[Federal Register Volume 61, Number 85 (Wednesday, May 1, 1996)]
[Proposed Rules]
[Pages 19224-19231]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-10765]



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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 960417113-6113-01]
RIN 0651-AA82


Revision of Patent Fees for Fiscal Year 1997

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Patent and Trademark Office (PTO) is proposing to amend 
the rules of practice in patent cases, Part 1 of title 37, Code of 
Federal Regulations, to adjust certain patent fee amounts to reflect 
fluctuations in the Consumer Price Index (CPI) and to recover costs of 
operation.

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

    A public hearing will be held on Wednesday, June 5, 1996, at 9:00 
a.m.
    Requests to present oral testimony should be received on before 
June 4, 1996.

ADDRESSES: Address written comments and requests to present oral 
testimony to the Commissioner of Patents and Trademarks, Washington, DC 
20231, Attention: Robert Kopson, suite 1107, Crystal Park 1, or by fax 
to (703) 305-8525.
    The hearing will be held in suite 912 of Crystal Park 2, located at 
2121 Crystal Drive, Arlington, Virginia.
    Written comments and a transcript of the hearing will be available 
for public inspection in suite 1107 of Crystal Park 1, located at 2011 
Crystal Drive, Arlington, Virginia.

FOR FURTHER INFORMATION CONTACT:
Robert Kopson by telephone at (703) 305-8510, fax at (703) 305-8525, or 
by mail marked to his attention and addressed to the Commissioner of 
Patents and Trademarks, Washington, DC 20231.

SUPPLEMENTARY INFORMATION: This proposed rule change is designed to 
adjust PTO fees in accordance with the applicable provisions of title 
35, United States Code; and section 10101 of the Omnibus Budget 
Reconciliation Act of 1990 (as amended by section 8001 of Public Law 
103-66), all as amended by the Patent and Trademark Office 
Authorization Act of 1991 (Public Law 102-204).

Background

Statutory Provisions

    Patent fees are authorized by 35 U.S.C. 41 and 35 U.S.C. 376. A 
fifty percent reduction in the fees paid under 35 U.S.C. 41(a) and (b) 
by independent inventors, small business concerns, and nonprofit 
organizations who meet prescribed definitions is required by 35 U.S.C. 
41(h).
    Subsection 41(f) of title 35, United States Code, provides that 
fees established under 35 U.S.C. 41(a) and (b) may be adjusted on 
October 1, 1992, and every year thereafter, to reflect fluctuations in 
the Consumer Price Index for all urban consumers (CPI-U) over the 
previous 12 months.
    Section 10101 of the Omnibus Budget Reconciliation Act of 1990 
(amended by section 8001 of Public Law 103-66) provides that there 
shall be a surcharge on all fees established under 35 U.S.C. 41(a) and 
(b) to collect $115 million in fiscal year 1997.
    Subsection 41(d) of title 35, United States Code, authorizes the 
Commissioner to establish fees for all other processing, services, or 
materials related to patents to recover the average cost of providing 
these services or materials, except for the fees for recording a 
document affecting title, for each photocopy, and for each black and 
white copy of a patent.
    Section 376 of title 35, United States Code, authorizes the 
Commissioner to set fees for patent applications filed under the Patent 
Cooperation Treaty (PCT).
    Subsection 41(g) of title 35, United States Code, provides that new 
fee amounts established by the Commissioner under section 41 may take 
effect thirty days after notice in the Federal Register and the 
Official Gazette of the Patent and Trademark Office.

