Revision of Patent Fees

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 940415-4212]

RIN 0651-AA68

Revision of Patent Fees

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of final rulemaking and lifting of suspension.

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SUMMARY: The Patent and Trademark Office (PTO) is amending the rules of

practice in patent cases, Part 1 of title 37, Code of Federal

Regulations, to adjust certain patent fee amounts to reflect

fluctuations in the Consumer Price Index (CPI) and to recover costs of

operation. The PTO also is providing notice that, beginning on October

1, 1994, the suspension of the fee for access to the Automated Patent

System's Full Text Search capability (APS-Text) at a Patent and

Trademark Depository Library (PTDL) will be lifted. However, the PTO is

rescinding this hourly fee, which was established by 37 CFR 1.21(p),

and in its place assessing an annual subscription fee on PTDLs

providing such service. On October 1, 1994, the PTO also will begin

collecting a fee for access to the Automated Patent System's Classified

Search and Image Retrieval capability (APS-CSIR) from the search

facilities in Arlington, Virginia.

EFFECTIVE DATE: October 1, 1994.

FOR FURTHER INFORMATION CONTACT:

Robert Kopson by telephone at (703) 305-8510, fax at (703) 305-8525, or

by mail marked to his attention and addressed to the Commissioner of

Patents and Trademarks, Washington, DC 20231.

SUPPLEMENTARY INFORMATION: This rule change is designed to adjust the

PTO fees in accordance with the applicable provisions of title 35,

United States Code, and section 10101 of the Omnibus Budget

Reconciliation Act of 1990 (Pub. L. 101-508), all as amended by the

Patent and Trademark Office Authorization Act of 1991 (Pub. L. 102-

204).

There are two objectives of this final rule package. The first

objective is to adjust certain patent fee amounts to reflect

fluctuations in the Consumer Price Index (CPI) and to recover costs of

operation.

The second objective is to provide notice that PTO is lifting the

suspension on the fee for access to APS-Text at a Patent and Trademark

Library (PTDL). This fee was established by rule on October 1, 1992

(published in the Federal Register on August 21, 1992 at 57 FR 38190).

Collection of the fee was immediately suspended by the Commissioner to

provide additional time for the PTO to solicit input from the private

sector on alternative collection methods, and other options for

accessing patent search and retrieval in the Libraries. In response to

public comments, the PTO will rescind the fee established by 37 CFR

1.21(p), and assess a subscription fee under 37 CFR 1.21(k) on each

PTDL that provides its patrons with access to APS-Text. The basis for

the subscription amount is less than the fee amount that was

established in 37 CFR 1.21(p). Each participating library will be

responsible for establishing policies for providing access to their

patrons.

The PTO also will begin charging a fee for on-line access to APS-

CSIR at the Patent Search and Image Retrieval Facility (PSIRF) in

Arlington, Virginia. Free access to APS-CSIR has been offered at the

PSIRF since July 12, 1993. The PTO now will begin recovering the cost

of providing this on-line access in accordance with 37 CFR 1.21(k).

The PTO will make any necessary adjustments to these automated

system fees based upon actual fiscal year 1995 usage. Future

adjustments will be made based upon deviations in system costs and/or

public usage.

Background

Statutory Provisions

Patent fees are authorized by 35 U.S.C. 41 and 35 U.S.C. 376. A

fifty percent reduction in the fees paid under 35 U.S.C. 41(a) and

41(b) by independent inventors, small business concerns, and nonprofit

organizations who meet prescribed definitions is required by 35 U.S.C.

41(h).

Subsection 41(f) of title 35, United States Code, provides that

fees established under 35 U.S.C. 41(a) and (b) may be adjusted on

October 1, 1992, and every year thereafter, to reflect fluctuations in

the Consumer Price Index (CPI) over the previous 12 months.

Section 10101 of the Omnibus Budget Reconciliation Act of 1990

(Pub. L. 101-508) provides that there shall be a surcharge on all fees

established under 35 U.S.C. 41(a) and 41(b) to collect $107 million

fiscal year 1995.

Subsection 41(d) of title 35, United States Code, authorizes the

Commissioner to establish fees for all other processing, services, or

materials related to patents to recover the average cost of providing

these services or materials, except for the fees for recording a

document affecting title, for each photocopy, and for each black and

white copy of a patent.

Section 376 of title 35, United States Code, authorizes the

Commissioner to set fees for patent applications filed under the Patent

Cooperation Treaty (PCT).

Subsection 41(i)(3) of title 35, United States Code, authorizes the

Commissioner to establish reasonable fees for access to automated

search systems of the PTO.

Subsection 41(g) of title 35, United States Code, provides that new

fee amounts established by the Commissioner under Section 41 may take

effect thirty days after notice in the Federal Register and the

Official Gazette of the Patent and Trademark Office.

Recovery Level Determinations

This rule adjusts patent fees for a planned recovery of

$571,439,000 in fiscal year 1995, as proposed in the Administration's

budget request to the Congress. The fee amounts established for

automated access to PTO's data bases will recover reasonable costs of

providing these services to the public. The total amount expected to be

collected is consistent with the budgeted amount.

The patent statutory fees established by 35 U.S.C. 41(a) and 41(b)

are being adjusted on October 1, 1994, to reflect any fluctuations

occurring during the previous 12 months in the Consumer Price Index

(CPI-U). In calculating these fluctuations, the Office of Management

and Budget (OMB) has determined that the PTO should use CPI-U data as

determined by the Secretary of Labor. However, the Department of Labor

does not make public the CPI-U until approximately 21 days after the

end of the month being calculated. Therefore, the latest CPI-U

information available is for the month of May 1994. In accordance with

previous rulemaking methodology, the PTO uses the Administration's

projected CPI-U for the 12-month period ending September 30, 1994,

which is 3.0 percent. Based on this projection, patent statutory fees

are being adjusted by 3.0 percent. Before the final fee schedule is

published, the fees may be slightly adjusted based on actual data

available from the Department of Labor.

