Revision of Patent Fees for Fiscal Year 1997

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 960417113-6113-01]

RIN 0651-AA82

Revision of Patent Fees for Fiscal Year 1997

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of proposed rulemaking.

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

SUMMARY: The Patent and Trademark Office (PTO) is proposing to amend

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.

DATES: Written comments must be submitted on or before June 5, 1996.

A public hearing will be held on Wednesday, June 5, 1996, at 9:00

a.m.

Requests to present oral testimony should be received on before

June 4, 1996.

ADDRESSES: Address written comments and requests to present oral

testimony to the Commissioner of Patents and Trademarks, Washington, DC

20231, Attention: Robert Kopson, suite 1107, Crystal Park 1, or by fax

to (703) 305-8525.

The hearing will be held in suite 912 of Crystal Park 2, located at

2121 Crystal Drive, Arlington, Virginia.

Written comments and a transcript of the hearing will be available

for public inspection in suite 1107 of Crystal Park 1, located at 2011

Crystal Drive, Arlington, Virginia.

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 proposed rule change is designed to

adjust 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 (as amended by section 8001 of Public Law

103-66), all as amended by the Patent and Trademark Office

Authorization Act of 1991 (Public Law 102-204).

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 (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 for all urban consumers (CPI-U) over the

previous 12 months.

Section 10101 of the Omnibus Budget Reconciliation Act of 1990

(amended by section 8001 of Public Law 103-66) provides that there

shall be a surcharge on all fees established under 35 U.S.C. 41(a) and

(b) to collect $115 million in fiscal year 1997.

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(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 proposed rule adjusts patent fees for a planned recovery of

$716,723,000 in fiscal year 1997, as proposed in the Administration's

budget request to the Congress.

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

are proposed to be adjusted on October 1, 1996, to reflect any

fluctuations occurring during the previous 12 months in the Consumer

Price Index for all urban consumers (CPI-U). In calculating these

fluctuations, 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 February 1996. In accordance

with previous rulemaking methodology, the PTO uses the Administration's

projected CPI-U for the 12-month period ending September 30, 1996,

which is 3.1 percent. Based on this projection, patent statutory fees

are proposed to be adjusted by 3.1 percent. Before the final fee

schedule is published, the fees may be adjusted slightly based on

updated data available from the Department of Labor.

Certain non-statutory patent processing fees established under 35

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

are proposed to be adjusted to recover their estimated average costs in

fiscal year 1996. Three patent service fees that are set by statute

will not be adjusted. The three fees that are not being adjusted are

assignment recording fees, printed patent copy fees and photocopy

charge fees.

The proposed 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 any

comparable small entity fee would be a whole number.

[[Page 19225]]

Workload Projections

Determination of workload 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 79 percent, 55 percent and 32

percent, respectively. Service fee workloads follow linear trends from

prior years' activities.

General Procedures

Any fee amount that is paid on or after the effective date of the

fee increase 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 and the filing of trademark

applications. 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 and trademark applications) to be filed

in the PTO. If an application or fee in 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.

In order to ensure clarity in the implementation of the new 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), if revised as

proposed, would adjust fees established therein to reflect fluctuations

in the CPI. Further, section 1.16, if revised as proposed, would remove

the undesignated text following paragraph (d), and add a new paragraph

(k) including the provisions of such deleted undesignated text. In

addition, Sec. 1.16(k) would also be applicable to any additional fees

required by Secs. 1.16(i) and (j).

37 CFR 1.17 Patent Application Processing Fees

Section 1.17, paragraphs (b)-(g), (m), (r) and (s), if revised as

proposed, would adjust fees established therein to reflect fluctuations

in the CPI.

Section 1.17, paragraphs (j) and (n)-(p), if revised as proposed,

would adjust fees established therein to recover costs.

37 CFR 1.18 Patent Issue Fees

Section 1.18, paragraphs (a)-(c), if revised as proposed, would

adjust fees established therein to reflect fluctuations in the CPI.

37 CFR 1.20 Post-Issuance Fees

Section 1.20, paragraphs (c), (i), and (j), if revised as proposed,

would adjust fees established therein to recover costs.