Recovery Level Determinations

    This proposed rule adjusts patent fees for a planned recovery of 
$716,723,000 in fiscal year 1997, as proposed in the Administration's 
budget request to the Congress.
    The patent statutory fees established by 35 U.S.C. 41(a) and (b) 
are proposed to be adjusted on October 1, 1996, to reflect any 
fluctuations occurring during the previous 12 months in the Consumer 
Price Index for all urban consumers (CPI-U). In calculating these 
fluctuations, OMB has determined that the PTO should use CPI-U data as 
determined by the Secretary of Labor. However, the Department of Labor 
does not make public the CPI-U until approximately 21 days after the 
end of the month being calculated. Therefore, the latest CPI-U 
information available is for the month of February 1996. In accordance 
with previous rulemaking methodology, the PTO uses the Administration's 
projected CPI-U for the 12-month period ending September 30, 1996, 
which is 3.1 percent. Based on this projection, patent statutory fees 
are proposed to be adjusted by 3.1 percent. Before the final fee 
schedule is published, the fees may be adjusted slightly based on 
updated data available from the Department of Labor.
    Certain non-statutory patent processing fees established under 35 
U.S.C. 41(d) and PCT processing fees established under 35 U.S.C. 376 
are proposed to be adjusted to recover their estimated average costs in 
fiscal year 1996. Three patent service fees that are set by statute 
will not be adjusted. The three fees that are not being adjusted are 
assignment recording fees, printed patent copy fees and photocopy 
charge fees.
    The proposed fee amounts were rounded by applying standard 
arithmetic rules so that the amounts rounded would be convenient to the 
user. Fees of $100 or more were rounded to the nearest $10. Fees 
between $2 and $99 were rounded to an even number so that any 
comparable small entity fee would be a whole number.

[[Page 19225]]

Workload Projections

    Determination of workload varies by fee. Principal workload 
projection techniques are as follows:
    Patent application workloads are projected from statistical 
regression models using recent application filing trends. Patent issues 
are projected from an in-house patent production model and reflect 
examiner production achievements and goals. Patent maintenance fee 
workloads utilize patents issued 3.5, 7.5 and 11.5 years prior to 
payment and assume payment rates of 79 percent, 55 percent and 32 
percent, respectively. Service fee workloads follow linear trends from 
prior years' activities.

General Procedures

    Any fee amount that is paid on or after the effective date of the 
fee increase would be subject to the new fees then in effect. For 
purposes of determining the amount of the fee to be paid, the date of 
mailing indicated on a proper Certificate of Mailing or Transmission, 
where authorized under 37 CFR 1.8, will be considered to be the date of 
receipt in the PTO. A Certificate of Mailing or Transmission under 
Section 1.8 is not ``proper'' for items which are specifically excluded 
from the provisions of Section 1.8. Section 1.8 should be consulted for 
those items for which a Certificate of Mailing or Transmission is not 
``proper.'' Such items include, inter alia, the filing of national and 
international applications for patents and the filing of trademark 
applications. However, the provisions of 37 CFR 1.10 relating to filing 
papers and fees with an ``Express Mail'' certificate do apply to any 
paper or fee (including patent and trademark applications) to be filed 
in the PTO. If an application or fee in filed by ``Express Mail'' with 
a proper certificate dated on or after the effective date of the rules, 
as amended, the amount of the fee to be paid would be the fee 
established by the amended rules.
    In order to ensure clarity in the implementation of the new fees, a 
discussion of specific sections is set forth below.

Discussion of Specific Rules

37 CFR 1.16  National Application Filing Fees

    Section 1.16, paragraphs (a), (b), (d), and (f)-(i), if revised as 
proposed, would adjust fees established therein to reflect fluctuations 
in the CPI. Further, section 1.16, if revised as proposed, would remove 
the undesignated text following paragraph (d), and add a new paragraph 
(k) including the provisions of such deleted undesignated text. In 
addition, Sec. 1.16(k) would also be applicable to any additional fees 
required by Secs. 1.16(i) and (j).

37 CFR 1.17  Patent Application Processing Fees

    Section 1.17, paragraphs (b)-(g), (m), (r) and (s), if revised as 
proposed, would adjust fees established therein to reflect fluctuations 
in the CPI.
    Section 1.17, paragraphs (j) and (n)-(p), if revised as proposed, 
would adjust fees established therein to recover costs.

37 CFR 1.18  Patent Issue Fees

    Section 1.18, paragraphs (a)-(c), if revised as proposed, would 
adjust fees established therein to reflect fluctuations in the CPI.

37 CFR 1.20  Post-Issuance Fees

    Section 1.20, paragraphs (c), (i), and (j), if revised as proposed, 
would adjust fees established therein to recover costs.
    Section 1.20, paragraphs (e)-(g), if revised as proposed, would 
adjust fees established therein to reflect fluctuations in the CPI.

