Revision of Patent and Trademark Fees for Fiscal Year 1998

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Parts 1 and 2

[Docket No. 970410086-7086-01]

RIN 0651-AA92

Revision of Patent and Trademark Fees for Fiscal Year 1998

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of proposed rulemaking.

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

the rules of practice in patent and trademark cases, Parts 1 and 2 of

title 37, Code of Federal Regulations, to adjust certain patent fee and

trademark service 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 11, 1997.

ADDRESSES: Address written comments to the Commissioner of Patents and

Trademarks, Washington, DC 20231, Attention: Matthew Lee, Crystal Park

1, Suite 802, or by fax to (703) 305-8007.

Written comments will be available for public inspection in Crystal

Park 1, Suite 802, located at 2011 Crystal Drive, Arlington, Virginia.

FOR FURTHER INFORMATION CONTACT: Matthew Lee by telephone at (703) 305-

8051, fax at (703) 305-8007, or by mail marked to his attention and

addressed to the Commissioner of Patents and Trademarks, Office of

Finance, Crystal Park 1, Suite 802, 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; section 31 of the Trademark (Lanham) Act of

1946 (15 U.S.C. 1113); 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).

In a notice of proposed rulemaking entitled ``Changes to Implement

18-Month Publication of Patent Applications,'' published in the Federal

Register at 60 FR 42352 (August 15, 1995), and in the Official Gazette

of the Patent and Trademark Office at 1177 Off. Gaz. Pat. Office 61

(August 15, 1995), the PTO proposed to increase the filing, issue, and

each maintenance fee by $30 to recover the cost of 18-month publication

of patent applications. In the event that legislation providing for the

18-month publication of patent applications is enacted, the PTO may

further increase the filing, issue, and each maintenance fee to recover

the cost of 18-month publication of patent applications in the final

rulemaking to implement such legislation.

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 previous twelve 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 $119 million in fiscal year 1998.

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

[[Page 24866]]

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.

Section 31 of the Trademark (Lanham) Act of 1946, as amended (15

U.S.C. 1113), authorizes the Commissioner to establish fees for the

filing and processing of an application for the registration of a

trademark or other mark, and for all other services and materials

relating to trademarks and other marks.

Section 31(a) of the Trademark (Lanham) Act of 1946 (15 U.S.C.

1113(a)), as amended, allows trademark fees to be adjusted once each

year to reflect, in the aggregate, any fluctuations during the

preceding twelve months in the CPI.

Section 31 also allows new trademark fee amounts to 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

$763,391,000 in fiscal year 1998, 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, 1997, to reflect any

fluctuations occurring during the previous twelve 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 twenty-one days after the end of

the month being calculated. Therefore, the latest CPI-U information

available is for the month of February 1997. In accordance with

previous rulemaking methodology, the PTO uses the Administration's

projected CPI-U for the twelve-month period ending September 30, 1997,

which is 2.6 percent. Based on this projection, patent statutory fees

are proposed to be adjusted by 2.6 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 1998.

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.

Certain trademark service fees established under 15 U.S.C. 1113 are

proposed to be adjusted to recover their estimated average costs in

fiscal year 1998.

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.

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 78 percent, 54 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

proposed 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 using the ``Express Mail''

service of the United States Postal Service (USPS) 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 date of deposit with the USPS (shown by the ``date in'' on the

``Express Mail'' mailing label) which is 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), if

revised as proposed, would adjust fees established therein to reflect

fluctuations in the CPI.

37 CFR 1.17 Patent Application Processing Fees

Section 1.17, paragraphs (a), (e) through (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) through (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) through (c), if revised as proposed,

would adjust fees established therein to reflect fluctuations in the

CPI.

37 CFR 1.19 Document Supply Fees

Section 1.19, paragraphs (a)(2) and (a)(3), if revised as proposed,

would adjust fees established therein to recover costs.

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) through (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, paragraphs (a)(1)(ii), (a)(6) and (j), if revised as

proposed, would adjust fees established therein to recover costs.

[[Page 24867]]

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 Stage Fees

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

would adjust fees established therein to reflect fluctuations in the

CPI.

37 CFR 2.6 Trademark Fees

Section 2.6, paragraphs (b)(4) and (b)(10), if revised as proposed,

would adjust fees established therein to recover costs.

Other Considerations

This proposed rulemaking contains no information collection within

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

seq. This proposed rule has been determined to be not 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, 5 U.S.C. 605(b)). 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 fifty percent reduction in the major patent fees.

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

Appendix to this notice of proposed rulemaking.

List of Subjects

37 CFR Part 1

Administrative practice and procedure, Inventions and patents,

Reporting and record keeping requirements, Small businesses.

37 CFR Part 2

Administrative practice and procedure, Courts, Lawyers, Trademarks.