Section 1.20, paragraphs (e)-(g), if revised as proposed, would

adjust fees established therein to reflect fluctuations in the CPI.

37 CFR 1.21 Miscellaneous Fees and Charges

Section 1.21, paragraph (a)(1), if revised as proposed, would

establish a non-refundable application fee which reflects the costs of

processing an application for the registration examination. Currently,

the PTO evaluates and processes the applications of individuals who do

not qualify for admission or those who withdraw from the examination,

but generally refunds the examination fee to such applicants. Thus,

other fee payers bear the costs of this evaluation and processing. The

proposed amendment would shift the expense of evaluating applications

to all applicants. In order to offset the proposed application fee, the

examination fee is proposed to be slightly decreased.

Section 1.21, paragraphs (a)(3) and (a)(6), if revised as proposed,

would adjust fees established therein to recover costs.

37 CFR 1.445 International Application Filing, Processing, and Search

Fees

Section 1.445, paragraph (a), if revised as proposed, would adjust

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

current business practices.

37 CFR 1.482 International Preliminary Examination Fees

Section 1.482, paragraphs (a)(1)(i), (a)(1)(ii), and (a)(2)(ii), if

revised as proposed, would adjust the fees authorized by 35 U.S.C. 376

to recover costs.

37 CFR 1.492 National State Fees

Section 1.492, paragraphs (a), (b) and (d), if revised as proposed,

would adjust fees established therein to reflect fluctuations in the

CPI.

Other Considerations

This proposed rule change is in conformity with the requirements of

Executive Order 12612, and the Paperwork Reduction Act of 1995, 44

U.S.C. 3501, et seq. This rulemaking contains no information collection

within the meaning of the Paperwork Reduction Act. This proposed rule

has been determined not to be significant for purposes of Executive

Order 12866. The PTO has determined that this proposed rule change has

no Federalism implications affecting the relationship between the

National Government and the States as outlined in Executive Order

12612.

The Assistant General Counsel for Legislation and Regulation of the

Department of Commerce has certified to the Chief Counsel for Advocacy,

Small Business Administration, that the proposed rule change would not

have a significant impact on a substantial number of small entities

(Regulatory Flexibility Act, Pub. L. 96-354). The proposed rule change

increases fees to reflect the change in the CPI as authorized by 35

U.S.C. 41(f). Further, 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.

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

Appendix to this notice of proposed rulemaking.

Lists of Subjects in 37 CFR Part 1

Administrative practice and procedure, Inventions and patents,

Reporting and recordkeeping requirements, Small businesses.

For the reasons set forth in the preamble, the PTO is proposing to

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

below.

PART 1--RULES OF PRACTICE IN PATENT CASES

1. The authority citation for 37 CFR Part 1 would continue to read

as follows:

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

2. Section 1.16 is proposed to be amended by revising paragraphs

(a), (b),

[[Page 19226]]

(d), and (f) through (i), and adding a new paragraph (m) to read as

follows:

Sec. 1.16 National application filing fees.

(a) Basic fee for filing each application for an original patent,

except provisional, design or plant applications:

By a small entity (Sec. 1.9(f)).................................$385.00

By other than a small entity....................................$770.00

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

except provisional applications, for filing or later presentation of

each independent claim in excess of 3:

By a small entity (Sec. 1.9(f))..................................$40.00

By other than a small entity.....................................$80.00

* * * * *

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

except provisional applications, if the application contains, or is

amended to contain, multiple dependent claim(s), per application:

By a small entity (Sec. 1.9(f)).................................$130.00

By other than a small entity....................................$260.00

* * * * *

(f) Basic fee for filing each design application:

By a small entity (Sec. 1.9(f)).................................$160.00

By other than a small entity....................................$320.00

(g) Basic fee for filing each plant application, except provisional

applications:

By a small entity (Sec. 1.9(f)).................................$265.00

By other than a small entity....................................$530.00

(h) Basic fee for filing each reissue application:

By a small entity (Sec. 1.9(f)).................................$385.00

By other than a small entity....................................$770.00

(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))..................................$40.00

By other than a small entity.....................................$80.00

* * * * *

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

(i) and (j) 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 must be canceled by amendment, prior to the

expiration of the time period set for reply by the Office in any notice

of fee deficiency.