37 CFR 1.21  Miscellaneous Fees and Charges

    Section 1.21, paragraph (a)(1), if revised as proposed, would 
establish a non-refundable application fee which reflects the costs of 
processing an application for the registration examination. Currently, 
the PTO evaluates and processes the applications of individuals who do 
not qualify for admission or those who withdraw from the examination, 
but generally refunds the examination fee to such applicants. Thus, 
other fee payers bear the costs of this evaluation and processing. The 
proposed amendment would shift the expense of evaluating applications 
to all applicants. In order to offset the proposed application fee, the 
examination fee is proposed to be slightly decreased.
    Section 1.21, paragraphs (a)(3) and (a)(6), if revised as proposed, 
would adjust fees established therein to recover costs.

37 CFR 1.445  International Application Filing, Processing, and Search 
Fees

    Section 1.445, paragraph (a), if revised as proposed, would adjust 
the fees authorized by 35 U.S.C. 376 to recover costs and reflect 
current business practices.

37 CFR 1.482  International Preliminary Examination Fees

    Section 1.482, paragraphs (a)(1)(i), (a)(1)(ii), and (a)(2)(ii), if 
revised as proposed, would adjust the fees authorized by 35 U.S.C. 376 
to recover costs.

37 CFR 1.492  National State Fees

    Section 1.492, paragraphs (a), (b) and (d), if revised as proposed, 
would adjust fees established therein to reflect fluctuations in the 
CPI.

Other Considerations

    This proposed rule change is in conformity with the requirements of 
Executive Order 12612, and the Paperwork Reduction Act of 1995, 44 
U.S.C. 3501, et seq. This rulemaking contains no information collection 
within the meaning of the Paperwork Reduction Act. This proposed rule 
has been determined not to be significant for purposes of Executive 
Order 12866. The PTO has determined that this proposed rule change has 
no Federalism implications affecting the relationship between the 
National Government and the States as outlined in Executive Order 
12612.
    The Assistant General Counsel for Legislation and Regulation of the 
Department of Commerce has certified to the Chief Counsel for Advocacy, 
Small Business Administration, that the proposed rule change would not 
have a significant impact on a substantial number of small entities 
(Regulatory Flexibility Act, Pub. L. 96-354). The proposed rule change 
increases fees to reflect the change in the CPI as authorized by 35 
U.S.C. 41(f). Further, the principal impact of the major patent fees 
has already been taken into account in 35 U.S.C. 41(h), which provides 
small entities with a 50-percent reduction in the major patent fees.
    A comparison of existing and new fee amounts is included as an 
Appendix to this notice of proposed rulemaking.

Lists of Subjects in 37 CFR Part 1

    Administrative practice and procedure, Inventions and patents, 
Reporting and recordkeeping requirements, Small businesses.

    For the reasons set forth in the preamble, the PTO is proposing to 
amend title 37 of the Code of Federal Regulations, Part 1, as set forth 
below.

PART 1--RULES OF PRACTICE IN PATENT CASES

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

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

    2. Section 1.16 is proposed to be amended by revising paragraphs 
(a), (b),

[[Page 19226]]

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


Sec. 1.16  National application filing fees.

    (a) Basic fee for filing each application for an original patent, 
except provisional, design or plant applications:

By a small entity (Sec. 1.9(f)).................................$385.00
By other than a small entity....................................$770.00

    (b) In addition to the basic filing fee in an original application, 
except provisional applications, for filing or later presentation of 
each independent claim in excess of 3:

By a small entity (Sec. 1.9(f))..................................$40.00
By other than a small entity.....................................$80.00
* * * * *
    (d) In addition to the basic filing fee in an original application, 
except provisional applications, if the application contains, or is 
amended to contain, multiple dependent claim(s), per application:

By a small entity (Sec. 1.9(f)).................................$130.00
By other than a small entity....................................$260.00
* * * * *
    (f) Basic fee for filing each design application:

By a small entity (Sec. 1.9(f)).................................$160.00
By other than a small entity....................................$320.00

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

By a small entity (Sec. 1.9(f)).................................$265.00
By other than a small entity....................................$530.00

    (h) Basic fee for filing each reissue application:

By a small entity (Sec. 1.9(f)).................................$385.00
By other than a small entity....................................$770.00

    (i) In addition to the basic filing fee in a reissue application, 
for filing or later presentation of each independent claim which is in 
excess of the number of independent claims in the original patent:

By a small entity (Sec. 1.9(f))..................................$40.00
By other than a small entity.....................................$80.00
* * * * *
    (m) If the additional fees required by paragraphs (b), (c), (d), 
(i) and (j) of this section are not paid on filing or on later 
presentation of the claims for which the additional fees are due, they 
must be paid or the claims must be canceled by amendment, prior to the 
expiration of the time period set for reply by the Office in any notice 
of fee deficiency.
    3. Section 1.17 is proposed to be amended by revising paragraphs 
(b) through (g), (j), (m) through (p), (r), and (s) to read as follows:


Sec. 1.17  Patent application processing fees.

* * * * *
    (b) Extension fee for response within second month pursuant to 
Sec. 1.136(a):

By a small entity (Sec. 1.9(f)).................................$195.00
By other than a small entity....................................$390.00

    (c) Extension fee for response within third month pursuant to 
Sec. 1.136(a):

By a small entity (Sec. 1.9(f)).................................$465.00
By other than a small entity....................................$930.00

    (d) Extension fee for response within fourth month pursuant to 
Sec. 1.136(a):

By a small entity (Sec. 1.9(f)).................................$735.00
By other than a small entity..................................$1,470.00

    (e) For filing a notice of appeal from the examiner to the Board of 
Patent Appeals and Interferences:

By a small entity (Sec. 1.9(f)).................................$150.00
By other than a small entity....................................$300.00

    (f) In addition to the fee for filing a notice of appeal, for 
filing a brief in support of an appeal:

By a small entity (Sec. 1.9(f)).................................$150.00
By other than a small entity....................................$300.00

    (g) For filing a request for an oral hearing before the Board of 
Patent Appeals and Interferences in an appeal under 35 U.S.C. 134:

By a small entity (Sec. 1.9(f)).................................$130.00
By other than a small entity....................................$260.00
* * * * *
    (j) For filing a petition to institute a public use proceeding 
under

Sec. 1.292....................................................$1,470.00
* * * * *
    (m) For filing a petition:
    (1) For revival of an unintentionally abandoned application, or
    (2) For the unintentionally delayed payment of the fee for issuing 
a patent:

By a small entity (Sec. 1.9(f)).................................$645.00
By other than a small entity..................................$1,290.00

    (n) For requesting publication of a statutory invention 
registration prior to the mailing of the first examiner's action 
pursuant to Sec. 1.104--$900.00 reduced by the amount of the 
application basic filing fee paid.
    (o) For requesting publication of a statutory invention 
registration after the mailing of the first examiner's action pursuant 
to Sec. 1.104--$1,790.00 reduced by the amount of the application basic 
filing fee paid.
    (p) For submission of an information disclosure statement under

Sec. 1.97(c)....................................................$230.00
* * * * *
    (r) For entry of a submission after final rejection under 
Sec. 1.129(a):

By a small entity (Sec. 1.9(f)).................................$385.00
By other than a small entity....................................$770.00

    (s) For each additional invention to be examined under 
Sec. 1.129(b):

By a small entity (Sec. 1.9(f)).................................$385.00
By other than a small entity....................................$770.00

    4. Section 1.18 is proposed to be revised to read as follows:


Sec. 1.18  Patent issue fees.

    (a) Issue fee for issuing each original or reissue patent, except a 
design or plant patent:

By a small entity (Sec. 1.9(f)).................................$645.00
By other than a small entity..................................$1,290.00

    (b) Issue fee for issuing a design patent:

By a small entity (Sec. 1.9(f)).................................$220.00
By other than a small entity....................................$440.00

    (c) Issue fee for issuing a plant patent:

By a small entity (Sec. 1.9(f)).................................$325.00
By other than a small entity....................................$650.00

    5. Section 1.20 is proposed to be amended by revising paragraphs 
(c), (e) through (g), (i)(1), (i)(2), and (j) (1) through (3) to read 
as follows:


Sec. 1.20  Post issuance fees.