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

amend title 37 of the Code of Federal Regulations, parts 1 and 2, 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), (d), and (f) through (i) to read as follows:

Sec. 1.16 National application filing fees.

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

patent, except provisional, design or plant applications:

By a small entity (Sec. 1.9(f)).................................$395.00

By other than a small entity....................................$790.00

(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))..................................$41.00

By other than a small entity.....................................$82.00

* * * * *

(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)).................................$135.00

By other than a small entity....................................$270.00

* * * * *

(f) Basic fee for filing each design application:

By a small entity (Sec. 1.9(f)).................................$165.00

By other than a small entity....................................$330.00

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

provisional applications:

By a small entity (Sec. 1.9(f)).................................$270.00

By other than a small entity....................................$540.00

(h) Basic fee for filing each reissue application:

By a small entity (Sec. 1.9(f)).................................$395.00

By other than a small entity....................................$790.00

(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))..................................$41.00

By other than a small entity.....................................$82.00

* * * * *

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

(a), (e) through (g), (j), (m) through (p), (r), and (s) to read as

follows:

Sec. 1.17 Patent application processing fees.

(a) * * *

(1) * * *

(2) For reply within second month:

By a small entity (Sec. 1.9(f)).................................$200.00

By other than a small entity....................................$400.00

(3) For reply within third month:

By a small entity (Sec. 1.9(f)).................................$475.00

By other than a small entity....................................$950.00

(4) For reply within fourth month:

By a small entity (Sec. 1.9(f)).................................$755.00

By other than a small entity..................................$1,510.00

(5) For reply within fifth month:

By a small entity (Sec. 1.9(f))...............................$1,030.00

By other than a small entity..................................$2,060.00

* * * * *

(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)).................................$155.00

By other than a small entity....................................$310.00

(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))................................$155.00

By other than a small entity....................................$310.00

(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)).................................$135.00

By other than a small entity....................................$270.00

* * * * *

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

under

Sec. 1.292....................................................$1,510.00

* * * * *

(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)).................................$660.00

By other than a small entity..................................$1,320.00

(n) For requesting publication of a statutory invention

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

pursuant to Sec. 1.104--$920.00 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--$1,840.00 reduced by the amount of the

application basic filing fee paid.

(p) For submission of an information disclosure statement under

Sec. 1.97(c)...................................................$240.00

* * * * *

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

Sec. 1.129(a):

By a small entity (Sec. 1.9(f)).................................$395.00

By other than a small entity....................................$790.00

(s) For each additional invention requested to be examined under

Sec. 1.129(b):

By a small entity (Sec. 1.9(f)).................................$395.00

By other than a small entity....................................$790.00

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)).................................$660.00

[[Page 24868]]

By other than a small entity..................................$1,320.00

(b) Issue fee for issuing a design patent:

By a small entity (Sec. 1.9(f)).................................$225.00

By other than a small entity....................................$450.00

(c) Issue fee for issuing a plant patent:

By a small entity (Sec. 1.9(f)).................................$335.00

By other than a small entity....................................$670.00

5. Section 1.19 is proposed to be amended by revising paragraphs

(a)(2) and (a)(3) to read as follows:

Sec. 1.19 Document supply fees.

(a) * * *

(2) Printed copy of a plant patent in color......................$15.00

(3) Copy of a utility patent or statutory invention registration

containing color drawing (see Sec. 1.84(a)(2))...................$25.00

* * * * *

6. Section 1.20 is proposed to be 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))....$2,520.00

* * * * *

(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)).................................$525.00

By other than a small entity..................................$1,050.00

(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))...............................$1,050.00

By other than a small entity..................................$2,100.00

(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))...............................$1,580.00

By other than a small entity..................................$3,160.00

* * * * *

(i) * * *

(1) unavoidable.................................................$700.00

(2) unintentional.............................................$1,640.00

(j) * * *

(1) Application for extension under Sec. 1.740................$1,120.00

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

$420.00

(3) Subsequent application for interim extension under Sec. 1.790

$220.00

7. Section 1.21 is proposed to be amended by revising paragraphs

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

Sec. 1.21 Miscellaneous fees and charges.

