Document affecting title

No small entity discount for recordation of documents affecting title

13. In accordance with the patent laws, rules and procedures as related in the MPEP,

which of the following fees may not be reduced by 50 percent for “small entities”?

(A) The basic filing fee for a design patent application.

(B) The fee for a disclaimer.

(C) The fee for a petition for an extension of time.

(D) The fee for recording a document affecting title.

(E) The maintenance fee due at 3 years and six months after grant.

13. ANSWER: (D) is the most correct answer. 35 U.S.C. § 41(h); MPEP §§ 302.06; 509.02.

35 U.S.C. § 41(h) specifies that the fees “charged under subsection (a) or (b) shall be reduced by

50 percent with respect to their application to any small business concern as defined under

section 3 of the Small Business Act, and to any independent inventor or nonprofit organization as

defined in regulations issued by the Director.” Since the fee for a document affecting title is

charged pursuant to 35 U.S.C. § 41(d)(1), it not subsection (a) or (b), and it is not entitled to a

small entity discount. See also MPEP 509.02, which states, “[o]ther fees, established under

section 41 (c) or (d) of Title 35, United States Code, are not reduced for small entities since such

a reduction is not permitted or authorized by Public Law 97-247. Fees which are not reduced

include . . . miscellaneous fees and charges, 37 CFR 1.21.” Fees for recording documents

affecting title are set under 37 CFR § 1.21(h). See MPEP § 302.06. (A) is entitled to a small

entity discount because it is a fee charged pursuant to 35 U.S.C. 41(a)(3)(A). (B) is entitled to a

small entity discount because it is charged pursuant to 35 U.S.C. 41(a)(5). (C) is entitled to a

small entity discount because it is charged pursuant to 35 U.S.C. 41(a)(8). (E) is entitled to a

small entity discount because it is charged pursuant to 35 U.S.C. 41(b)(1).

500 Receipt and Handling of Mail and Papers

509.02 Small Entity Status - Definitions [R-3]

The fees which are reduced include patent application filing fees >including the basic filing fee, search fee,

examination fee, application size fee, and excess claims fees< ( 37 CFR 1.16), extension of time, revival,

and appeal fees ( 37 CFR 1.17), patent issue fees ( 37 CFR 1.18), statutory disclaimer fee ( 37 CFR 1.20(d)),

and maintenance fees on patents ( 37 CFR 1.20). Other fees, established under section 41 (c) or *>(d)(2)< of Title 35,

United States Code, are not reduced for small entities since such a reduction is not permitted or authorized by 35 U.S.C. 41(h)(1).

Fees which are not reduced include petition and processing fees (other than revival), 37 CFR 1.17(*>f<)-(k),

document supply fees, 37 CFR 1.19, certificate of correction fees, 37 CFR 1.20(a), request for reexamination fees,

37 CFR 1.20(c), miscellaneous fees and charges, 37 CFR 1.21, and international application fees, 37 CFR 1.445.