 371 and 37 CFR 1.495”, the reference to “Mail Stop PCT” should be deleted. If a US application number (e.g., 18/123,456) has been assigned, it should be indicated on the documents. If a US application number has not yet been assigned, the correspondence should state the name of the applicant, the international filing date, the international application number and the title of the invention. It is important to note that a copy of the international application used to enter the national phase and/or payment of the required basic national fee may NOT be submitted by facsimile.
US.11
35 USC 371, 35 USC 111, 37 CFR 1.495(g)
A submission to enter the US national phase under the PCT is required by the USPTO to contain a clear indication of this intention. The identification requirement is usually complied with if the Form PTO-1390 for entering the national phase is used (refer to paragraph US.05 above). The identification of the international application, in the declaration or oath of the inventor (refer to paragraph US.23), as a prior filed application for priority purposes, or otherwise, is not considered to be a sufficient indication of an intention to enter the national phase under the PCT. In accordance with 37 CFR 1.495(g), an initial application submission filed on or after 16 September 2012 that contains (e.g., in the application documents and/or the data entered in the Patent Electronic System) conflicting indications as between a new US national patent application under 35 USC 111(a) and a submission to enter the national phase under 35 USC 371 will be treated by the USPTO as a submission to enter the national phase under 35 USC 371. However, an initial application submission filed prior to 16 September 2012 that contains conflicting indications will be treated as a new US national patent application under 35 USC 111(a).
US.12 TRANSLATION (LATE FURNISHING OF)
35 USC 371(d), 37 CFR 1.492(i), 37 CFR 1.495(c), 37 CFR 1.495(d), 37 CFR 1.495(e)
If the applicant pays the basic national fee and a copy of the international application is received within the applicable time limit for national phase entry, but a translation of the international application has not been furnished by the applicant or is incomplete, a notice is sent to the applicant which sets a time period for furnishing the translation. The applicant can then timely furnish the translation provided that a processing fee is paid. The amount of the processing fee is indicated in Annex US.I. The time period set in the notice will be two months from the date of the notice or 32 months from the priority date, whichever is later. The time period set in the notice may be extended as provided for in 37 CFR 1.136(a) (refer to paragraph US.43(i), below). The requirement to provide a translation of the international application encompasses the sequence listing part of the description. If an ST.25 text file that contains non-English free text is part of the international application, the applicant should submit a translated sequence listing text file in which the non-English text is replaced with the English translation, and clearly identify the submission as a translation of the sequence listing part of the description. If an ST.26 XML sequence listing that is part of the international application contains one or more language-dependent qualifiers that do not include an English value, applicant should submit a translated sequence listing in which all language-dependent qualifiers have English values, and clearly identify the submission as a translation of the sequence listing part of the description. Where amendments to the claims have been filed with the International Bureau under Article 19 and the applicant fails to furnish a translation or copy (refer to the Summary of Requirements for Entry into the National Phase) of such amendments to the claims within the time limit for national phase entry, the amendments to the claims are considered to have been cancelled. A translation of any annexes, e.g. Article 34 amendments, to the International Preliminary Examination Report must be furnished prior to the expiration of the applicable time limit under PCT Article 39(1). However, a translation of the annexes may be provided during any time period set under 37 CFR 1.495(c) to furnish a translation of the international application, the inventor’s oath or declaration, the search fee, the examination fee, and/or the application size fee. If a translation of the annexes is not timely filed, the amendments contained in the annexes will be considered to be cancelled. However, such amendments may be reintroduced at a later stage (refer to paragraph US.33).
US.13 TRANSLATION (CORRECTION)
Errors in the translation of the international application can be corrected with reference to the text of the international application as filed (refer to National Phase, paragraphs 6.002 and 6.003). If the translation furnished to the USPTO was incomplete, refer to the preceding paragraph.
US.14 PAYMENT OF NATIONAL FEE
35 USC 371(d), 37 CFR 1.495(b), 37 CFR 1.6(d)(3), 37 CFR 1.8(a)(2)(i)(F)
The basic national fee must be paid within the time limit for entry into the national phase (refer to PCT Article 22(1) or 39(l)a)) which is 30 months after the priority date. This time limit may not be extended. If the basic national fee is not paid within the applicable time period, the application becomes abandoned as to the United States. An authorization to charge the basic national fee to a deposit account, credit card or any other means may NOT be submitted by facsimile.
US.15 SEARCH FEE
37 CFR 1.492(b)(1), 37 CFR 1.492(b)(2), 37 CFR 1.492(b)(3), 37 CFR 1.492(b)(4)
If the applicant pays the basic national fee and a copy of the international application has been received within the time limit for national phase entry, but the search fee has not been paid, a notice is sent to the applicant which sets a time period for furnishing the search fee. The applicant can then furnish the search fee provided a surcharge fee is paid. The amounts of the search fee and the surcharge are provided in Annex US.I. The period set in the notice is extendable as provided in 37 CFR 1.136(a) (refer to paragraph US.43(i)).
US.16 EXAMINATION FEE
37 CFR 1.492(c)(1), 37 CFR 1.492(c)(2)
If the applicant pays the basic national fee and a copy of the international application has been received within the time limit for national phase entry, but the examination fee has not been paid, a notice is sent to the applicant which sets a time period for furnishing the examination fee. The applicant can then furnish the examination fee provided a surcharge fee is paid. The amounts of the examination fee and the surcharge are provided in Annex US.I. The period set in the notice is extendable as provided in 37 CFR 1.136(a) (refer to paragraph US.43(i)).
