Revision of Patent Fees for Fiscal Year 1997

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 960417113-6186-02]

RIN 0651-AA82

Revision of Patent Fees for Fiscal Year 1997

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of final rulemaking.

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

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

practice in patent cases to adjust certain patent fee amounts to

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

costs of operation.

EFFECTIVE DATE: October 1, 1996.

FOR FURTHER INFORMATION CONTACT:

Robert Harris by telephone at (703) 305-8510, fax at (703) 305-8525, e-

mail at [email protected], or by mail marked to his attention and

addressed to the U.S. Patent and Trademark Office, Office of Planning

and Evaluation, Crystal Park 1, Suite 1107, Washington, DC 20231.

SUPPLEMENTARY INFORMATION: This 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 (CPI) over the precious 12 months.

Section 10101 of the Omnibus Budget Reconciliation Act of 1990

(amended by

[[Page 39586]]

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 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)

will 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, 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

June 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 will be adjusted by 3.1 percent.

Before the final fee schedule is published, the fees may be adjusted

slightly based on updated 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

will be adjusted to recover their estimated average costs in fiscal

year 1996. Three patent service fees that are set by statue 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 final 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.

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 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 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.

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) through (i), is

revised to adjust fees established therein to reflect fluctuations in

the CPI. Further, section 1.16, is revised to 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)

is also applicable to any additional fees required by Secs. 1.16 (i)

and (j).

37 CFR 1.17 Patent Application Procession Fees

Section 1.17, paragraphs (b) through (g), (m), (r) and (s), is

revised to adjust fees established therein to reflect fluctuations in

the CPI.

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

adjust fees established therein to recover costs.

37 CFR 1.18 Patent Issue Fees

Section 1.18, paragraphs (a) through (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), and (j), is revised to adjust

fees established therein to recover costs.

Section 1.20, paragraphs (e) through (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, paragraph (a)(1), is revised to establish a non-

refundable applications 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. This

amendment will shift the expense of evaluating applications to all

applicants. In order to offset the application fee, the examination fee

will be slightly decreased.

Section 1.21, paragraph (a)(3) and (a)(6), is revised to adjust

fees established therein to recover costs.

37 CFR 1.445 International Application Filing, Processing, and Search

Fees

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

authorized by

[[Page 39587]]

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), 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

A notice of proposed rulemaking to adjust patent fee amounts was

published in the Federal Register on May 1, 1996, at 61 FR 19224 and

the Office Gazette of the United States Patent and Trademark Office on

May 7, 1996, at 1186 OG 14.

A public hearing was held on June 5, 1996. Two comments were

received and considered in adopting the rules set forth herein. No oral

testimony was presented.

Comment: One respondent stated that the PTO should not adjust

patent fee amounts using the U.S. Department of Labor's Consumer Price

Index (CPI). The respondent stated that the CPI does not reflect a true

or accurate index of increasing consumer prices.

Response: The PTO is required by law to base its inflationary fee

increases on fluctuations in the CPI over the 12 months prior to the

effective date of the fee increase. However, if the Department of Labor

modifies the definition or changes the method of calculating the

Consumer Price Index for all urban consumers (CPI-U), which is the

version of the CPI that OMB has determined the PTO should use, future

PTO inflationary fee increases could be based on the revised index.

Comment: One respondent stated that the patent extension fees set

in 37 CFR 1.17 (a) through (d) should be reduced by at least 50 percent

for patent applications filed on or after June 8, 1995.

Response: Patent extension fees were set in statute by Congress in

1982 with the enactment of Public Law 97-247. The PTO does not have the

authority to offer a 50 percent discount for all patent applications

filed on or after June 8, 1995.

Other Considerations

This rulemaking contains no information collection within the

meaning of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq.

This rule has been determined to be not significant for purposes of

Executive Order 12866. The PTO has determined that this 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 rule change will not have a

significant impact on a substantial number of small entities

(Regulatory Flexibility Act, 5 U.S.C. 605(b)). The 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 final 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 amending

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 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),

(f) through (i), and adding a new paragraph (m) before the note 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, 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

* * * * *

(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 rely by the Office in any notice of fee

deficiency.

* * * * *

3. Section 1.17 is 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:

[[Page 39588]]

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 requested 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 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 amended by revising paragraphs (c), (e) through

(g), (i)(1), (i)(2), and (j)(1) through (j)(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 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))--$1,025.00

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

(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))--$1,540.00

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 extension under Sec. 1.790--

$210.00

6. Section 1.21 is amended by revising paragraphs (a)(1), (a)(3),

and (a)(6) to read as follows:

Sec. 1.21 Miscellaneous fees and charges.

* * * * *

(a) * * *

(1) For administration 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) Regrading of morning section (PTO Practice and Procedure)--

$225.00

(ii) Regrading of afternoon section (Claim Drafting)--$530.00

* * * * *

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)--

$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 amended by revising paragraph (a)(1)(i),

(a)(1)(ii), 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) * * *

(ii) Where an International Search Authority for the international

application was an authority other than the United States Patent and

Trademark Office--$260.00

* * * * *

9. Section 1.492 is 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

[[Page 39589]]

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

But other than a small entity--$770.00

(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))--$520.00

But 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

But 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

But 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

But 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

* * * * *

Dated: July 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 Entity)......... 125 130

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

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

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 Entity)........ 39 40

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

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

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

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

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

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

(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 --

[[Page 39590]]

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

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

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

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 Separately 130 --

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 Sec. 1.53.. 130 --

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

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 Entity).. 55 --

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

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

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 Statement 220 230

(Sec. 1.97).

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

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

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

rejection (Prov. App.).

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

(1.129(a)).

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

(1.129(a)) (Small Entity.

1.17(s)................................ Per add'l invention to be examined (1.129(b)).... 730 770

1.17(s)................................ Per add'l invention to be examined (1.129(b)) 375 385

(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 Box or 6 --

overnight fax.

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

Exp. service.

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

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

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

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

Expedited.

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

Wrapper/Contents.

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

Document.

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

Certification.

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

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

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

Payment.

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

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

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 Entity)........ 495 510

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

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

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

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

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

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

Entity).

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

Unavoidable.

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

Unintentional.

[[Page 39591]]

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

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

1.790.

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

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 Framing... 20 --

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

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

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

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....................... Actual --

Cost

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 Entity)... 340 350

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 (Small Entity). 440 455

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

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

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

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

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

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

1.492(e)............................... Surchage......................................... 130 --

1.492(e)............................... Surchage (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, Per Class. 100 --

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), Per Class. 100 --

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

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

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

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

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

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

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

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

[[Page 39592]]

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 Application 100 --

Created.

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

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

PTO box or fax.

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

Exp. Svc..

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

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

Expedited.

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

Contents.

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

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

Expedited.

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

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

Document.

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

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

Cert..

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

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

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

2.6(b)(11)............................. Unspecified Other Services....................... Actual --

Cost

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

-- These fees are not affected by this rulemaking.

[FR Doc. 96-19309 Filed 7-29-96; 8:45 am]

BILLING CODE 3510-16-M