Certain non-statutory patent processing fees established under 35

U.S.C. 41(d) and PCP processing fees established under 35 U.S.C. 376

are being adjusted up to the three percent fluctuation in the CPI in

order to recover their estimated average costs in 1995. Three patent

service fees that are set by statute are not adjusted. The three fees

that are not being adjusted are assignment recording fees, printed

patent copy fees and photocopy charge fees.

The Office calculated unit costs for all fees based on OMB Circular

A-25, ``User Fees'', and OMB Circular A-130, ``Management of Federal

Information Resources''. Costs were determined from the best available

records (for example, financial statements of the Office) and included

direct and indirect costs to the Office for carrying out the activity,

as directed by OMB Circular A-25. The patent statutory fee amounts were

rounded by applying standard arithmetic rules so that the amounts

rounded would be convenient to the user.

Fees of $100 or more were rounded to the nearest $10. Fees between

$2 and $99 were rounded to an even number so that the comparable small

entity fee would be a whole number.

The Office has detailed cost calculation worksheets fro each fee

amount. These worksheets are available for public inspection in Suite

507 of Crystal Park 1, 2011 Crystal Drive, Arlington, Virginia.

Workload Projections

Determination of workloads varies by fee. Principal workload

projection techniques are as follows:

Patent application workloads are projected from statistical

regression models using recent application filing trends. Patent issues

are projected from an in-house patent production model and reflect

examiner production achievements and goals. Patent maintenance fee

workloads utilize patents issued 3.5, 7.5 and 11.5 years prior to

payment and assume payment rates of 80 percent, 57 percent and 25

percent, respectively. Service fee workloads follow linear trends from

prior years' activities.

Any fee amount that is paid on or after October 1, 1994, would be

subject to the new fees then in effect. For purposes of determining the

amount of the fee to be paid, the date of mailing indicated on a proper

Certificate of Mailing or Transmission, where authorized under 37 CFR

1.8, will be considered to be the date of receipt in the PTO. A

Certificate of Mailing or Transmission under Section 1.8 is not

``proper'' for items which are specifically excluded from the

provisions of Section 1.8. Section 1.8 should be consulted for those

items for which a Certificate of Mailing or Transmission is not

``proper.'' Such items include, inter alia, the filing of national and

international applications for patents. However, the provisions of 37

CFR 1.10 relating to filing papers and fees with an ``Express Mail''

certificate do apply to any paper or fee (including patent

applications) to be filed in the PTO. If an application or fee is filed

by ``Express Mail'' with a proper certificate dated on or after the

effective date of the rules, as amended, the amount of the fee to be

paid would be the fee established by the amended rules.

Cost Calculations

APS-Text at a Patent and Trademark Depository Library (PTDL)

The costs for one hour terminal session time on APS-Text at a PTDL

include license fees that must be paid to Chemical Abstracts Service

(CAS) for its proprietary text and structure search software. Other

costs are included for a portion, projected at 3.65 percent, of the

lease of a computer mainframe for memory storage purposes; all costs

associated with training PTDL staff (equipment rental, materials and

time); personnel to provide client support to the PTDLs;

telecommunication costs. A summary of the costs are listed below.

APS-Text Cost of One Hour of Terminal Session Time at a Patent and

Trademark Depository Library

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Public

Cost element share

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Client Support Overtime...................................... $10,203

Additional Mainframe Costs................................... 43,216

Software (license fee)....................................... 273,000

Training Costs............................................... 10,000

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Subtotal............................................... 336,419

General & Admin. Overhead @ 12.2%............................ 40,976

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Total Cost............................................. 377,395

Estimated Annual Usage (hours)............................... 54,600

Unit Cost (per hour)......................................... 6.91

Telecommunication Costs (per hour)........................... 8.00

Total Cost (per hour)........................................ 14.91

Total Cost (per hour-rounded)................................ 15.00

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The PTDLs will pay an annual maximum use subscription rate based on

one of five tier levels, roughly equivalent to one to five hours of use

per day, five days per week. Each PTDL will select a maximum use

subscription tier based on its anticipated usage and be responsible for

monitoring their own use. The PTDLs will also be responsible for

establishing their own policies regarding the provision of APS-Text in

their library. If during the year a PTDL is about to exceed its chosen

level of maximum use, the PTDL will be allowed to move to a higher tier

(and pay the additional subscription rate) or to use up to the

subscribed level and cease continued access mid-year.

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Annual

Tiers Annual usage subscription

rate

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I......... 0-300 hours................................... $2,250

II........ 301-600 hours................................. 6,750

III....... 601-900 hours................................. 11,250

IV........ 901-1200 hours................................ 15,750

V......... 1201-1500 hours............................... 20,250

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The subscription rates were derived using the $15.00 per hour

access charge previously calculated. There will be no additional

charges or refunds to each library. For each tier, a discount mechanism

is included in the annual subscription calculation. For example, the

annual subscription rate of $2,250 for Tier I is calculated by taking

the mean average of the annual usage range (in this case 150 hours is

the mean of zero and 300 hours) and multiplying it by the $15.00 per

hour access charge. Therefore, for a PTDL in Tier I, any usage over 150

hours is free to the library. But if a PTDL in Tier I were to not use

at least 150 hours, the PTO would not be required to refund the amount

of the subscription fee that was not used.

APS-CSIR at the Patent Search and Image Retrieval Facility (PSIFR)

The costs for one hour terminal session time on APS-CSIR at the

PSIRF include license fees that must be paid to Chemical Abstracts

Service (CAS) for its proprietary text and structure search software.

It is estimated that 40 percent of the terminal time will be used for

text searching, which requires the search software from CAS.

Other costs are included for a portion, projected at 2.25 percent,

of the lease of a computer mainframe for memory storage purposes;

additional personnel for the PSIRF and the Office of Computer and

Telecommunications Operations; computer acquisition, installation, and

maintenance; supplies and equipment dedicated to public use; and

general and administrative overhead. A summary of the costs are listed

below.