US.17 APPLICATION SIZE FEE
37 CFR 1.492(j)
For any US national phase application or national application, where the specification and drawings exceed 100 sheets of paper, for each additional 50 sheets, or fraction thereof, an application size fee will apply. For a US national phase application, the application size fee is calculated on the basis of the number of sheets of specification and drawings in the published international application, without regard to the language of the publication. The specification includes the description, claims, and abstract. Certain other sheets typically present in the international publication are not taken into account in determining the application size fee, i.e., Article 19 amendments/statement, the international search report, and any additional bibliographic sheets (other than the cover sheet containing the abstract). The amount of the fee is in Annex US.I.
US.18 ADDITIONAL CLAIMS FEE
37 CFR 1.75(c), 37 CFR 1.492(d), 37 CFR 1.492(e), 37 CFR 1.492(f), 37 CFR 1.492(g), 37 CFR 1.121(c)
An additional claim fee is applicable for each independent claim in excess of three, for each claim in excess of 20, and for an application that contains multiple dependent claim(s). The number of additional claims for fee purposes must be computed on the basis of the claims valid at the beginning of the national phase (that is, where amendments have been filed, the claims as amended under PCT Article 19 or PCT Rule 66.1, 66.3 and 66.4 or the claims as amended in a preliminary amendment submitted in compliance with the applicable US regulations by the applicant upon entering the national phase under PCT Article 28 or 41). Where the applicant fails to pay the correct amount of the additional claims fee, the USPTO will send a notification of fee deficiency and invite payment of the fee at the amount applicable on the date of payment. To avoid abandonment, the fee must be paid or the claims canceled by amendment prior to the expiration of the time period set for reply to any notification of fee deficiency.
US.19 FEE REDUCTION FOR “SMALL ENTITY” OR “MICRO ENTITY”
37 CFR 1.27, 37 CFR 1.28, 37 CFR 1.29, 37 CFR 1.33, 37 CFR 1.492
Applicants having a “small entity” or “micro entity” status are entitled to a reduction of 60% or 80%, respectively, in certain fees.
US.20
“Small entity” status can be established by a single written assertion of entitlement to “small entity” status without use of a specialized form. “Small entity” status may also be established by checking the box provided on the application data sheet discussed in paragraph US.06 or the Form PTO-1390 for entering the national phase discussed in paragraph US.05, or by payment of the exact basic national fee for a small entity. For a US national phase application with an international filing date on or after 16 September 2012, parties who may assert “small entity” status include the applicant, a patent practitioner of record or a practitioner acting in a representative capacity, the inventor or a joint inventor (if the inventor is an applicant), or the assignee. Assertion of small entity status requires a determination of entitlement to that status. For a US national phase application with an international filing date prior to 16 September 2012, parties who may assert “small entity” status include a registered practitioner, one of the inventors, or a partial assignee (an assignee assertion of small entity status must be filed by a 37 CFR 1.33(b) party).
US.21
“Micro entity” status can be established under either the “gross income” or “institution of higher education” basis. Under either basis, an application must also satisfy the requirements for “small entity” status. Unlike “small entity” status, “micro entity” status cannot be established by a simple statement alleging entitlement to “micro entity” status, by checking the box provided on the application data sheet or the Form PTO-1390 for entering the national phase, or by payment of the exact basic national fee. Rather, a certification of entitlement to “micro entity” status must be submitted. The USPTO provides Forms PTO/SB/15A and PTO/SB/15B for use in certifying “micro entity” status. These forms are available on the USPTO Web site at: http://www.uspto.gov/patents/apply/forms;
copies of the certification forms are also in Annex US.VI and US.VII. The certification of “micro entity” status must be executed by a party authorized under 37 CFR 1.33(b). It should be noted that a registered practitioner is required to sign the certification for any applicant that is a corporation or organization; an officer of an assignee corporate applicant, for example, is not authorized to sign the certificate of “micro entity” status.
US.22 FEES (MANNER OF PAYMENT)
37 CFR 1.23
The manner of payment of the fees indicated in the Summary and in this Chapter is outlined in Annex US.I. A copy of a Credit Card Payment Form (Form PTO-2038) and the instructions thereto is attached as Annex US.II. It should be noted that an authorization to charge the basic national fee to a deposit account, credit card or any other means may NOT be submitted by facsimile.
US.23 OATH OR DECLARATION OF THE INVENTOR
35 USC 115, 35 USC 371(c)(4), 35 USC 371(d), 37 CFR 1.497, 37 CFR 1.495(c), 37 CFR 1.63, 37 CFR 1.64
As a result of changes implemented by the America Invents Act (AIA), the requirements for the oath or declaration of the inventor depend on whether an application was filed before or after 16 September 2012. A sample of an appropriate declaration for use in applications with an international filing date on or after 16 September 2012 is provided in Annex US.VII. In addition, Box No. VIII(iv) of the PCT request form (PCT/RO/101) contains a “DECLARATION: INVENTORSHIP (only for the purposes of the designation of the United States of America).” The declaration contained in Box No. VIII(iv) of the PCT request form (PCT/RO/101) was updated in the 16 September 2012 revision of the PCT request form (PCT/RO/101) to comply with the revised US law. Accordingly, the “DECLARATION: INVENTORSHIP (only for the purposes of the designation of the United States of America)” contained in previous versions of the PCT request form (PCT/RO/101) does not comply with current US law and will not be accepted by the USPTO with respect to applications with an international filing date on or after 16 September 2012.