3. Section 1.17 is proposed to be amended by revising paragraphs

(b) through (g), (j), (m) through (p), (r), and (s) to 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)).................................$195.00

By other than a small entity....................................$390.00

(c) Extension fee for response within third month pursuant to

Sec. 1.136(a):

By a small entity (Sec. 1.9(f)).................................$465.00

By other than a small entity....................................$930.00

(d) Extension fee for response within fourth month pursuant to

Sec. 1.136(a):

By a small entity (Sec. 1.9(f)).................................$735.00

By other than a small entity..................................$1,470.00

(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)).................................$150.00

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

(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)).................................$150.00

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

(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)).................................$130.00

By other than a small entity....................................$260.00

* * * * *

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

under

Sec. 1.292....................................................$1,470.00

* * * * *

(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)).................................$645.00

By other than a small entity..................................$1,290.00

(n) For requesting publication of a statutory invention

registration prior to the mailing of the first examiner's action

pursuant to Sec. 1.104--$900.00 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--$1,790.00 reduced by the amount of the application basic

filing fee paid.

(p) For submission of an information disclosure statement under

Sec. 1.97(c)....................................................$230.00

* * * * *

(r) For entry of a submission after final rejection under

Sec. 1.129(a):

By a small entity (Sec. 1.9(f)).................................$385.00

By other than a small entity....................................$770.00

(s) For each additional invention to be examined under

Sec. 1.129(b):

By a small entity (Sec. 1.9(f)).................................$385.00

By other than a small entity....................................$770.00

4. Section 1.18 is proposed to be 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)).................................$645.00

By other than a small entity..................................$1,290.00

(b) Issue fee for issuing a design patent:

By a small entity (Sec. 1.9(f)).................................$220.00

By other than a small entity....................................$440.00

(c) Issue fee for issuing a plant patent:

By a small entity (Sec. 1.9(f)).................................$325.00

By other than a small entity....................................$650.00

5. Section 1.20 is proposed to be amended by revising paragraphs

(c), (e) through (g), (i)(1), (i)(2), and (j) (1) through (3) to read

as follows:

Sec. 1.20 Post issuance fees.

* * * * *

(c) For filing a request for reexamination

(Sec. 1.510(a))...............................................$2,460.00

* * * * *

(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)).................................$510.00

By other than a small entity..................................$1,020.00

(f) For maintain 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))...............................$1,025.00

By other than a small entity..................................$2,050.00

(g) For maintaining an original 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))...............................$1,540.00

By other than a small entity..................................$3,080.00

* * * * *

(i) * * *

(1) Unavoidable.................................................$680.00

(2) Unintentional.............................................$1,600.00

(j) * * *

(1) Application for extension under Sec. 1.740................$1,090.00

(2) Initial application for interim extension under Sec. 1.790

$410.00

(3) Subsequent application for interim

[[Page 19227]]

extension under Sec. 1.790......................................$210.00

6. Section 1.21 is proposed to be amended by revising paragraph

(a)(1), (a)(3), and (a)(6) to read as follows:

Sec. 1.21 Miscellaneous fees and charges.

* * * * *

(a) * * *

(1) For admission to examination for registration to practice:

(i) Application Fee

(non-refundable).................................................$40.00

(ii) Registration examination fee...............................$300.00

* * * * *

(3) For reinstatement to practice................................$40.00

* * * * *

(6) For requesting regrading of an examination under Sec. 10.7(c):

(i) Regarding of A.M. section (PTO Practice and Procedure)......$225.00

(ii) Regarding P.M. section (Claim Drafting)....................$530.00

* * * * *

7. Section 1.445 is proposed to be 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)....$230.00

(2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):

(i) Where a corresponding prior United States National

application filed under 35 U.S.C. 111(a) with the filing fee

under 37 CFR 1.16(a) has been filed.............................$440.00

(ii) For all situations not provided for in (a)(2)(i) of this

section.........................................................$680.00

(3) A supplemental search fee when required, per additional

invention.......................................................$200.00

* * * * *

8. Section 1.482 is proposed to be amended by revising paragraphs

(a)(1)(i), (a)(1)(i), and (a)(2)(ii) to read as follows:

Sec. 1.482 International preliminary examination fees.