APS-CSIR Cost of One Hour of Terminal Session Time at the Patent Search

and Image Retrieval Facility

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Total

Cost element cost

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Compensation and Benefits.................................... $250,813

Additional Hardware and Mainframe Costs...................... 226,792

Software (license fee)....................................... 25,000

Supply Costs................................................. 10,512

Installation Costs (amortized)............................... 25,366

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Subtotal............................................... 538,483

Space Costs.................................................. 41,759

General & Admin Overhead @ 12.2%............................. 65,695

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Total Cost................................................... 645,937

Estimated Annual Usage (hours)............................... 13,000

Unit Cost (per hour)......................................... 49.68

Rounded Fee Amount (per hour-prorated)....................... 50.00

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A comparison of existing and revised fee amounts is included as an

Appendix to this notice of final rulemaking.

In order to ensure clarity in the implementation of the revised

fees, a discussion of specific sections is set forth below.

Discussion of Specific Rules

37 CFR 1.16 National Application Filing Fees

Section 1.16, paragraphs (a), (b), (d), and (f)-(i), is revised to

adjust fees established therein to reflect fluctuations in the CPI.

37 CFR 1.17 Patent Application Processing Fees

Section 1.17, paragraphs (b)-(g) and (m), is revised to adjust fees

established therein to reflect fluctuations in the CPI.

Section 1.17, paragraphs (j), and (n)-(p), is revised to adjust

fees established therein to recover costs.

37 CFR 1.18 Patent Issue Fees

Section 1.18, paragraphs (a)-(c), is revised to adjust fees

established therein to reflect fluctuations in the CPI.

37 CFR 1.20 Post-issuance Fees

Section 1.20, paragraphs (c), (i)(1), and (j), is revised to adjust

fees established therein to recover costs.

Section 1.20, paragraphs (e)-(g), is revised to adjust fees

established therein to reflect fluctuations in the CPI.

37 CFR 1.21 Miscellaneous Fees and Charges

Section 1.21 is amended to remove paragraph (p).

37 CFR 1.445 International Application Filing, Processing, and Search

Fees

Section 1.445, paragraph (a), is revised to adjust the fees

authorized by 35 U.S.C. 376 to recover costs.

37 CFR 1.482 International Preliminary Examination Fees

Section 1.482, paragraphs (a)(1) and (a)(2)(ii), is revised to

adjust the fees authorized by 35 U.S.C. 376 to recover costs.

37 CFR 1.492 National Stage Fees

Section 1.492, paragraphs (a), (b) and (d), is revised to adjust

fees established therein to reflect fluctuations in the CPI.

Response to Comments on the Rules

Patent Fee Increase

A notice of proposed rulemaking to adjust patent fees was published

in the Federal Register on May 27, 1994, at 59 FR 27519, and in the

Official Gazette on June 7, 1994, at 1163 OG 14.

A public hearing was held on June 28, 1994. Three comments were

received and considered in adopting the rules set forth herein.

Comments: The respondents, although not objecting to the three

percent fee increase, strongly oppose any fee increase for the purpose

of making up patent fee surcharge money that is being withheld from the

PTO. The respondents support the Administration's proposal to ensure

that all user fees assessed by the PTO are used exclusively by the PTO.

Response: The Omnibus Budget Reconciliation Act of 1990 (Pub. L.

101-508) requires the PTO, in fiscal year 1995, to collect $107 million

in patent fee surcharges and to deposit these collections to the Patent

and Trademark Office Fee Surcharge Fund. In the past, Congress has only

appropriated part of these deposits back to the PTO. Deposits not made

available to the Office reside in the Fund. To date, the reserve in the

Fund is slightly in excess of $35 million. For fiscal year 1995, the

PTO requested that all patent fees be provided directly to the Office,

thereby eliminating reliance on appropriations from the Fee Surcharge

Fund. This language will not be enacted. The House of Representatives

has recommended that an additional $18.7 million in patent fee

surcharges not be made available to the Office in fiscal year 1995.

Final action on the 1995 appropriations bill is pending. The

Administration does not propose to increase patent fees in fiscal year

1995 other than the increase that reflects fluctuations in the Consumer

Price Index.

Collection of the Fee for Access to APS-Text at the PTDLs

A fee for access to APS-Text at a PTDL was set in the final rule

package published in the Federal Register on August 21, 1992 (57 FR

38189). The final rule became effective October 1, 1992. On that date,

the fee took effect but collection was immediately suspended by the

Commissioner to provide additional time to solicit input from the

private sector on alternative collection methods, and other options for

accessing patent search and retrieval in the Libraries.

The Office received six comments.

Comment: Two respondents stated that many of the PTDLs already have

considerable experience in collecting fees for access to on-line patent

and trademark services provided by private sector vendors. They

suggested that mechanisms already in place could be adapted to the

collection of fees for PTO-provided services.

These respondents also suggested that the PTO procure access for

the PTDLs to private sector on-line patent and trademark services,

using a Federal procurement mechanism, such as Fedlink.

Response: The PTO encourages the PTDLs to provide a variety of

patent and trademark services for their patrons. However, the PTDLs are

not required to provide access to private sector on-line services, and

the PTO can only provide support and training to the PTDLs for products

and services it develops.

In the case of APS access, participation on the part of the PTDLs

will be voluntary. With respect to other services, the PTDLs will make

the decision as to which ones best fit the needs of their user

communities. Fedlink, which provides on-line services to Government

agencies, cannot extent its charter to include the PTDLs.

Under the proposed subscription method, libraries should develop

policies and procedures which best suit their particular circumstances.

Comment: One respondent suggested that the access to APS be

expanded beyond the PTDLs, with a small fee for general use, and

discounted fees for independent inventors and/or off-peak usage.

Response: At this time, allowing direct access by the public would

impact internal PTO operations. Access at PTDLs will ensure usage in a

controlled environment, where end-users will have access to knowledge

and skills of trained librarians.

Comment: One respondent suggested that the PTO permit voluntary

participation by the individual PTDLs.