US.24
For applications with an international filing date on or after 16 September 2012, a “substitute statement” may be submitted in lieu of an oath or declaration of the inventors if the inventor is deceased, is under a legal incapacity, has refused to execute the oath or declaration, or cannot be found or reached after diligent effort (a sample “substitute statement” form is provided in Annex US.X).
US.25
For applications with an international filing date before 16 September 2012, if the applicant pays the basic national fee and a copy of the international application is received within the time limit for entry into the national phase, but an oath or declaration of the inventor is not furnished, a notice shall be sent to the applicant which sets a time period for furnishing the oath or declaration. The applicant can then furnish the oath or declaration provided that a surcharge is paid. The amount of the surcharge is indicated in Annex US.I. The time period set in the notice will be two months from the date of the notice or 32 months from priority date, whichever is later. The time period set in the notice is extendable as provided for in 37 CFR 1.136 (a) (refer to paragraph US.43(i)).
US.26
For applications with an international filing date on or after 16 September 2012, the submission of an “application data sheet” (refer to paragraph US.06) identifying each inventor and providing each inventor’s residence and mailing address will permit the applicant to postpone submission of the oath or declaration of the inventor (or substitute statement, if applicable) until the application is otherwise in condition for allowance. In such cases, the USPTO will issue a Notice Of Acceptance (Form PCT/DO/EO/903) and refer the application for publication and examination; however, the Notice Of Acceptance (Form PCT/DO/EO/903) will indicate that the oath or declaration requirement has not yet been satisfied.
US.27 POWER OF ATTORNEY
37 CFR 1.31, 37 CFR 1.32
No representation of the applicant by an attorney or agent is required where the applicant is an individual or individuals; however, a juristic entity (e.g., organizational assignee) must be represented by an attorney or agent. Where an attorney or agent is to represent an applicant, a power of attorney signed by the applicant/inventor to an attorney or agent registered to practice before the USPTO is required. Sample power of attorney forms for use in an application with an international filing date on or after 16 September 2012 (Forms PTO/AIA/80, 81 and 82) are in Annexes US.IX-XI. It is highly advisable to be represented by an attorney or agent.
US.28 INFORMATION DISCLOSURE STATEMENT
37 CFR 1.56, 37 CFR 1.97, 37 CFR 1.98
The applicant must (to be prudent) file with the USPTO, not later than three months from the date of entry of the national phase, an information disclosure statement. Such statement must disclose all information of which the applicant, or any other person substantively involved with the preparation of the application or its prosecution, is aware which is material to the patentability of the invention. Such information is material to patentability when it is not cumulative to information already of record in the application, and (1) it establishes, by itself or in combination with other information, a prima facie case of unpatentability of a claim; or (2) it refutes, or is inconsistent with, a position the applicant takes in (i) opposing an argument of unpatentability relied upon by the Office, or (ii) asserting an argument of patentability. A prima facie case of unpatentability is established when the information compels a conclusion that a claim is unpatentable by the preponderance of evidence, burden of proof standard, giving each term in the claim its broadest reasonable construction consistent with the description, and before any consideration is given to evidence which may be submitted in an attempt to establish a contrary conclusion of patentability.
US.29
The information disclosure statement must include:
(1) a listing (preferably on Forms PTO/SB/08a and 08b, refer to Annex US.XII) of patents, applications, publications or other information. US patents and US patent applications must be listed in a section separately from citations of other documents. Each page of the listing must include:
(i) the application number of the application in which the information disclosure statement is being submitted;
(ii) a column that provides a space, next to each document to be considered, for the examiner’s initials;
(iii) a heading that clearly indicates that the list is an information disclosure statement;
(2) a copy of each listed item except for US patents and US patent application publications;
(3) for each item listed which is not in the English language, a concise explanation of its relevance.
US.30
Applicants may also file an information disclosure statement via the Office’s electronic filing system (EFS-Web/Patent Center) by:
(1) entering the references’ citation information in a fillable electronic form equivalent to the revised Forms PTO/SB/08a and 08b; and
(2) transmitting the fillable electronic form data to the Office via EFS-Web/Patent Center.
US.31
35 USC 371, 37 CFR 1.97, 37 CFR 1.98
Note, however, that the examiner will consider the documents cited in the international search report in a PCT national phase application when the Form PCT/DO/EO/903 (which is sent to notify the applicant after he has entered the national phase of the acceptance of the international application under 35 USC 371) indicates that both the international search report and the copies of the prior art documents are present in the national phase file. In such a case, the examiner will consider the documents from the international search report and indicate by a statement in the first Office action that the information has been considered. There is no requirement that the examiner list the documents on a Notice of References Cited (Form PTO-892). In order to have these prior art documents printed on any resulting patent, the applicant must provide a separate listing (preferably on Forms PTO/SB/08a and 08b). If Form PCT/DO/EO/903 does not indicate that both the international search report and copies of the prior art documents are present in the national stage file, the applicant must follow the procedures set forth in 37 CFR 1.97 and 1.98 (concerning the filing and content of information disclosure statements), as outlined above, in order to ensure that the examiner considers the documents cited in the international search report.