(a) * * *

(1) * * *

(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..............................................................$480.00

(ii) Where the International Searching Authority for the

international application was an authority other than the United

States Patent and Trademark Office, a preliminary examination fee

of..............................................................$730.00

(2) * * *

(i) * * *

(ii) Where the International Searching Authority for the

international application was an authority other than the United

States Patent and Trademark Office..............................$260.00

* * * * *

9. Section 1.492 is proposed to be amended by revising paragraphs

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

Sec. 1.492 National stage fees.

* * * * *

(a) The basic national fee:

(1) Where an international preliminary examination fee as set forth

in Sec. 1.482 has been paid on the international application to the

United States Patent and Trademark Office:

By a small entity (Sec. 1.9(f)).................................$350.00

By other than a small entity....................................$700.00

(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)).................................$385.00

By other than a small entity....................................$770.00

(3) Where an 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)).................................$520.00

By other than a small entity..................................$1,040.00

(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))..................................$48.00

By other than a small entity.....................................$96.00

(5) Where a search report on the international application has been

prepared by the European Patent Office or the Japanese Patent Office:

By a small entity (Sec. 1.9(f)).................................$455.00

By other than a small entity....................................$910.00

(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))..................................$40.00

By other than a small entity.....................................$80.00

* * * * *

(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)).................................$130.00

By other than a small entity....................................$260.00

* * * * *

April 24, 1996.

Bruce A. Lehman,

Assistant Secretary of Commerce and Commissioner of Patents and

Trademarks.

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

Federal Regulations.

Appendix A--Comparison of Existing and Revised Fee Amounts

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

Pre-Oct

37 CFR Sec. Description 1996 Oct 1996

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

1.16(a).............................................................................. Basic Filing Fee....................... $750 $770

1.16(a).............................................................................. Basic Filing Fee (Small Entity)........ 375 385

1.16(b).............................................................................. Independent Claims..................... 78 80

1.16(b).............................................................................. Independent Claims (Small Entity)...... 39 40

1.16(c).............................................................................. Claims in Excess of 20................. 22 --

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

1.16(d).............................................................................. Multiple Dependent Claims.............. 250 260

1.16(d).............................................................................. Multiple Dependent Claims (Small 125 130

Entity).

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

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

Entity).

[[Page 19228]]

1.16(f).............................................................................. Design Filing Fee...................... 310 320

1.16(f).............................................................................. Design Filing Fee (Small Entity)....... 155 160

1.16(g).............................................................................. Plant Filing Fee....................... 510 530

1.16(g).............................................................................. Plant Filing Fee (Small Entity)........ 255 265

1.16(h).............................................................................. Reissue Filing Fee..................... 750 770

1.16(h).............................................................................. Reissue Filing Fee (Small Entity)...... 375 385

1.16(i).............................................................................. Reissue Independent Claims............. 78 80

1.16(i).............................................................................. Reissue Independent Claims (Small 39 40

Entity).

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

1.16(j).............................................................................. Reissue Claims in Excess of 20 (Small 11 --

Entity).

1.16(k).............................................................................. Provisional Application Filing Fee..... 150 --

1.16(k).............................................................................. Provisional Application Filing Fee 75 --

(Small Entity).

1.16(l).............................................................................. Surcharge--Incomplete Provisional App. 50 --

Filed.

1.16(l).............................................................................. Surcharge--Incomplete Provisional App. 25 --

Filed (Small Entity).