Response: Participation on the part of the PTDLs will be voluntary.

The level of participation by the PTDLs will not affect their

relationship with the PTO in any manner.

Comment: One respondent suggested that the PTO provide access to

APS-Text on a subscription basis. This method would set a fee for

anticipated usage over a determined period of time.

Response: The PTO will provide access to APS-Text to the PTDLs on

an annual subscription basis. All of the libraries will have the option

of subscribing. Each library that chooses to subscribe will establish a

policy for providing the public with access to APS-Text.

Comment: One respondent suggested that the PTO set up a system that

allows users to input credit or debit card numbers.

Response: Currently, the PTO is studying this collection option.

The current equipment in use does not allow access via a credit or

debit card. This option may be feasible in the near future.

Other Considerations

This final rule change is in conformity with the requirements of

Executive Order 12612, and the Paperwork Reduction Act of 1980, 44

U.S.C. 3501, et seq. There are no information collection requirements

relating to these patent fee rules. This final rule has been determined

to be significant for purposes of Executive Order 12866.

The PTO has determined that this final rule change has no

Federalism implications affecting the relationship between the National

Government and the States as outlined in Executive Order 12612.

The General Counsel of the Department of Commerce has certified to

the Chief Counsel for Advocacy, Small Business Administration, that the

final rule change would not have a significant impact on a substantial

number of small entities (Regulatory Flexibility Act, Pub. L. 96-354).

The final rule change increases fees by changes in the CPI as

authorized by 35 U.S.C. 41(f). The principal impact of the major patent

fees has already been taken into account in 35 U.S.C. 41(h), which

provides small entities with a 50-percent reduction in the major patent

fees.

List of Subjects in 37 CFR Part 1

Administrative practice and procedure, Inventions and patents,

Reporting and record keeping requirements, Small businesses.

For the reasons set forth in the preamble, the PTO is amending

title 37 of the Code of Federal Regulations, Chapter 1, Part 1, as set

forth below.

PART 1--RULES OF PRACTICE IN PATENT CASES

1. The authority citation for 37 CFR Part 1 continues to read as

follows:

Authority: 35 U.S.C. 6, unless otherwise noted.

2. Section 1.16 is amended by revising paragraphs (a), (b), (d),

and (f) through (i) to read as follows:

Sec. 1.16 National application filing fees.

(a) Basic fee for filing each application for an

original patent, except design or plant cases:

By a small entity (Sec. 1.9(f))..................... $365.00

By other than a small entity........................ 730.00

(b) In addition to the basic filing fee in an original

application, for filing or later presentation of each

independent claim in excess of 3:

By a small entity (Sec. 1.9(f))..................... 38.00

By other than a small entity........................ 76.00

* * * * * * *

(d) In addition to the basic filing fee in an original

application, if the application contains, or is amended

to contain, a multiple dependent claim(s), per

application:

By a small entity (Sec. 1.9(f))..................... 120.00

By other than a small entity........................ 240.00

(If the additional fees required by paragraphs (b), (c),

and (d) of this section are not paid on filing or on

later presentation of the claims for which the

additional fees are due, they must be paid or the

claims canceled by amendment prior to the expiration of

the time period set for response by the Office in any

notice of fee deficiency.)

* * * * * * *

(f) For filing each design application:

By a small entity (Sec. 1.9(f))..................... 150.00

By other than a small entity........................ 300.00

(g) Basic fee for filing each plant application:

By a small entity (Sec. 1.9(f))..................... 245.00

By other than a small entity........................ 490.00

(h) Basic fee for filing each reissue application:

By a small entity (Sec. 1.9(f))..................... 365.00

By other than a small entity........................ 730.00

(i) In addition to the basic filing fee in a reissue

application, for filing or later presentation of each

independent claim which is in excess of the number of

independent claims in the original patent:

By a small entity (Sec. 1.9(f))..................... 38.00

By other than a small entity........................ 76.00

* * * * * * *

3. Section 1.17 is amended by revising paragraphs (b) through (g),

(j), and (m) through (p) read as follows:

Sec. 1.17 Patent application processing fees.

* * * * * * *

(b) Extension fee for response within second month

pursuant to Sec. 1.136(a):

By a small entity (Sec. 1.9(f))..................... $185.00

By other than a small entity........................ 370.00

(c) Extension fee for response within third month

pursuant to Sec. 1.136(a):

By a small entity (Sec. 1.9(f))..................... 435.00

By other than a small entity........................ 870.00

(d) Extension fee for response within fourth month

pursuant to Sec. 1.136(a):

By a small entity (Sec. 1.9(f))..................... 680.00

By other than a small entity........................ 1,360.00

(e) For filing a notice of appeal from the examiner to

the Board of Patent Appeals and Interferences:

By a small entity (Sec. 1.9(f))..................... 140.00

By other than a small entity........................ 280.00

(f) In addition to the fee for filing a notice of

appeal, for filing a brief in support of an appeal:

By a small entity (Sec. 1.9(f))..................... 140.00

By other than a small entity........................ 280.00

(g) For filing a request for an oral hearing before the

Board of Patent Appeals and Interferences in an appeal

under 35 U.S.C. 134:

By a small entity Sec. 1.9(f))...................... 120.00

By other than a small entity........................ 240.00

* * * * * * *

(j) For filing a petition to institute a public use

proceeding under Sec. 1.192............................ 1,390.00

* * * * * * * *

(m) For filing a petition:

(1) For revival of an unintentionally abandoned

application, or

(2) For the unintentionally delayed payment of the fee

for issuing a patent:

By a small entity (Sec. 1.9(f))..................... 605.00

By other than a small entity........................ 1,210.00

(n) For requesting publication of a statutory invention

registration prior to the mailing of the first

examiner's action pursuant to Sec. 1.104--$840.00

reduced by the amount of the application basic filing

fee paid.

(o) For requesting publication of a statutory invention

registration after the mailing of the first examiner's

action pursuant to Sec. 1.104--$1,690.00 reduced by the

amount of the application basic filing fee paid.