US.32
37 CFR 1.97(e)
A translation into English of the pertinent portions in a non-English language document must be transmitted if an existing translation is readily available to the applicant. Any additional information material to the claimed invention which becomes available after the transmittal of the statement should, within three months of its availability, be submitted by a supplemental information disclosure statement. Failure to disclose completely any pertinent information may result in any resulting US patent based on the application being unenforceable. A fee or an appropriate statement under 37 CFR 1.97(e) is required if an information disclosure statement is submitted more than three months after entry to the national stage and after a first Office action is mailed, but before a final Office action or a notice of allowance is issued. After a final Office action or a notice of allowance has been issued but before payment of the issue fee, a fee and an appropriate statement under 37 CFR 1.97(e) will be required to have an information disclosure statement considered.
US.33 AMENDMENT OF THE APPLICATION; TIME LIMITS
PCT Art. 28
The applicant may make the following amendments, provided no new matter is introduced in the disclosure of the invention:
35 USC 133, 37 CFR 1.111, 37 CFR 1.112, 37 CFR 1.113, 37 CFR 1.114, 37 CFR 1.115, 37 CFR 1.116, 37 CFR 1.117, 37 CFR 1.118, 37 CFR 1.119, 37 CFR 1.120, 37 CFR 1.121, 37 CFR 1.122, 37 CFR 1.123, 37 CFR 1.124, 37 CFR 1.125, 37 CFR 1.126, 37 CFR 1.127
(i) before the final decision of the USPTO to grant or to reject the patent, the applicant may file amendments to the description, claims and drawing(s) of his own volition or when specifically required by the examiner;
37 CFR 1.116
(ii) after the final decision, amendments may be made only by cancelling claims or complying with any requirement of form which has been made by the examiner, or by presenting rejected claims in better form for reconsideration on appeal.
US.34
37 CFR 1.121, 37 CFR 1.125
For the manner of making amendments and the required format, refer to the applicable US regulations, in particular 37 CFR 1.121 and 1.125. One of the requirements for effectively amending claims in a national phase application is a complete listing of all claims ever presented, including the text of all pending and withdrawn claims. The status of every claim in such listing must be indicated after its claim number by one of the following identifiers in a parenthetical expression: (Original), (Currently Amended), (Canceled), (Withdrawn), (Previously Presented), (New), and (Not Entered). All “currently amended” claims must include markings to indicate the changes made relative to the immediate prior version of the claims: underlining to indicate additions, strike-through or double brackets for deletions (refer to 37 CFR 1.121(c) for further details regarding the format of claim amendments). Applicants should note that, in an amendment to the claims filed in a national phase application, the status identifier “original” must be used for claims that had been presented on the international filing date and not modified or canceled. The status identifier “previously presented” must be used in any amendment submitted during the national phase for any claims added or modified under PCT Articles 19 or 34 in the international phase that were subsequently entered in the national phase. The status identifier “canceled” must be used in any amendment submitted during the national phase for any claims canceled under an Article 19 or 34 amendment in the international phase and subsequently entered in the national phase.
Example 1: Original claims 1-10; Article 19/34 filed with claims 1-20 listed on the replacement sheet wherein claims 1-10 were unchanged and claims 11-20 were added; the status of the claims prior to any further amendment under 37 CFR 1.121 would be as follows: claims 1-10 as “original” and claims 11-20 as “previously presented.”
Example 2: Original claims 1-10; Article 19/34 filed with claims 1-9 listed on the replacement sheet wherein claims 1-9 were unchanged and claim 10 was cancelled; the status of the claims prior to any further amendment under 37 CFR 1.121 would be as follows: claims 1-9 as “original” and claim 10 as “cancelled.”
Example 3: Original claims 1-10; Article 19/34 filed with claims 1-9 listed on the replacement sheet wherein claim 1 was unchanged, claim 2 was cancelled and claims 3-10 were renumbered as claims 2-9; the status of the claims prior to any further amendment under 37 CFR 1.121 would be as follows: claim 1 as “original, ”, claims 2-9 as “previously presented” and claim 10 as “cancelled.”
Example 4: Original claims 1-10; Article 19/34 filed with claims 1-10 listed on the replacement sheet wherein claims 1 and 3-10 were unchanged and claim 2 was cancelled; the status of the claims prior to any further amendment under 37 CFR 1.121 would be as follows: claims 1 and 3-10 as “original” and claim 2 as “cancelled.”
Proposed amendments that are not submitted in compliance with the applicable regulations will not be entered. For example, the submission with the national phase documents of a revised set of claims, absent a preliminary amendment to the claims in compliance with 37 CFR 1.121(c), will not be effective to amend the claims of record in the application.
US.35 FEE FOR GRANT
37 CFR 1.18
A patent issue fee and any required publication fee must be paid within a nonextendable period of three months after the mailing of a written notice of allowance. The amount of the said fee is indicated in Annex US.I.
