MPEP § 1208.01 — Fee for Forwarding an Appeal to the Board (Annotated Rules)
§1208.01 Fee for Forwarding an Appeal to the Board
This page consolidates and annotates all enforceable requirements under MPEP § 1208.01, including statutory authority, regulatory rules, examiner guidance, and practice notes. It is provided as guidance, with links to the ground truth sources. This is information only, it is not legal advice.
Fee for Forwarding an Appeal to the Board
This section addresses Fee for Forwarding an Appeal to the Board. Primary authority: 37 CFR 41.45, 37 CFR 41.20, and 37 CFR 1.16. Contains: 2 requirements, 1 prohibition, 2 guidance statements, 1 permission, and 6 other statements.
Key Rules
Appeal Forwarding Fee
The examiner's answer should provide notice that the appeal forwarding fee must be paid within the requisite time period or the appeal will stand dismissed. See form paragraphs 12.279 and 12.279.01. It is preferable that appellants pay this fee at the same time any reply brief is filed.
The appeal forwarding fee is premature if the fee is filed prior to the mailing of the examiner’s answer. In addition, the Office cannot accept a general authorization to pay the appeal forwarding fee because appeal fees are found in 37 CFR 41.20 and not 37 CFR 1.16 to 1.18. See 37 CFR 1.25(b). Applicant should be clear in its authorization that the fee is directed to payment of the appeal forwarding fee. It is suggested that the applicant consider filing form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). An applicant who files a reply brief and authorizes the Office to charge any fees related to the submission of this paper will not have authorized the Office to charge the appeal forwarding fee because the submission of the reply brief and submission of the appeal forward fee are not required to be submitted at the same time.
The appeal forwarding fee is premature if the fee is filed prior to the mailing of the examiner’s answer. In addition, the Office cannot accept a general authorization to pay the appeal forwarding fee because appeal fees are found in 37 CFR 41.20 and not 37 CFR 1.16 to 1.18. See 37 CFR 1.25(b). Applicant should be clear in its authorization that the fee is directed to payment of the appeal forwarding fee. It is suggested that the applicant consider filing form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). An applicant who files a reply brief and authorizes the Office to charge any fees related to the submission of this paper will not have authorized the Office to charge the appeal forwarding fee because the submission of the reply brief and submission of the appeal forward fee are not required to be submitted at the same time.
The appeal forwarding fee is premature if the fee is filed prior to the mailing of the examiner’s answer. In addition, the Office cannot accept a general authorization to pay the appeal forwarding fee because appeal fees are found in 37 CFR 41.20 and not 37 CFR 1.16 to 1.18. See 37 CFR 1.25(b). Applicant should be clear in its authorization that the fee is directed to payment of the appeal forwarding fee. It is suggested that the applicant consider filing form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). An applicant who files a reply brief and authorizes the Office to charge any fees related to the submission of this paper will not have authorized the Office to charge the appeal forwarding fee because the submission of the reply brief and submission of the appeal forward fee are not required to be submitted at the same time.
The appeal forwarding fee is premature if the fee is filed prior to the mailing of the examiner’s answer. In addition, the Office cannot accept a general authorization to pay the appeal forwarding fee because appeal fees are found in 37 CFR 41.20 and not 37 CFR 1.16 to 1.18. See 37 CFR 1.25(b). Applicant should be clear in its authorization that the fee is directed to payment of the appeal forwarding fee. It is suggested that the applicant consider filing form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). An applicant who files a reply brief and authorizes the Office to charge any fees related to the submission of this paper will not have authorized the Office to charge the appeal forwarding fee because the submission of the reply brief and submission of the appeal forward fee are not required to be submitted at the same time.
Appeals in Reexamination
(a) Timing. Appellant in an application or ex parte reexamination proceeding must pay the fee set forth in § 37 CFR 41.20(b)(4) within the later of two months from the date of either the examiner's answer, or a decision refusing to grant a petition under § 1.181 of this chapter to designate a new ground of rejection in an examiner's answer.
(c) Extensions of time. Extensions of time under § 1.136(a) of this title for patent applications are not applicable to the time period set forth in this section. See § 1.136(b) of this title for extensions of time to reply for patent applications and § 1.550(c) of this title for extensions of time to reply for ex parte reexamination proceedings.