(p) For submission of an information disclosure

statement under Sec. 1.97(c)........................... 210.00

4. Section 1.18 is revised to read as follows:

Sec. 1.18 Patent issue fees.

(a) Issue fee for issuing each original or reissue

patent, except a design or plant patent:

By a small entity (Sec. 1.9(f))..................... $605.00

By other than a small entity........................ 1,210.00

(b) Issue fee for issuing a design patent:

By a small entity (Sec. 1.9(f))..................... 210.00

By other than a small entity........................ 420.00

(c) Issue fee for issuing a plant patent:

By a small entity (Sec. 1.9(f))..................... 305.00

By other than a small entity........................ 610.00

5. Section 1.20 is amended by revising paragraphs (c), (e) through

(g), (i)(1), and (j) to read as follows:

Sec. 1.20 Post issuance fees.

* * * * * * *

(c) For filing a request for reexamination (Sec.

1.510(a)).............................................. $2,320.00

* * * * * * *

(e) For maintaining an original or reissue patent,

except a design or plant patent, based on an

application filed on or after December 12, 1980, in

force beyond four years; the fee is due by three years

and six months after the original grant:

By a small entity (Sec. 1.9(f))..................... 480.00

By other than a small entity........................ 960.00

(f) For maintaining an original or reissue patent,

except a design or plant patent, based on an

application filed on or after December 12, 1980, in

force beyond eight years; the fee is due by seven years

and six months after the original grant:

By a small entity (Sec. 1.9(f)).................... 965.00

By other than a small entity........................ 1,930.00

(g) For maintaining an original or reissue patent,

except a design or plant patent, based on an

application filed on or after December 12, 1980, in

force beyond twelve years; the fee is due by eleven

years and six months after the original grant:

By a small entity (Sec. 1.9(f)).................... 1,450.00

By other than a small entity........................ 2,900.00

* * * * * * *

(i) ***

(1) unavoidable..................................... 640.00

* * * * * * *

(j) For filing an application for extension of the term

of a patent (Sec. 1.740)............................... 1,030.00

Sec. 1.21 [Amended]

6. Section 1.21 is amended by removing paragraph (p).

7. Section 1.445 is amended by revising paragraph (a) to read as

follows:

Sec. 1.445 International application filing, processing and search

fees.

(a) The following fees and charges for international

applications are established by the Commissioner under

the authority of 35 U.S.C. 376:

(1) A transmittal fee (see 35 U.S.C. 361(d) and PCT

Rule 14)........................................... $210.00

(2) A search fee (see 35 U.S.C. 361(d) and PCT Rule

16) where:

(i) No corresponding prior United States

national application with basic filing fee has

been filed..................................... 640.00

(ii) A corresponding prior United States

national application with basic filing fee has

been filed..................................... 420.00

(3) A supplemental search fee when required, per

additional invention............................... 180.00

* * * * * * *

8. Section 1.482 is amended by revising paragraphs (a)(1) and

(a)(2)(ii) to read as follows:

Sec. 1.482 International preliminary examination fees.

(a) * * *

(1) A preliminary examination fee is due on filing the

Demand:

(i) Where an international search fee as set forth

in Sec. 1.445(a)(2) has been paid on the

international application to the United States

Patent and Trademark Office as an International

Searching Authority, a preliminary examination fee

of................................................. $460.00

(ii) Where the International Searching Authority for

the international application was an authority

other than the United States Patent and Trademark

Offfice, a preliminary examination fee of.......... 690.00

(2)***

(ii) Where the International Searching Authority for

the international application was an authority

other than the United States Patent and Trademark

Office............................................. 240.00

* * * * * * *

9. Section 1.492 is amended by revising paragraphs (a) (1) through

(5), (b), and (d) to read as follows:

Sec. 1.492 National stage fees.

* * * * * * *

(a) ***

(1) Where an international preliminary examination fee

as set forth in Sec. 1.482 has been paid on the

international application to the Untied States Patent

and Trademark Office:

By a small entity (Sec. 1.9(f))..................... $330.00

By other than a small entity........................ 660.00

(2) Where no international preliminary examination fee

as set forth in Sec. 1.482 has been paid to the

United States Patent and Trademark Office, but an

international search fee as set forth in Sec.

1.445(a)(2) has been paid on the international

application to the United States Patent and Trademark

Office as an International Searching Authority:

By a small entity (Sec. 1.9(f))..................... 365.00

By other than a small entity........................ 730.00

(3) Where no international preliminary examination fee

as set forth in Sec. 1.482 has been paid and no

international search fee as set forth in Sec.

1.445(a)(2) has been paid on the international

application to the United States Patent and Trademark

Office:

By a small entity (Sec. 1.9(f))..................... 490.00

By other than a small entity........................ 980.00

(4) Where an international preliminary examination fee

as set forth in Sec. 1.482 has been paid to the

United States Patent and Trademark Office and the

international preliminary examination report states

that the criteria of novelty, inventive step (non-

obviousness), and industrial applicability, as

defined in PCT Article 33 (1) to (4) have been

satisfied for all the claims presented in the

application entering the national stage (see Sec.

1.496(b)):

By a small entity (Sec. 1.9(f))..................... 46.00

By other than a small entity........................ 92.00

(5) Where a search report on the international

application has been prepared by the European Patent

Office of the Japanese Patent Office:

By a small entity (Sec. 1.9(f))..................... 425.00

By other than a small entity........................ 850.00

(b) In addition to the basic national fee, for filing or

later presentation of each independent claim in excess

of 3:

By a small entity (Sec. 1.9(f))..................... 38.00

By other than a small entity........................ 76.00

* * * * * * *

(d) In addition to the basic national fee, if the

application contains, or is amended to contain, a

multiple dependent claim(s), per application:

By a small entity (Sec. 1.9(f))..................... 120.00

By other than a small entity........................ 240.00

* * * * * * *

Dated: August 18, 1994.