US.36 MAINTENANCE FEES
37 CFR 1.20
After a patent has been issued, a fee must be paid for maintaining the patent in force beyond four years after grant. The first such fee is due by three years and six months after issue of the patent. Where the applicant fails to pay within that time limit, he may receive an invitation to pay from the USPTO. Lack of receipt of such an invitation will not be accepted as an excuse for non-payment of the maintenance fee. Payment can then still be made together with a surcharge within the six months following the due date. The amount of the maintenance fees, of the surcharge, and their due dates are indicated in Annex US.I.
US.37 EARLY START OF NATIONAL PHASE BEFORE THE USPTO
PCT Art. 23(2), 35 USC 371(f)
If the applicant desires the examination by the USPTO of his application to start earlier than the expiration of the time limit for entry into the national phase, he must file in writing an express request therefor and submit the basic national fee, a copy of the international application, a translation of the international application (if required) and an oath or declaration of the inventor. The express request may be accomplished, for example, by checking the appropriate box on the Form PTO-1390 for entry into the national phase referred to in paragraph US.05 and reproduced in Annex US.III.
US.38
The mechanism for deferring submission of the oath or declaration of the inventor by filing an “application data sheet” (refer to paragraph US.26) is not applicable where the applicant requests early examination by the USPTO. Such early examination of the application requires submission of the oath or declaration (or the substitute statement, if applicable).
US.39 CONTINUATION, CONTINUATION-IN-PART OR DIVISIONAL
35 USC 111, 35 USC 120, 35 USC 365(c), 35 USC 371(c), 37 CFR 1.76, 37 CFR 1.78, 37 CFR 1.495(h)
The applicant may—instead of entering the national phase—file a continuation, continuation-in-part or divisional of the international application (hereinafter referred to as “the continuing application”), provided the international application designates the US and is not (considered) withdrawn or abandoned at the time of filing the continuing application. An international application is considered abandoned after the expiration of the time limit for entry into the national phase, which is 30 months after the priority date, if a copy of the international application and the basic national fee have not been received in the USPTO. When the basic national fee has been paid and a copy of the international application has been communicated by the International Bureau within the time limit for entry into the national phase, but additional national phase requirements have not been submitted (e.g., an English translation and/or additional required fees), a notice will be sent to the applicant to furnish such additional required materials. If the applicant does not properly respond to the notice within the time period set by the USPTO, the international application will become abandoned.
US.40
Basically, the normal procedure for filing continuing applications applies. The applicant must submit an application data sheet (refer to paragraph US.06) claiming the benefit of the international filing date of the international application designating the US. The reference to the international application in the application data sheet must identify the international application by international application number and international filing date, and it must indicate the relationship of the applications (i.e., continuation, continuation-in-part, or divisional). This reference to the international application must be submitted during the pendency of the continuing application, and within the later of four months from the actual filing date of the continuing application or sixteen months from the filing date of the international application. This time limit is not extendable. The USPTO may require the filing of a certified copy of the international application together with a translation thereof into English where it was filed in another language. The continuing application may be filed in a language other than English, provided a translation into English is furnished together with a surcharge (refer to Annex US.I) within the time period fixed by the USPTO in an invitation. Where, at the time of filing the continuing application, the basic filing fee has not been paid or the oath or declaration of the inventor has not been furnished, the requirement may still be complied with against payment of a surcharge within the time period fixed by the USPTO in an invitation. Use of the Form PTO-1390 reproduced in Annex US.III is not appropriate for the filing of a continuing application.
US.41 REVIEW UNDER ARTICLE 25 OF THE PCT
PCT Art. 25, PCT Rule 51, 35 USC 367, 37 CFR 1.182
The applicable procedure is outlined in paragraphs 6.018 to 6.021 of the National Phase. If, upon review under PCT Article 25, the USPTO finds no error or omission on the part of the receiving Office or the International Bureau, a petition may be taken to the Commissioner of the USPTO, which must contain a statement of the facts involved and the point or points to be reviewed and the action requested. The fee for petition indicated in Annex US.I must be paid at the same time. Any such petition not filed within two months from the action complained of may be dismissed as untimely.
US.42 EXCUSE OF DELAYS IN MEETING TIME LIMITS
PCT Art. 48(2), PCT Rule 82bis, 37 CFR 1.137
An application abandoned for failure to comply with a time limit during the international phase or for failure to prosecute within a statutory time period before the USPTO, may be revived as a pending application if it is shown to the satisfaction of the USPTO that the delay was unintentional. Any petition to revive an abandoned application must be filed in writing and be accompanied by a petition fee, the amount of which is indicated in Annex US.I, by a proper response to the failed action unless such response has been previously submitted and by a statement indicating that the entire delay was unintentional. The USPTO has provided Form PTO/SB/64PCT (refer to Annex US.XVI) for use as a petition to revive an unintentionally abandoned international application (use of the form is optional).
US.43
The US rules provide for two distinct procedures to extend the period for action or response in particular situations (the procedure which is available for use in a particular situation will depend upon the circumstances):
37 CFR 1.136
(i) 37 CFR 1.136(a) permits an applicant, against payment of an extension fee (refer to Annex US.I), to file a petition for extension of time up to five months after the end of the time period set to take action except
(1) where excluded,
(2) in interference proceedings,
(3) where the applicant has been notified otherwise in an Office action or
(4) where no further time is available under a set statutory period.