(a) * * *

(1) * * *

(ii) Registration examination fee...............................$310.00

* * * * *

(6) For requesting regrading of an examination under

Sec. 10.7(c):

(i) Regrading of morning section (PTO Practice and Procedure)...$230.00

(ii) Regrading of afternoon section (Claim Drafting)............$540.00

* * * * *

(j) Labor charges for services, per hour or fraction thereof.....$40.00

* * * * *

8. 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)....$240.00

(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.............................$450.00

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

section.........................................................$700.00

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

invention.......................................................$210.00

* * * * *

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

(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..............................................................$490.00

(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..............................................................$750.00

(2) * * *

(ii) Where the International Searching Authority for the

international application was an authority other than the United

States Patent and Trademark Office..............................$270.00

* * * * *

10. 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)).................................$360.00

By other than a small entity....................................$720.00

(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)).................................$395.00

By other than a small entity....................................$790.00

(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)).................................$535.00

By other than a small entity..................................$1,070.00

(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))..................................$49.00

By other than a small entity.....................................$98.00

(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)).................................$465.00

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

(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))..................................$41.00

By other than a small entity.....................................$82.00

* * * * *

(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)).................................$135.00

By other than a small entity....................................$270.00

* * * * *

[[Page 24869]]

Part 2--Rules of Practice in Trademark Cases

1. The authority citation for 37 CFR Part 2 would continue to read

as follows:

Authority: 15 U.S.C. 1123; 35 U.S.C. 6, unless otherwise noted.

2. Section 2.6 is proposed to be amended by revising paragraphs

(b)(4) and (b)(10) to read as follows:

Sec. 2.6 Trademark fees.

* * * * *

(b) Trademark service fees. * * *

(4) Certified copy of a registered mark, showing title and/or

status:

(i) Regular service..............................................$15.00

(ii) Expedited local service.....................................$30.00

* * * * *

(10) Labor charges for services, per hour or fraction thereof....$40.00

* * * * *

Dated: May 1, 1997.

Bruce A. Lehman,

Assistant Secretary of Commerce and Commissioner of Patents and

Trademarks.

Note: The following appendix is provided as a courtesy to the

public, but is not a substitute for the rules. It will not appear in

the code of Federal Regulations.

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

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

Pre-Oct

37 CFR Sec. Description 1997 Oct 1997

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

1.16(a)................................. Basic Filing Fee............................ $770 $790

1.16(a)................................. Basic Filing Fee (Small Entity)............. 385 395

1.16(b)................................. Independent Claims.......................... 80 82

1.16(b)................................. Independent Claims (Small Entity)........... 40 41

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................... 260 270

1.16(d)................................. Multiple Dependent Claims (Small Entity).... 130 135

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

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

1.16(f)................................. Design Filing Fee........................... 320 330

1.16(f)................................. Design Filing Fee (Small Entity)............ 160 165

1.16(g)................................. Plant Filing Fee............................ 530 540

1.16(g)................................. Plant Filing Fee (Small Entity)............. 265 270

1.16(h)................................. Reissue Filing Fee.......................... 770 790

1.16(h)................................. Reissue Filing Fee (Small Entity)........... 385 395

1.16(i)................................. Reissue Independent Claims.................. 80 82

1.16(i)................................. Reissue Independent Claims (Small Entity)... 40 41

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 (Small 75 --

Entity).

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

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

(Small Entity).

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

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

1.17(a)(2).............................. Extension--Second Month..................... 390 400

1.17(a)(2).............................. Extension--Second Month (Small Entity)...... 195 200

1.17(a)(3).............................. Extension--Third Month...................... 930 950

1.17(a)(3).............................. Extension--Third Month (Small Entity)....... 465 475

1.17(a)(4).............................. Extension--Fourth Month..................... 1,470 1,510

1.17(a)(4).............................. Extension--Fourth Month (Small Entity)...... 735 755

1.17(a)(5).............................. Extension--Fifth Month...................... -- 2,060

1.17(a)(5).............................. Extension--Fifth Month (Small Entity)....... -- 1,030

1.17(e)................................. Notice of Appeal............................ 300 310

1.17(e)................................. Notice of Appeal (Small Entity)............. 150 155

1.17(f)................................. Filing a Brief.............................. 300 310

1.17(f)................................. Filing a Brief (Small Entity)............... 150 155

1.17(g)................................. Request for Oral Hearing.................... 260 270

1.17(g)................................. Request for Oral Hearing (Small Entity)..... 130 135

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--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 --

[[Page 24870]]

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 Sec. 130 --

1.53.

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

1.62.

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

1.17(j)................................. Petition--Public Use Proceeding............. 1,470 1,510

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 Abandoned 1,290 1,320

Appl.

1.17(m)................................. Petition--Revive Unintent Abandoned Appl. 645 660

(Small Entity).

1.17(n)................................. SIR--Prior to Examiner's Action............. 900 920

1.17(o)................................. SIR--After Examiner's Action................ 1,790 1,840

1.17(p)................................. Submission of an Information Disclosure 230 240

Statement (Sec. 1.97).

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

App.).

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 770 790

(1.129(a)).

1.17(r)................................. Filing a submission after final rejection 385 395

(1.129(a)) (Small Entity).

1.17(s)................................. Per add'l invention to be examined 770 790

(1.129(b)).