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Grounds for Dismissal of Appeal
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Ex Parte Appeals to PTAB
(b) Failure to pay appeal forwarding fee. On failure to pay the fee set forth in § 37 CFR 41.20(b)(4) within the period specified in paragraph (a) of this section, the appeal will stand dismissed.
(b) Failure to pay appeal forwarding fee. On failure to pay the fee set forth in § 37 CFR 41.20(b)(4) within the period specified in paragraph (a) of this section, the appeal will stand dismissed.
Board Decision Types
As an example, suppose the applicant filed an appeal brief, including payment of the appeal brief fee, on March 18, 2013 and a final Board decision issued in the appeal on March 16, 2015. Following the Board decision the applicant timely files a request for continued examination under 37 CFR 1.114 on May 17, 2015. After prosecution of the RCE before the examiner, the applicant files a new notice of appeal and an appeal brief. The applicant would be required to pay the appeal forwarding fee within the period specified in 37 CFR 41.45(a) to continue with the appeal.
As an example, suppose the applicant filed an appeal brief, including payment of the appeal brief fee, on March 18, 2013 and a final Board decision issued in the appeal on March 16, 2015. Following the Board decision the applicant timely files a request for continued examination under 37 CFR 1.114 on May 17, 2015. After prosecution of the RCE before the examiner, the applicant files a new notice of appeal and an appeal brief. The applicant would be required to pay the appeal forwarding fee within the period specified in 37 CFR 41.45(a) to continue with the appeal.
New Ground of Rejection in Answer
(a) Timing. Appellant in an application or ex parte reexamination proceeding must pay the fee set forth in § 37 CFR 41.20(b)(4) within the later of two months from the date of either the examiner's answer, or a decision refusing to grant a petition under § 1.181 of this chapter to designate a new ground of rejection in an examiner's answer.
Ex Parte Reexamination
(c) Extensions of time. Extensions of time under § 1.136(a) of this title for patent applications are not applicable to the time period set forth in this section. See § 1.136(b) of this title for extensions of time to reply for patent applications and § 1.550(c) of this title for extensions of time to reply for ex parte reexamination proceedings.
Reply Brief Filing
The examiner's answer should provide notice that the appeal forwarding fee must be paid within the requisite time period or the appeal will stand dismissed. See form paragraphs 12.279 and 12.279.01. It is preferable that appellants pay this fee at the same time any reply brief is filed.
Effect of Expiration
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Petition to Reinstate
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner's answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
Notice of Appeal Filing
As an example, suppose the applicant filed an appeal brief, including payment of the appeal brief fee, on March 18, 2013 and a final Board decision issued in the appeal on March 16, 2015. Following the Board decision the applicant timely files a request for continued examination under 37 CFR 1.114 on May 17, 2015. After prosecution of the RCE before the examiner, the applicant files a new notice of appeal and an appeal brief. The applicant would be required to pay the appeal forwarding fee within the period specified in 37 CFR 41.45(a) to continue with the appeal.
Maintenance Fee Amounts
As an example, suppose the applicant filed an appeal brief, including payment of the appeal brief fee, on March 18, 2013 and a final Board decision issued in the appeal on March 16, 2015. Following the Board decision the applicant timely files a request for continued examination under 37 CFR 1.114 on May 17, 2015. After prosecution of the RCE before the examiner, the applicant files a new notice of appeal and an appeal brief. The applicant would be required to pay the appeal forwarding fee within the period specified in 37 CFR 41.45(a) to continue with the appeal.