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

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

1.17(b).............................................................................. Extension--Second Month................ 380 390

1.17(b).............................................................................. Extension--Second Month (Small Entity). 190 195

1.17(c).............................................................................. Extension--Third Month................. 900 930

1.17(c).............................................................................. Extension--Third Month (Small Entity).. 450 465

1.17(d).............................................................................. Extension--Fourth Month................ 1,400 1,470

1.17(d).............................................................................. Extension--Fourth Month (Small Entity). 700 735

1.17(e).............................................................................. Notice of Appeal....................... 290 300

1.17(e).............................................................................. Notice of Appeal (Small Entity)........ 145 150

1.17(f).............................................................................. Filing a Brief......................... 290 300

1.17(f).............................................................................. Filing a Brief (Small Entity).......... 145 150

1.17(g).............................................................................. Request for Oral Hearing............... 250 260

1.17(g).............................................................................. Request for Oral Hearing (Small Entity) 125 130

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

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

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

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

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

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

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

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

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

Expired Patent.

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

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

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

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

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

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

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

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

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

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

Separately.

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

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

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

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

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

1.17(i).............................................................................. Petition--Accord a Filing Date Under 130 --

Sec. 1.53.

1.17(i).............................................................................. Petition--Accord a Filing Date Under 130 --

Sec. 1.62.

1.17(i).............................................................................. Petition--Make Application Special..... 130 --

1.17(j).............................................................................. Petition--Public Use Proceeding........ 1,430 1,470

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

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

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

Entity).

1.17(m).............................................................................. Petition--Revive Unintentionally 1,250 1,290

Abandoned Appl.

1.17(m).............................................................................. Petition--Revive Unintent Abandoned 625 645

Appl. (Small Entity).

1.17(n).............................................................................. SIR--Prior to Examiner's Action........ 870 900

1.17(o).............................................................................. SIR--After Examiner's Action........... 1,740 1,790

1.17(p).............................................................................. Submission of an Information Disclosure 220 230

Statement (Sec. 1.97).

1.17(q).............................................................................. Petition--Correction of Inventorship 50 --

(Prov. App.).

1.17(q).............................................................................. Petition--Accord a filing date (Prov. 50 --

App.).

1.17(q).............................................................................. Petition--Entry of submission after 50 --

final rejection (Prov. App.).

[[Page 19229]]

1.17(r).............................................................................. Filing a submission after final 750 770

rejection (1.129(a)).

1.17(r).............................................................................. Filing a submission after final 375 385

rejection (1.129(a)) (Small Entity).

1.17(s).............................................................................. Per add'l invention to be examined 750 770

(1.129(b)).

1.17(s).............................................................................. Per add'l invention to be examined 375 385

(1.129(b)) (Small Entity).

1.18(a).............................................................................. Issue Fee.............................. 1,250 1,290

1.18(a).............................................................................. Issue Fee (Small Entity)............... 625 645

1.18(b).............................................................................. Design Issue Fee....................... 430 440

1.18(b).............................................................................. Design Issue Fee (Small Entity)........ 215 220

1.18(c).............................................................................. Plant Issue Fee........................ 630 650

1.18(c).............................................................................. Plant Issue Fee (Small Entity)......... 315 325

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

1.19(a)(1)(ii)....................................................................... Patent Copy--Overnight delivery to PTO 6 --

Box or overnight fax.

1.19(a)(1)(iii)...................................................................... Patent Copy by Expedited Mail or Fax-- 25 --

Exp. service.

1.19(a)(2)........................................................................... Plant Patent Copy...................... 12 --

1.19(a)(3)(i)........................................................................ Copy of Utility or SIR in Color........ 24 --

1.19(b)(1)(i)........................................................................ Certified Copy of Patent Application as 15 --

Filed.

1.19(b)(1)(ii)....................................................................... Certified Copy of Patent Application as 30 --

Filed, Expedited.

1.19(b)(2)........................................................................... Cert or Uncert. Copy of Patent-Related 150 --

Filed Wrapper/Contents.

1.19(b)(3)........................................................................... Cert. or Uncert. Copies of Office 25 --

Records, per Document.

1.19(b)(4)........................................................................... For Assignment Records, Abstract of 25 --

Title and Certification.