The petition and fee can be filed prior to or with or after the response, but the fee must be paid within the time extended. The filing of the petition and fee will extend the time period to take action up to five months dependent on the amount of the fee paid except in those circumstances noted above. The time limit to furnish the basic national fee and a copy of the international application under 37 CFR 1.495 may not be extended.
(ii) After entry into the national phase, 37 CFR 1.136(b) provides for petitions for extensions of time of shortened statutory or non-statutory time periods upon a showing of sufficient cause when the procedure of 37 CFR 1.136(a) is not available and if additional time is still available under a shortened statutory period or if no statutory period applies.
Although the petition and fee procedure of 37 CFR 1.136(a) will normally be available within five months after a set period for response has expired, an extension request for cause under 37 CFR 1.136(b) must be filed during the set period for response. The amount of the petition fee is indicated in Annex US.I.
US.44 RECORDING OF ASSIGNMENT DOCUMENTS
37 CFR 3.21, 37 CFR 3.24, 37 CFR 3.28, 37 CFR 3.31
The USPTO will record assignments relating to international patent applications which designate the US. The assignment must identify the application by the international application number. Each document submitted for recording must be accompanied by a cover sheet referring to the international application. A sample recordation form cover sheet is contained in Annex US.XV. Each cover sheet must contain:
1) the name of the party conveying the interest;
2) the name and address of the party receiving the interest;
3) a description of the interest conveyed or transaction to be recorded;
4) the application number;
5) the name and address of the party to whom correspondence concerning the request to record the document should be mailed;
6) the number of applications, patents or registrations identified in the cover sheet and the total fee;
7) the date the document was executed;
8) a statement by the party submitting the document that to the best of the person’s knowledge and belief, the information contained on the cover sheet is true and correct and any copy submitted is a true copy of the original document; and
9) the signature of the party submitting the document.
US.45
Assignments may be filed electronically via the Electronic Patent Assignment System (EPAS). EPAS may be accessed directly at the following web address: https://epas.uspto.gov. General information about the electronic filing of assignments may be obtained from the Assignment Services Division Customer Service Desk at (1-571) 272-3350 during regular business hours or via e-mail directed to EPAS@uspto.gov. Applicants should note that assignments may NOT be filed via the EFS-Web/Patent Center electronic filing system.
US.46 PUBLICATION OF APPLICATIONS
37 CFR 1.211, 37 CFR 1.213, 37 CFR 1.221
Each international application in compliance with 35 USC 371 and continuing application (refer to paragraph US.39) from an international application will be published promptly after the expiration of eighteen months from the earliest filing date for which a benefit is sought, unless the application (1) is no longer pending; (2) is subject to national security provisions; (3) has issued as a patent; or (4) was filed with a nonpublication request in compliance with 37 CFR 1.213(a). (A nonpublication request may not be filed if the international application designated any States in addition to or other than the United States of America.) The publication fee (refer to Annex US.I) must be paid before the patent will be granted. If the application is not published under this section, the publication fee (if paid) will be refunded.
US.47 PROVISIONAL RIGHTS
35 USC 154(d), 37 CFR 1.417
35 USC 154(d) provides for provisional rights based on international applications. A patent will include the right to obtain a reasonable royalty from any person who partakes of any of the actions listed in 35 USC 154(d)(1) during the period commencing on the date of the publication under PCT Article 21(2)(a) of the international application designating the US, if the publication is in English, or if the publication is in a language other than English, on the date the USPTO receives a translation of the publication in the English language, and ending on the date the patent is issued. The submission of the international publication or an English language translation of the international application pursuant to 35 USC 154(d)(4) must clearly identify the international application to which it pertains (37 CFR 1.5(a)) and, unless it is being submitted pursuant to 37 CFR 1.495, be clearly identified as a submission pursuant to 35 USC 154(d)(4). Otherwise, the submission will be treated as a filing under 35 USC 111(a). Such submissions should be marked “Mail Stop PCT.” The right to obtain a reasonable royalty is not available unless the invention as claimed in the patent is substantially identical to the invention claimed in the published international application.