Bruce A. Lehman,

Assistant Secretary of Commerce and Commissioner of Patents and

Trademarks.

Appendix to This Final Rule

Note: The following appendix will not appear in the Code of

Federal Regulations.

Appendix A.--Comparison of Existing and Revised Fee Amounts

----------------------------------------------------------------------------------------------------------------

October October

37 CFR Section Description 1993 1994

----------------------------------------------------------------------------------------------------------------

1.16(a)......................... Basic Filing Fee.................................... $710 $730

1.16(a)......................... Basic Filing Fee (Small Entity)..................... 355 365

1.16(b)......................... Independent Claims.................................. 74 76

1.16(b)......................... Independent Claims (Small Entity)................... 37 38

1.16(c)......................... Claims in Excess of 20.............................. 22 (\1\)

1.16(c)......................... Claims in Excess of 20 (Small Entity)............... 11 (\1\)

1.16(d)......................... Multiple Dependent Claims........................... 230 240

1.16(d)......................... Multiple Dependent Claims (Small Entity)............ 115 120

1.16(e)......................... Surcharge--Late Filing Fee.......................... 130 (\1\)

1.16(e)......................... Surcharge--Late Filing Fee (Small Entity)........... 65 (\1\)

1.16(f)......................... Design Filing Fee................................... 290 300

1.16(f)......................... Design Filing Fee (Small Entity).................... 145 150

1.16(g)......................... Plant Filing Fee.................................... 480 490

1.16(g)......................... Plant Filing Fee (Small Entity)..................... 240 245

1.16(h)......................... Reissue Filing Fee.................................. 710 730

1.16(h)......................... Reissue Filing Fee (Small Entity)................... 355 365

1.16(i)......................... Reissue Independent Claims.......................... 74 76

1.16(i)......................... Reissue Independent Claims (Small Entity)........... 37 38

1.16(j)......................... Reissue Claims in Excess of 20...................... 22 (\1\)

1.16(j)......................... Reissue Claims in Excess of 20 (Small Entity)....... 11 (\1\)

1.17(a)......................... Extension--First Month.............................. 110 (\1\)

1.17(a)......................... Extension--First Month (Small Entity)............... 55 (\1\)

1.17(b)......................... Extension--Second Month............................. 360 370

1.17(b)......................... Extension--Second Month (Small Entity).............. 180 185

1.17(c)......................... Extension--Third Month.............................. 840 870

1.17(c)......................... Extension--Third Month (Small Entity)............... 420 435

1.17(d)......................... Extension--Fourth Month............................. 1,320 1,360

1.17(d)......................... Extension--Fourth Month (Small Entity).............. 660 680

1.17(e)......................... Notice of Appeal.................................... 270 280

1.17(e)......................... Notice of Appeal (Small Entity)..................... 135 140

1.17(f)......................... Filing a Brief...................................... 270 280

1.17(f)......................... Filing a Brief (Small Entity)....................... 135 140

1.17(g)......................... Request for Oral Hearing............................ 230 240

1.17(g)......................... Request for Oral Hearing (Small Entity)............. 115 120

1.17(h)......................... Petition--Not All Inventors......................... 130 (\1\)

1.17(h)......................... Petition--Correction of Inventorship................ 130 (\1\)

1.17(h)......................... Petition--Decision on Questions..................... 130 (\1\)

1.17(h)......................... Petition--Suspend Rules............................. 130 (\1\)

1.17(h)......................... Petition--Expedited License......................... 130 (\1\)

1.17(h)......................... Petition--Scope of License.......................... 130 (\1\)

1.17(h)......................... Petition--Retroactive License....................... 130 (\1\)

1.17(h)......................... Petition--Refusing Maintenance Fee.................. 130 (\1\)

1.17(h)......................... Petition--Refusing Maintenance Fee--Expired Patent.. 130 (\1\)

1.17(h)......................... Petition--Interference.............................. 130 (\1\)

1.17(h)......................... Petition--Reconsider Interference................... 130 (\1\)

1.17(h)......................... Petition--Late Filing of Interference............... 130 (\1\)

1.20(b)......................... Petition--Correction of Inventorship................ 130 (\1\)

1.17(h)......................... Petition--Refusal to Publish SIR.................... 130 (\1\)

1.17(i)(1)...................... Petition--For Assignment............................ 130 (\1\)

1.17(i)(1)...................... Petition--For Application........................... 130 (\1\)

1.17(i)(1)...................... Petition--Late Priority Papers...................... 130 (\1\)

1.17(i)(1)...................... Petition--Suspend Action............................ 130 (\1\)

1.17(i)(1)...................... Petition--Divisional Reissues to Issue Separately... 130 (\1\)

1.17(i)(1)...................... Petition--For Interference Agreement................ 130 (\1\)

1.17(i)(1)...................... Petition--Amendment After Issue..................... 130 (\1\)

1.17(i)(1)...................... Petition--Withdrawal After Issue.................... 130 (\1\)

1.17(i)(1)...................... Petition--Defer Issue............................... 130 (\1\)

1.17(i)(1)...................... Petition--Issue to Assignee......................... 130 (\1\)

1.17(i)(1)...................... Petition--Accord a Filing Date Under Sec. 1.53...... 130 (\1\)

1.17(i)(1)...................... Petition--Accord a Filing Date Under Sec. 1.60...... 130 (\1\)

1.17(i)(1)...................... Petition--Accord a Filing Date Under Sec. 1.62...... 130 (\1\)

1.17(i)(2)...................... Petition--Make Application Special.................. 130 (\1\)

1.17(j)......................... Petition--Public Use Proceeding..................... 1,350 1,390

1.17(k)......................... Non-English Specification........................... 130 (\1\)

1.17(l)......................... Petition--Revive Abandoned Appl..................... 110 (\1\)

1.17(l)......................... Petition--Revive Abandoned Appl. (Small Entity)..... 55 (\1\)

1.17(m)......................... Petition--Revive Unintentionally Abandoned Appl..... 1,170 1,210

1.17(m)......................... Petition--Revive Unintent Abandoned Appl. (Small 585 605

Entity).