1.19(c).............................................................................. Library Service........................ 50 --

1.19(d).............................................................................. List of Patents in Subclass............ 3 --

1.19(e).............................................................................. Uncertified Statement-Status of 10 --

Maintenance Fee Payment.

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

1.19(g).............................................................................. Comparing and Certifying Copies, Per 25 --

Document, Per Copy.

1.19(h).............................................................................. Duplicate or Corrected Filing Receipt.. 25 --

1.20(a).............................................................................. Certificate of Correction.............. 100 --

1.20(c).............................................................................. Reexamination.......................... 2,390 2,460

1.20(d).............................................................................. Statutory Disclaimer................... 110 --

1.20(d).............................................................................. Statutory Disclaimer (Small Entity).... 55 --

1.20(e).............................................................................. Maintenance Fee--3.5 Years............. 990 1,020

1.20(e).............................................................................. Maintenance Fee--3.5 Years (Small 495 510

Entity).

1.20(f).............................................................................. Maintenance Fee--7.5 Years............. 1,990 2,050

1.20(f).............................................................................. Maintenance Fee--7.5 Years (Small 995 1,025

Entity.

1.20(g).............................................................................. Maintenance Fee--11.5 Years............ 2,990 3,080

1.20(g).............................................................................. Maintenance Fee--11.5 Years (Small 1,495 1,540

Entity).

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

1.20(h).............................................................................. Surcharge--Maintenance Fee--6 Months 65 --

(Small Entity).

1.20(i)(1)........................................................................... Surcharge--Maintenance After 660 680

Expiration--Unavoidable.

1.20(i)(2)........................................................................... Surcharge--Maintenance After 1,550 1,600

Expiration--Unintentional.

1.20(j)(1)........................................................................... Extension of Term of Patent Under 1.740 1,060 1,090

1.20(j)(2)........................................................................... Initial Application for Interim 400 410

Extension Under 1.790.

1.20(j)(3)........................................................................... Subsequent Application for Interim 200 210

Extension Under 1.790.

1.21(a)(1)(i)........................................................................ Application Fee (non-refundable)....... -- 40

1.21(a)(1)(ii)....................................................................... Registration examination fee........... 310 300

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

1.21(a)(3)........................................................................... Reinstatement to Practice.............. 15 40

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

1.21(a)(4)........................................................................... Certificate of Good Standing, Suitable 20 --

Framing.

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

1.21(a)(6)(i)........................................................................ Regrading of P.M. section (Claim 130 225

Drafting).

1.21(a(6)(ii)........................................................................ Regrading of A.M. section) PTO Practice 130 530

and Procedure.

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

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

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

1.21(c).............................................................................. Filing a Disclosure Document........... 10 --

1.21(d).............................................................................. Box Rental............................. 50 --

1.21(e).............................................................................. International Type Search Report....... 40 --

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

1.21(h).............................................................................. Recording Patent Property.............. 40 --

1.21(i).............................................................................. Publication in the OG.................. 25 --

1.21(j).............................................................................. Labor Charges for Services............. 30 --

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

[[Page 19230]]

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

1.21(l).............................................................................. Retaining abandoned application........ 130 --

1.21(m).............................................................................. Processing Returned Checks............. 50 --

1.21(n).............................................................................. Handling Fee--Incomplete Application... 130 --

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

1.24................................................................................. Coupons for Patent and Trademark Copies 3 --

1.296................................................................................ Handling Fee--Withdrawal SIR........... 130 --

1.445(a)(1).......................................................................... Transmittal Fee........................ 220 230

1.445(a)(2)(i)....................................................................... PCT Search Fee--Prior U.S. Application. 430 440

1.445(a)(2)(ii)...................................................................... PCT Search Fee--No U.S. Application.... 660 680

1.445(a)(3).......................................................................... Supplemental Search.................... 190 200

1.482(a)(1)(i)....................................................................... Preliminary Exam Fee................... 470 480

1.482(a)(1)(ii)...................................................................... Preliminary Exam Fee................... 710 730

1.482(a)(2)(i)....................................................................... Additional Invention................... 140 --

1.482(a)(2)(ii)...................................................................... Additional Invention................... 250 260

1.492(a)(1).......................................................................... Preliminary Examining Authority........ 680 700

1.492(a)(1).......................................................................... Preliminary Examining Authority (Small 340 350

Entity).