US.48 FORMS
All forms are available online at:
http://www.uspto.gov/patents/apply/forms

Annexes

Annex US.I - Fees
The amounts of these fees change periodically. The United States Patent and Trademark Office or the current USPTO Fee Schedule should be consulted for the applicable amounts at:
https://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
National fee
A national fee calculation sheet appears in Annex US.III
Basic national fee (37 CFR 1.492(a))
320 USD
Small entity (128 USD) 11
Micro entity (64 USD) 12
Search fee (37 CFR 1.492(b)):
— IPRP (Chapter II) prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4)
0 USD
Small entity (0 USD) 11
Micro entity (0 USD) 12
— International search fee paid to the USPTO as ISA
140 USD
Small entity (56 USD) 11
Micro entity (28 USD) 12
— Search report has been prepared by an ISA other than the US and is provided or has been previously communicated by the IB to the USPTO
540 USD
Small entity (216 USD) 11
Micro entity (108 USD) 12
— All other situations
700 USD
Small entity (280 USD) 11
Micro entity (140 USD) 12
Examination fee (37 CFR 1.492(c)):
— IPRP (Chapter II) prepared by the IPEA/US or the written opinion was prepared by the ISA/US, all claims presented satisfied provisions of PCT Article 33(1) to (4)
0 USD
Small entity (0 USD) 11
Micro entity (0 USD) 12
— All other situations
800 USD
Small entity (320 USD) 11
Micro entity (160 USD) 12
For every 50 sheets or fraction thereof of the specification and drawings that exceeds 100 sheets (excluding any sequence listing or computer program listing filed in an electronic medium) (37 CFR 1.492(j))
420 USD
Small entity (168 USD) 11
Micro entity (84 USD) 12
Additional claims fee, where there are more than three claims in independent form, for each independent claim in excess of 3 (37 CFR 1.492(d))
480 USD
Small entity (192 USD) 11
Micro entity (96 USD) 12
Additional claims fee, where there are more than 20 claims (whether in independent or dependent form), for each claim in excess of 20 (37 CFR 1.492(e))
100 USD
Small entity (40 USD) 11
Micro entity (20 USD) 12
A multiple dependent claim fee, where the application contains one or more multiple dependent claim(s), per application (37 CFR 1.492(f))
860 USD
Small entity (344 USD) 11
Micro entity (172 USD) 12
In computing the claims fee, a multiple dependent claim is to be treated as if it were the same number of separate claims as the number of claims on which it depends; the same applies to any claim depending from a multiple dependent claim (e.g., a claim depending on three claims requires a fee of three dependent claims)
Surcharge for filing any of the search fee, the examination fee, or the oath or declaration after the date of commencement of the national stage (37 CFR 1.492(h))
160 USD
Small entity (64 USD) 11
Micro entity (32 USD) 12
Processing fee for filing English translation of an international application after the time limit applicable under PCT Article 22 or 39(1) (37 CFR 1.492(i))
140 USD
Small entity (56 USD) 11
Micro entity (28 USD) 12
Reductions of the national fee
Reductions of the national fee are indicated under the national fees listed above.
Other fees
Publication fee (37 CFR 1.18(d)(1))
0 USD
Small entity (0 USD) 11
Micro entity (0 USD) 12
Publication fee for republication (37 CFR 1.18(d)(3))
320 USD
Small entity (320 USD) 11
Micro entity (320 USD) 12
Utility issue fee (37 CFR 1.18(a)(1))
1,200 USD
Small entity (480 USD) 11
Micro entity (240 USD) 12
Reissue issue fee (37 CFR 1.18(a)(1))
1,200 USD
Small entity (480 USD) 11
Micro entity (240 USD) 12
Maintenance fees:
Maintenance fees are payable for international applications filed on or after 12 December 1980. Check the current USPTO Fee Schedule for current amounts of the maintenance fees at the time payment is due at:
https://www.uspto.gov/learning-and-resources/fees-and-payment/uspto-fee-schedule
— for maintaining patent in force beyond four years (due by three years and six months after grant) (37 CFR 1.20(e))
2,000 USD
Small entity (800 USD) 11
Micro entity (400 USD) 12
— for maintaining patent in force beyond eight years (due seven years and six months after grant) (37 CFR 1.20(f))
3,760 USD
Small entity (1,504 USD) 11
Micro entity (752 USD) 12
— for maintaining patent in force beyond 12 years (due by 11 years and six months after grant) (37 CFR 1.20(g))
7,700 USD
Small entity (3,080 USD) 11
Micro entity (1,540 USD) 12
Mega-Sequence Listing filing fee:
— submission of sequence listing of 300 MB to 800 MB (37 CFR 1.21(o)(1))
1,060 USD
Small entity (424 USD) 11
Micro entity (212 USD) 12
— submission of sequence listing of more than 800 MB (37 CFR 1.21(o)(2))
10,500 USD
Small entity (4,200 USD) 11
Micro entity (2,100 USD) 12
Patent application processing fees
Extension fee for response pursuant to 37 CFR 1.136(a):
— within first month (37 CFR 1.17(a)(1))
220 USD
Small entity (88 USD) 11
Micro entity (44 USD) 12
— within second month (37 CFR 1.17(a)(2))
640 USD
Small entity (256 USD) 11
Micro entity (128 USD) 12
— within third month (37 CFR 1.17(a)(3))
1,480 USD
Small entity (592 USD) 11
Micro entity (296 USD) 12
— within fourth month (37 CFR 1.17(a)(4))
2,320 USD
Small entity (928 USD) 11
Micro entity (464 USD) 12
— within fifth month (37 CFR 1.17(a)(5))
3,160 USD
Small entity (1,264 USD) 11
Micro entity (632 USD) 12
Submission of information disclosure statement pursuant to 37 CFR 1.97(c) and (d) (37 CFR 1.17(p))
260 USD
Small entity (104 USD) 11
Micro entity (52 USD) 12
For filing a petition to the Commissioner
Petition fee:
— for restoration of the right of priority to a prior foreign application under 37 CFR 1.55(c) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for acceptance of an unintentionally delayed claim for priority to a prior foreign application under 37 CFR 1.55(e) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for acceptance of a certified copy of a foreign priority application submitted after the expiration of the applicable time period under 37 CFR 1.55(f) (37 CFR 1.17(g))
220 USD
Small entity (88 USD) 11
Micro entity (44 USD) 12
— for restoration of the right of priority to a prior-filed US provisional application under 37 CFR 1.78(b) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for acceptance of an unintentionally delayed claim for the benefit of a prior-filed US provisional application under 37 CFR 1.78(c) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for acceptance of an unintentionally delayed claim for the benefit of a prior-filed US non-provisional application or international application under 37 CFR 1.78(e) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for revival of an unintentionally abandoned application under 37 CFR 1.137(a) (37 CFR 1.17(m))
2,100 USD
Small entity (840 USD) 11
Micro entity (420 USD) 12
— for decisions on questions not specifically provided for (37 CFR 1.182) (37 CFR 1.17(f))
420 USD
Small entity (168 USD) 11
Micro entity (84 USD) 12
How can payment of fees be effected?