Citations
| Primary topic | Citation |
|---|---|
| Board Decision Types Maintenance Fee Amounts Notice of Appeal Filing | 37 CFR § 1.114 |
| Appeals in Reexamination Ex Parte Reexamination | 37 CFR § 1.136(a) |
| Appeals in Reexamination Ex Parte Reexamination | 37 CFR § 1.136(b) |
| Appeal Forwarding Fee | 37 CFR § 1.16 |
| Appeals in Reexamination New Ground of Rejection in Answer | 37 CFR § 1.181 |
| Appeal Forwarding Fee | 37 CFR § 1.25(b) |
| Appeals in Reexamination Ex Parte Reexamination | 37 CFR § 1.550(c) |
| Appeal Forwarding Fee | 37 CFR § 41.20 |
| Appeals in Reexamination Ex Parte Appeals to PTAB New Ground of Rejection in Answer | 37 CFR § 41.20(b)(4) |
| Board Decision Types Maintenance Fee Amounts Notice of Appeal Filing | 37 CFR § 41.45(a) |
| Appeals in Reexamination Effect of Expiration Grounds for Dismissal of Appeal Petition to Reinstate | MPEP § 1215 |
Source Text from USPTO’s MPEP
This is an exact copy of the MPEP from the USPTO. It is here for your reference to see the section in context.
Official MPEP § 1208.01 — Fee for Forwarding an Appeal to the Board
Source: USPTO1208.01 Fee for Forwarding an Appeal to the Board [R-07.2022]
37 CFR 41.45 Appeal forwarding fee
- (a) Timing. Appellant in an application or ex parte reexamination proceeding must pay the fee set forth in § 37 CFR 41.20(b)(4) within the later of two months from the date of either the examiner’s answer, or a decision refusing to grant a petition under § 1.181 of this chapter to designate a new ground of rejection in an examiner’s answer.
- (b) Failure to pay appeal forwarding fee. On failure to pay the fee set forth in § 37 CFR 41.20(b)(4) within the period specified in paragraph (a) of this section, the appeal will stand dismissed.
- (c) Extensions of time. Extensions of time under § 1.136(a) of this title for patent applications are not applicable to the time period set forth in this section. See § 1.136(b) of this title for extensions of time to reply for patent applications and § 1.550(c) of this title for extensions of time to reply for ex parte reexamination proceedings.
The examiner’s answer should provide notice that the appeal forwarding fee must be paid within the requisite time period or the appeal will stand dismissed. See form paragraphs 12.279 and 12.279.01. It is preferable that appellants pay this fee at the same time any reply brief is filed.
Effective March 19, 2013, the fee for filing an appeal brief in an application or ex parte reexamination was reduced to $0 and a new fee was added for forwarding the appeal to the Board after the mailing of an examiner’s answer. Failure to pay this appeal forwarding fee results in the dismissal of the appeal. In the event that appellant fails to timely pay the fee, the appeal is dismissed by rule and the examiner should proceed as indicated in MPEP § 1215 regardless of whether a separate paper is mailed dismissing the appeal. The requirement to pay the appeal forwarding fee is waived when the appeal brief fee was paid before March 19, 2013. As long as the waiver is in effect, applicants having paid the appeal brief fee before March 19, 2013 will not be required to pay the appeal forwarding fee. This waiver only applied in an appeal in which the appeal brief and its corresponding appeal brief fee were filed before March 19, 2013 and where applicant seeks to reinstate an appeal in such application prior to the Board issuing a decision on the appeal filed prior to March 19, 2013.
The appeal forwarding fee is premature if the fee is filed prior to the mailing of the examiner’s answer. In addition, the Office cannot accept a general authorization to pay the appeal forwarding fee because appeal fees are found in 37 CFR 41.20 and not 37 CFR 1.16 to 1.18. See 37 CFR 1.25(b). Applicant should be clear in its authorization that the fee is directed to payment of the appeal forwarding fee. It is suggested that the applicant consider filing form PTO/AIA/34 (Certification and Transmittal of Appeal Forwarding Fee). An applicant who files a reply brief and authorizes the Office to charge any fees related to the submission of this paper will not have authorized the Office to charge the appeal forwarding fee because the submission of the reply brief and submission of the appeal forward fee are not required to be submitted at the same time.
As an example, suppose the applicant filed an appeal brief, including payment of the appeal brief fee, on March 18, 2013 and a final Board decision issued in the appeal on March 16, 2015. Following the Board decision the applicant timely files a request for continued examination under 37 CFR 1.114 on May 17, 2015. After prosecution of the RCE before the examiner, the applicant files a new notice of appeal and an appeal brief. The applicant would be required to pay the appeal forwarding fee within the period specified in 37 CFR 41.45(a) to continue with the appeal.
The appeal forwarding fee does not apply to inter partes reexamination appeals.