1.17(s)................................. Per add'l invention to be examined 385 395

(1.129(b)) (Small Entity).

1.18(a)................................. Issue Fee................................... 1,290 1,320

1.18(a)................................. Issue Fee (Small Entity).................... 645 660

1.18(b)................................. Design Issue Fee............................ 440 450

1.18(b)................................. Design Issue Fee (Small Entity)............. 220 225

1.18(c)................................. Plant Issue Fee............................. 650 670

1.18(c)................................. Plant Issue Fee (Small Entity).............. 325 335

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

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

or overnight fax.

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

Fax--Exp. service.

1.19(a)(2).............................. Plant Patent Copy........................... 12 15

1.19(a)(3)(i)........................... Copy of Utility Patent or SIR in Color...... 24 25

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 File 150 --

Wrapper/Contents.

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

per Document.

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

and Certification.

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

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

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

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............................... 2,460 2,520

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

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

1.20(e)................................. Maintenance Fee--3.5 Years.................. 1,020 1,050

1.20(e)................................. Maintenance Fee--3.5 Years (Small Entity)... 510 525

1.20(f)................................. Maintenance Fee--7.5 Years.................. 2,050 2,100

1.20(f)................................. Maintenance Fee--7.5 Years (Small Entity)... 1,025 1,050

1.20(g)................................. Maintenance Fee--11.5 Years................. 3,080 3,160

1.20(g)................................. Maintenance Fee--11.5 Years (Small Entity).. 1,540 1,580

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-- 680 700

Unavoidable.

1.20(i)(2).............................. Surcharge--Maintenance After Expiration-- 1,600 1,640

Unintentional.

1.20(j)(1).............................. Extension of Term of Patent Under 1.740..... 1,090 1,120

1.20(j)(2).............................. Initial Application for Interim Extension 410 420

Under 1.790.

1.20(j)(3).............................. Subsequent Application for Interim Extension 210 220

Under 1.790.

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

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

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

1.21(a)(3).............................. Reinstatement to Practice................... 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 --

[[Page 24871]]

1.21(a)(6)(i)........................... Regrading of A.M. section (PTO Practice and 225 230

Procedure).

1.21(a)(6)(ii).......................... Regrading of P.M. section (Claim Drafting).. 530 540

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 Change.................... .25 --

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

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

1.21(j)................................. Labor Charges for Services.................. 30 40

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

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............................. 230 240

1.445(a)(2)(i).......................... PCT Search Fee--Prior U.S. Application...... 440 450

1.445(a)(2)(ii)......................... PCT Search Fee--No U.S. Application......... 680 700

1.445(a)(3)............................. Supplemental Search......................... 200 210

1.482(a)(1)(i).......................... Preliminary Exam Fee........................ 480 490

1.482(a)(1)(ii)......................... Preliminary Exam Fee........................ 730 750

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

1.482(a)(2)(ii)......................... Additional Invention........................ 260 270

1.492(a)(1)............................. Preliminary Examining Authority............. 700 720

1.492(a)(1)............................. Preliminary Examining Authority (Small 350 360

Entity).

1.492(a)(2)............................. Searching Authority......................... 770 790

1.492(a)(2)............................. Searching Authority (Small Entity).......... 385 395

1.492(a)(3)............................. PTO Not ISA nor IPEA........................ 1,040 1,070

1.492(a)(3)............................. PTO Not ISA nor IPEA (Small Entity)......... 520 535

1.492(a)(4)............................. Claims--IPEA................................ 96 98

1.492(a)(4)............................. Claims--IPEA (Small Entity)................. 48 49

1.492(a)(5)............................. Filing with EPO/JPO Search Report........... 910 930

1.492(a)(5)............................. Filing with EPO/JPO Search Report (Small 455 465

Entity).

1.492(b)................................ Claims--Extra Individual (Over 3)........... 80 82

1.492(b)................................ Claims--Extra Individual (Over 3) (Small 40 41

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................. 260 270

1.492(d)................................ Claims--Multiple Dependents (Small Entity).. 130 135

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, Per 100 --

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), Per 100 --

Class.

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

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

Error.

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 200 --

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 Application 100 --

Created.

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

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

to PTO box or fax.

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

Fax, 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.

[[Page 24872]]

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

Wrapper/Contents.

2.6(b)(4)(i)............................ Cert. Copy of Registered Mark, Title or 10 15

Status.

2.6(b)(4)(ii)........................... Cert. Copy of Registered Mark, Title or 20 30

Status--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 25 --

Document.

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

and 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 40

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

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

-- These fees are not affected by this rulemaking. \1\ Actual cost.

[FR Doc. 97-11822 Filed 5-6-97; 8:45 am]

BILLING CODE 3510-16-M