All payments must be made in US dollars
Any payment may be effected by:
— United States Postal Service money order (37 CFR 1.23)
— check (37 CFR 1.23)
— USPTO deposit account (37 CFR 1.25)
— credit card (37 CFR 1.23(b))
Money orders and checks must be payable in United States dollars to the “Director of the U.S. Patent and Trademark Office.” Remittance from foreign countries must be payable and immediately negotiable in the United States of America for the full amount of the fee required. All payments must indicate the complete application number, the name of applicant and the type of fee being paid
Payment for all fees may be made using one of the following credit cards: MasterCard, VISA, American Express and Discover. Payment using a debit card or check card will not be accepted. Applicants making payments by credit card should use form PTO-2038 contained in this Annex. Blanket authorizations of payments to credit cards will not be accepted. The fee amount must be specified. Credit card authorization may be used only one time. Subsequent charges will require a new authorization. ADVISORY: If filing by EFS-Web/Patent Center, do NOT attach the PTO-2038 form as a PDF along with your EFS-Web/Patent Center submission. Please be advised that this is not recommended and by doing so your credit card information may be displayed via PAIR. To protect your information, it is recommended paying fees online by using the electronic payment method. The PTO-2038 should only be mailed or faxed to the USPTO. The PTO-2038 may not be faxed to the USPTO when paying the basic national fee.
For information concerning electronic transfer of funds to the USPTO, please contact Jusu Jallah, Office of Finance at:
(571) 272-7473 or (571) 272-6500
fax (571) 273-7473
Applicants choosing to pay by electronic transfer should insure that the full amount of the fee due is received by the USPTO. There is a danger of loss of rights if bank charges are deducted
Additional information regarding acceptable methods for paying fees to the USPTO can be found at:
https://www.uspto.gov/learning-and-resources/fees-and-payment/accepted-payment-methods
Notes:
1 a This Office has limited its availability as International Searching Authority to 250 international applications per quarter. For further details, refer to https://www.uspto.gov/web/offices/com/sol/og/2014/week52/TOC.htm#ref20
2 a This Authority is competent only where it has not received more than 100 international applications from the USPTO during the relevant fiscal quarter. For further information, refer to http://www.uspto.gov/sites/default/files/documents/mod-ilpo-isa-ipea.pdf
3 a This Authority is competent only if it has not received more than 8,400 international applications from the USPTO during the five year period from 1 July 2018 to 30 June 2023, not more than 300 applications per quarter during the first and second years, and not more than 500 applications per quarter during the third, fourth and fifth years.
4 a b c d e This Authority is competent only if the international search is or has been carried out by that Office.
5 a b c d e f g h i j k l m This amount is applicable in case of filing by a “small entity”. For further details on the entitlement to and the establishment of “small entity” status, refer to http://www.uspto.gov/web/offices/pac/mpep/s509.html#d0e30961 and 37 CFR 1.27 at: http://www.uspto.gov/web/offices/pac/mpep/consolidated_rules.pdf.
6 a b c d e f g h i j k l m This amount is applicable in case of filing by a “micro entity”. For further details on the entitlement to and the establishment of “micro entity” status, refer to http://www.uspto.gov/web/offices/pac/mpep/s509.html#ch500_d1ff69_210b3_1ca and 37 CFR 1.29 at: http://www.uspto.gov/web/offices/pac/mpep/consolidated_rules.pdf.
7 a b c d e f g h i j k l m n o The amount in parentheses is applicable in case of filing by a “small entity” (refer to paragraphs US. 19-21).
8 a b c d e f g h i j k l m n o The amount in parentheses is applicable in case of filing by a “micro entity” (refer to paragraphs US. 19-21).
9 a Refer to paragraphs US 23-26.
10 a Should be filed within three months from performing the acts for entering the national phase (refer to 37 CFR 1.491).
11 a b c d e f g h i j k l m n o p q r s t u v w x y z { | } ~  €  ‚ ƒ „ The amount in parentheses is applicable in case of filing by a “small entity.” “Small entity” status can be established by a simple written assertion of entitlement to “small entity” status, or by payment of the exact amount of the “small entity” basic national fee as set forth in 37 CFR 1.492(a) (refer to 37 CFR 1.27, paragraph US.14 and Annex US.VI).
12 a b c d e f g h i j k l m n o p q r s t u v w x y z { | } ~  €  ‚ ƒ „ The amount in parentheses is applicable in case of filing by a “micro entity”. For further details on the establishment of “micro entity” status, refer to page 75033 at: http://www.uspto.gov/aia_implementation/77fr75019.pdf.
Special edition as of 31 October 2023, prepared for EQE candidates printed on 23 Jul 2024