1.17(n)......................... SIR--Prior to Examiner's Action..................... 820 840

1.17(o)......................... SIR--After Examiner's Action........................ 1,640 1,690

1.17(p)......................... Submission of an Information Disclosure Statement 200 210

(Sec. 1.97).

1.18(a)......................... Issue Fee........................................... 1,170 1,210

1.18(a)......................... Issue Fee (Small Entity)............................ 585 605

1.18(b)......................... Design Issue Fee.................................... 410 420

1.18(b)......................... Design Issue Fee (Small Entity)..................... 205 210

1.18(c)......................... Plant Issue Fee..................................... 590 610

1.18(c)......................... Plant Issue Fee (Small Entity)...................... 295 305

1.19(a)(1)(i)................... Copy of Patent...................................... 3 (\1\)

1.19(a)(1)(ii).................. Patent Copy--Expedited Local Service................ 6 (\1\)

1.19(a)(1)(iii)................. Patent Copy Ordered Via EOS--Expedited Service...... 25 (\1\)

1.19(a)(2)...................... Plant Patent Copy................................... 12 (\1\)

1.19(a)(3)(i)................... Copy of Utility Patent or SIR in Color.............. 24 (\1\)

1.19(b)(1)(i)................... Certified Copy of Patent Application as Filed....... 12 (\1\)

1.19(b)(1)(i)................... Certified Copy of Patent Application as Filed, 24 (\1\)

Expedited.

1.19(b)(2)...................... Cert or Uncert Copy of Patent-Related File Wrapper/ 150 (\1\)

Contents.

1.19(b)(3)...................... Cert. or Uncert. Copies of Office Records, per 25 (\1\)

Document.

1.19(b)(4)...................... For Assignment Records, Abstract of Title and 25 (\1\)

Certification.

1.19(c)......................... Library Service..................................... 50 (\1\)

1.19(d)......................... List of Patents in Subclass......................... 3 (\1\)

1.19(e)......................... Uncertified Statement--Status of Maintenance Fee 10 (\1\)

Payment.

1.19(f)......................... Copy of Non-U.S. Patent Document.................... 25 (\1\)

1.19(g)......................... Comparing and Certifying Copies, Per Document, Per 25 (\1\)

Copy.

1.19(h)......................... Duplicate or Corrected Filing Receipt............... 25 (\1\)

1.20(a)......................... Certificate of Correction........................... 100 (\1\)

1.20(c)......................... Reexamination....................................... 2,250 2,320

1.20(d)......................... Statutory Disclaimer................................ 110 (\1\)

1.20(d)......................... Statutory Disclaimer (Small Entity)................. 55 (\1\)

1.20(e)......................... Maintenance Fee--3.5 Years.......................... 930 960

1.20(e)......................... Maintenance Fee--3.5 Years (Small Entity)........... 465 480

1.20(f)......................... Maintenance Fee--7.5 Years.......................... 1,870 1,930

1.20(f)......................... Maintenance Fee--7.5 Years (Small Entity)........... 935 965

1.20(g)......................... Maintenance Fee--11.5 Years......................... 2,820 2,900

1.20(g)......................... Maintenance Fee--11.5 Years (Small Entity).......... 1,410 1,450

1.20(h)......................... Surcharge--Maintenance Fee--6 Months................ 130 (\1\)

1.20(h)......................... Surcharge--Maintenance Fee--6 Months (Small Entity). 65 (\1\)

1.20(i)(1)...................... Surcharge--Maintenance After Expiration--Unavoidable 620 640

1.20(i)(2)...................... Surcharge--Maintenance After Expiration-- 1,500 ...........

Unintentional.

1.20(j)......................... Extension of Term of Patent......................... 1,000 1,030

1.21(a)(1)...................... Admission to Examination............................ 300 (\1\)

1.21(a)(2)...................... Registration to Practice............................ 100 --

1.21(a)(3)...................... Reinstatement to Practice........................... 15 (\1\)

1.21(a)(4)...................... Certificate of Good Standing........................ 10 --

1.21(a)(4)...................... Certificate of Good Standing, Suitable Framing...... 20 (\1\)

1.21(a)(5)...................... Review of Decision of Director, OED................. 130 (\1\)

1.21(a)(6)...................... Regrading of Examination............................ 130 (\1\)

1.21(b)(1)...................... Establish Deposit Account........................... 10 (\1\)

1.21(b)(2)...................... Service Charge Below Minimum Balance................ 25 (\1\)

1.21(b)(3)...................... Service Charge Below Minimum Balance................ 25 (\1\)

1.21(c)......................... Filing a Disclosure Document........................ 10 (\1\)

1.21(d)......................... Box Rental.......................................... 50 (\1\)

1.21(e)......................... International Type Search Report.................... 40 (\1\)

1.21(g)......................... Self-Service Copy Charge............................ .25 (\1\)

1.21(h)......................... Recording Patent Property........................... 40 (\1\)

1.21(i)......................... Publication in the OG............................... 25 (\1\)

1.21(j)......................... Labor Charges for Services.......................... 30 (\1\)

1.21(k)......................... Unspecified Other Services.......................... (\2\) (\1\)

1.21(k)......................... Terminal Use APS-TEXT by the PTDL's................. 70 (\3\)

1.21(k)......................... Terminal Use APS-CSIR............................... -- 50

1.21(l)......................... Retaining Abandoned Application..................... 130 (\1\)

1.21(m)......................... Processing Returned Checks.......................... 50 (\1\)

1.21(n)......................... Handing Fee--Incomplete Application................. 130 (\1\)

1.21(o)......................... Terminal Use APS-TEXT............................... 40 (\1\)

1.24............................ Coupons for Patent and Trademark Copies............. 3 (\1\)

1.296........................... Handing Fee--Withdrawal SIR......................... 130 (\1\)

1.445(a)(1)..................... Transmittal Fee..................................... 200 210