1.492(a)(2).......................................................................... Searching Authority.................... 750 770

1.492(a)(2).......................................................................... Searching Authority (Small Entity)..... 375 385

1.492(a)(3).......................................................................... PTO Not ISA nor IPEA................... 1,010 1,040

1.492(a)(3).......................................................................... PTO Not ISA nor IPEA (Small Entity).... 505 520

1.492(a)(4).......................................................................... Claims--IPEA........................... 94 96

1.492(a)(4).......................................................................... Claims--IPEA (Small Entity)............ 47 48

1.492(a)(5).......................................................................... Filing with EPO/JPO Search Report...... 880 910

1.492(a)(5).......................................................................... Filing with EPO/JPO Search Report 440 455

(Small Entity).

1.492(b)............................................................................. Claims--Extra Individual (Over 3)...... 78 80

1.492(b)............................................................................. Claims--Extra Individual (Over 3) 39 40

(Small Entity).

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

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

Entity).

1.492(d)............................................................................. Claims--Multiple Dependents............ 250 260

1.492(d)............................................................................. Claims--Multiple Dependents (Small 125 130

Entity).

1.492(e)............................................................................. Surcharge.............................. 130 --

1.492(e)............................................................................. Surcharge (Small Entity)............... 65 --

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

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

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

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

2.6(a)(4)............................................................................ Extension for Filing Statement of Use, 100 --

Per Class.

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

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

2.6(a)(7)............................................................................ Publication of Mark Under Sec. 12(c), 100 --

Per Class.

2.6(a)(8)............................................................................ Issuing New Certificate of Registration 100 9--

2.6(a)(9)............................................................................ Certificate of Correction of 100 --

Registrant's Error.

2.6(a)(10)........................................................................... Filing Disclaimer to Registration...... 100 --

2.6(a)(11)........................................................................... Filing Disclaimer to Registration...... 100 --

2.6(a)(12)........................................................................... Filing Affidavit Under Section 8, Per 100 --

Class.

2.6(a)(13)........................................................................... Filing Affidavit Under Section 15, Per 100 --

Class.

2.6(a)(14)........................................................................... Filing Affidavit Under Sections 8 & 15, 200 --

Per Class.

2.6(a)(15)........................................................................... Petitions to the Commissioner.......... 100 --

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

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

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

2.6(a)(19)........................................................................... Dividing an Application, Per New 100 --

Application Created.

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

2.6(b)(1)(ii)........................................................................ Copy of Registered Mark, overnight 6 --

delivery to PTO box or fax.

2.6(b)(1)(iii)....................................................................... Copy of Reg. Mark Ordered Via Exp. Mail 25 --

or Fax, Exp. Svc.

2.6(b)(2)(i)......................................................................... Certified Copy of TM Application as 15 --

Filed.

2.6(b)(2)(ii)........................................................................ Certified Copy of TM Application as 30 --

Filed, Expedited.

2.6(b)(3)............................................................................ Cert. or Uncert. Copy of TM-Related 50 --

File Wrapper/Contents.

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

Status.

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

Status--Expedited.

2.6(b)(5)............................................................................ Certified or Uncertified Copy of TM 25 --

Records.

2.6(b)(6)............................................................................ Recording Trademark Property, Per Mark, 40 --

Per Document.

2.6(b)(6)............................................................................ For Second and Subsequent Marks in Same 25 --

Document.

2.6(b)(7)............................................................................ For Assignment Records, Abstracts of 25 --

Title and Cert.

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

2.6(b)(9)............................................................................ Self-Service Copy Charge............... 0.25 --

[[Page 19231]]

2.6(b)(10)........................................................................... Labor Charges for Services............. 30 --

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

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

\1\ Actual Cost.

--These fees are not affected by this rulemaking.

[FR Doc. 96-10765 Filed 4-30-96; 8:45 am]

BILLING CODE 3510-16-M