1.445(a)(2)(i).................. PCT Search Fee--No U.S. Application................. 620 640

1.445(a)(2)(ii)................. PCT Search Fee--Prior U.S. Application.............. 410 420

1.445(a)(3)..................... Supplemental Search................................. 170 180

1.482(a)(1)(i).................. Preliminary Exam Fee................................ 450 460

1.482(a)(1)(ii)................. Preliminary Exam Fee................................ 670 690

1.482(a)(2)(i).................. Additional Invention................................ 140 (\1\)

1.482(a)(2)(ii)................. Additional Invention................................ 230 240

1.492(a)(1)..................... Preliminary Examining Authority..................... 640 660

1.492(a)(1)..................... Preliminary Examining Authority (Small Entity)...... 320 330

1.492(a)(2)..................... Searching Authority................................. 710 730

1.492(a)(2)..................... Searching Authority (Small Entity).................. 355 365

1.492(a)(3)..................... PTO Not ISA nor IPEA................................ 950 980

1.492(a)(3)..................... PTO Not ISA nor IPEA (Small Entity)................. 475 490

1.492(a)(4)..................... Claims--IPEA........................................ 90 92

1.492(a)(4)..................... Claims--IPEA (Small Entity)......................... 45 46

1.492(a)(5)..................... Filing with EPO/JPO Search Report................... 830 850

1.492(a)(5)..................... Filing with EPO/JPO Search Report (Small Entity).... 415 425

1.492(b)........................ Claims--Extra Individual (Over 3)................... 74 76

1.492(b)........................ Claims--Extra Individual (Over 3) (Small Entity).... 37 38

1.492(c)........................ Claims--Extra Total (Over 20)....................... 22 (\1\)

1.492(c)........................ Claims--Extra Total (Over 20) (Small Entity)........ 11 (\1\)

1.492(d)........................ Claims--Multiple Dependents......................... 230 240

1.492(d)........................ Claims--Multiple Dependents (Small Entity).......... 115 120

1.492(e)........................ Surcharge........................................... 130 (\1\)

1.492(e)........................ Surcharge (Small Entity)............................ 65 (\1\)

1.492(f)........................ English Translation--After 20 Months................ 130 (\1\)

2.6(a)(1)....................... Application for Registration, Per Class............. 245 (\1\)

2.6(a)(2)....................... Amendment to Allege Use, Per Class.................. 100 (\1\)

2.6(a)(3)....................... Statement of Use, Per Class......................... 100 (\1\)

2.6(a)(4)....................... Extension for Filing Statement of Use, Per Class.... 100 (\1\)

2.6(a)(5)....................... Application for Renewal, Per Class.................. 300 (\1\)

2.6(a)(6)....................... Surcharge for Late Renewal, Per Class............... 100 (\1\)

2.6(a)(7)....................... Publication of Mark Under Sec. 12(c), Per Class..... 100 (\1\)

2.6(a)(8)....................... Issuing New Certificate of Registration............. 100 (\1\)

2.6(a)(9)....................... Certificate of Correction of Registrant's Error..... 100 (\1\)

2.6(a)(10)...................... Filing Disclaimer to Registration................... 100 (\1\)

2.6(a)(11)...................... Filing Amendment to Registration.................... 100 (\1\)

2.6(a)(12)...................... Filing Affidavit Under Section 8, Per Class......... 100 (\1\)

2.6(a)(13)...................... Filing Affidavit Under Section 15, Per Class........ 100 (\1\)

2.6(a)(14)...................... Filing Affidavit Under Sections 8 & 15, Per Class... 200 (\1\)

2.6(a)(15)...................... Petitions to the Commissioner....................... 100 (\1\)

2.6(a)(16)...................... Petition to Cancel, Per Class....................... 200 (\1\)

2.6(a)(17)...................... Notice of Opposition, Per Class..................... 200 (\1\)

2.6(a)(18)...................... Ex Parte Appeal to the TTAB, Per Class.............. 100 (\1\)

2.6(a)(19)...................... Dividing an Application, Per New Application Created 100 (\1\)

2.6(b)(1)(i).................... Copy of Registered Mark............................. 3 (\1\)

2.6(b)(1)(ii)................... Copy of Registered Mark, Expedited.................. 6 (\1\)

2.6(b)(1)(iii).................. Copy of Registered Mark Ordered, Via EOS, Expedited, 25 (\1\)

Svc.

2.6(b)(2)(i).................... Certified Copy of TM Application as Filed........... 12 (\1\)

2.6(b)(2)(ii)................... Certified Copy of TM Application as Filed, Expedited 24 (\1\)

2.6(b)(3)....................... Cert. or Uncert. Copy of TM-Related File Wrapper/ 50 (\1\)

Contents.

2.6(b)(4)(i).................... Cert. Copy of Registered Mark, Title or Status...... 10 (\1\)

2.6(b)(4)(ii)................... Cert. Copy of Registered Mark, Title or Status-- 20 (\1\)

Expedited.

2.6(b)(5)....................... Certified or Uncertified Copy of TM Records......... 25 (\1\)

2.6(b)(6)....................... Recording Trademark Property, Per Mark, Per Document 40 (\1\)

2.6(b)(6)....................... For Second and Subsequent Marks in Same Document.... 25 (\1\)

2.6(b)(7)....................... For Assignment Records, Abstracts of Title and Cert. 25 (\1\)

2.6(b)(8)....................... Terminal Use X-SEARCH............................... 40 (\1\)

2.6(b)(9)....................... Self-Service Copy Change............................ 0.25 (\1\)

2.6(b)(10)...................... Labor Charges for Services.......................... 30 (\1\)

2.6(b)(11)...................... Unspecified Other Services.......................... (\2\) (\1\)

----------------------------------------------------------------------------------------------------------------

(\1\)These fees are not affected by this rulemaking.

(\2\)Actual cost.

(\3\)Subscription.

[FR Doc. 94-20900 Filed 8-24-94; 8:45 am]

BILLING CODE 3510-16-M