* * * * *
    (c) For filing a request for reexamination

(Sec. 1.510(a))...............................................$2,460.00
* * * * *
    (e) For maintaining an original or reissue patent, except a design 
or plant patent, based on an application filed on or after December 12, 
1980, in force beyond four years; the fee is due by three years and six 
months after the original grant:

By a small entity (Sec. 1.9(f)).................................$510.00
By other than a small entity..................................$1,020.00

    (f) For maintain an original or reissue patent, except a design or 
plant patent, based on an application filed on or after December 12, 
1980, in force beyond eight years; the fee is due by seven years and 
six months after the original grant:

By a small entity (Sec. 1.9(f))...............................$1,025.00
By other than a small entity..................................$2,050.00

    (g) For maintaining an original reissue patent, except a design or 
plant patent, based on an application filed on or after December 12, 
1980, in force beyond twelve years; the fee is due by eleven years and 
six months after the original grant:

By a small entity (Sec. 1.9(f))...............................$1,540.00
By other than a small entity..................................$3,080.00
* * * * *
    (i) * * *

(1) Unavoidable.................................................$680.00
(2) Unintentional.............................................$1,600.00

    (j) * * *

(1) Application for extension under Sec. 1.740................$1,090.00
(2) Initial application for interim extension under Sec. 1.790 
                                                                $410.00
(3) Subsequent application for interim

[[Page 19227]]

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

    6. Section 1.21 is proposed to be amended by revising paragraph 
(a)(1), (a)(3), and (a)(6) to read as follows:


Sec. 1.21  Miscellaneous fees and charges.

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

(i) Application Fee
(non-refundable).................................................$40.00
(ii) Registration examination fee...............................$300.00
* * * * *
(3) For reinstatement to practice................................$40.00
* * * * *
    (6) For requesting regrading of an examination under Sec. 10.7(c):

(i) Regarding of A.M. section (PTO Practice and Procedure)......$225.00
(ii) Regarding P.M. section (Claim Drafting)....................$530.00
* * * * *
    7. Section 1.445 is proposed to be amended by revising paragraph 
(a) to read as follows:


Sec. 1.445  International application filing, processing and search 
fees.

    (a) The following fees and charges for international applications 
are established by the Commissioner under the authority of 35 U.S.C. 
376:

(1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14)....$230.00

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

(i) Where a corresponding prior United States National 
application filed under 35 U.S.C. 111(a) with the filing fee 
under 37 CFR 1.16(a) has been filed.............................$440.00
(ii) For all situations not provided for in (a)(2)(i) of this 
section.........................................................$680.00
(3) A supplemental search fee when required, per additional 
invention.......................................................$200.00
* * * * *
    8. Section 1.482 is proposed to be amended by revising paragraphs 
(a)(1)(i), (a)(1)(i), and (a)(2)(ii) to read as follows:


Sec. 1.482  International preliminary examination fees.

    (a) * * *
    (1) * * *

(i) Where an international search fee as set forth in 
Sec. 1.445(a)(2) has been paid on the international application 
to the United States Patent and Trademark Office as an 
International Searching Authority, a preliminary examination fee 
of..............................................................$480.00
(ii) Where the International Searching Authority for the 
international application was an authority other than the United 
States Patent and Trademark Office, a preliminary examination fee 
of..............................................................$730.00

    (2) * * *
    (i) * * *

(ii) Where the International Searching Authority for the 
international application was an authority other than the United 
States Patent and Trademark Office..............................$260.00
* * * * *
    9. Section 1.492 is proposed to be amended by revising paragraphs 
(a), (b), and (d) to read as follows:


Sec. 1.492  National stage fees.

* * * * *
    (a) The basic national fee:
    (1) Where an international preliminary examination fee as set forth 
in Sec. 1.482 has been paid on the international application to the 
United States Patent and Trademark Office:

By a small entity (Sec. 1.9(f)).................................$350.00
By other than a small entity....................................$700.00

    (2) Where no international preliminary examination fee as set forth 
in Sec. 1.482 has been paid to the United States Patent and Trademark 
Office, but an international search fee as set forth in 
Sec. 1.445(a)(2) has been paid on the international application to the 
United States Patent and Trademark Office as an International Searching 
Authority:

By a small entity (Sec. 1.9(f)).................................$385.00
By other than a small entity....................................$770.00

    (3) Where an international preliminary examination fee as set forth 
in Sec. 1.482 has been paid and no international search fee as set 
forth in Sec. 1.445(a)(2) has been paid on the international 
application to the United States Patent and Trademark Office:

By a small entity (Sec. 1.9(f)).................................$520.00
By other than a small entity..................................$1,040.00

    (4) Where an international preliminary examination fee as set forth 
in Sec. 1.482 has been paid to the United States Patent and Trademark 
Office and the international preliminary examination report states that 
the criteria of novelty, inventive step (non-obviousness), and 
industrial applicability, as defined in PCT Article 33 (1) to (4) have 
been satisfied for all the claims presented in the application entering 
the national stage (see Sec. 1.496(b)):

By a small entity (Sec. 1.9(f))..................................$48.00
By other than a small entity.....................................$96.00

    (5) Where a search report on the international application has been 
prepared by the European Patent Office or the Japanese Patent Office:

By a small entity (Sec. 1.9(f)).................................$455.00
By other than a small entity....................................$910.00

    (b) In addition to the basic national fee, for filing or later 
presentation of each independent claim in excess of 3:

By a small entity (Sec. 1.9(f))..................................$40.00
By other than a small entity.....................................$80.00
* * * * *
    (d) In addition to the basic national fee, if the application 
contains, or is amended to contain a multiple dependent claim(s), per 
application:

By a small entity (Sec. 1.9(f)).................................$130.00
By other than a small entity....................................$260.00
* * * * *
    April 24, 1996.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and 
Trademarks.

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

                                               Appendix A--Comparison of Existing and Revised Fee Amounts                                               
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                  Pre-Oct               
                                     37 CFR Sec.                                                     Description                    1996       Oct 1996 
--------------------------------------------------------------------------------------------------------------------------------------------------------
1.16(a)..............................................................................  Basic Filing Fee.......................         $750         $770
1.16(a)..............................................................................  Basic Filing Fee (Small Entity)........          375          385
1.16(b)..............................................................................  Independent Claims.....................           78           80
1.16(b)..............................................................................  Independent Claims (Small Entity)......           39           40
1.16(c)..............................................................................  Claims in Excess of 20.................           22           --
1.16(c)..............................................................................  Claims in Excess of 20 (Small Entity)..           11           --
1.16(d)..............................................................................  Multiple Dependent Claims..............          250          260
1.16(d)..............................................................................  Multiple Dependent Claims (Small                 125          130
                                                                                        Entity).                                                        
1.16(e)..............................................................................  Surcharge--Late Filing Fee.............          130           --
1.16(e)..............................................................................  Surcharge--Late Filing Fee (Small                 65           --
                                                                                        Entity).                                                        

[[Page 19228]]

                                                                                                                                                        
1.16(f)..............................................................................  Design Filing Fee......................          310          320
1.16(f)..............................................................................  Design Filing Fee (Small Entity).......          155          160
1.16(g)..............................................................................  Plant Filing Fee.......................          510          530
1.16(g)..............................................................................  Plant Filing Fee (Small Entity)........          255          265
1.16(h)..............................................................................  Reissue Filing Fee.....................          750          770
1.16(h)..............................................................................  Reissue Filing Fee (Small Entity)......          375          385
1.16(i)..............................................................................  Reissue Independent Claims.............           78           80
1.16(i)..............................................................................  Reissue Independent Claims (Small                 39           40
                                                                                        Entity).                                                        
1.16(j)..............................................................................  Reissue Claims in Excess of 20.........           22           --
1.16(j)..............................................................................  Reissue Claims in Excess of 20 (Small             11           --
                                                                                        Entity).                                                        
1.16(k)..............................................................................  Provisional Application Filing Fee.....          150           --
1.16(k)..............................................................................  Provisional Application Filing Fee                75           --
                                                                                        (Small Entity).                                                 
1.16(l)..............................................................................  Surcharge--Incomplete Provisional App.            50           --
                                                                                        Filed.                                                          
1.16(l)..............................................................................  Surcharge--Incomplete Provisional App.            25           --
                                                                                        Filed (Small Entity).                                           
1.17(a)..............................................................................  Extension--First Month.................          110           --
1.17(a)..............................................................................  Extension--First Month (Small Entity)..           55           --
1.17(b)..............................................................................  Extension--Second Month................          380          390
1.17(b)..............................................................................  Extension--Second Month (Small Entity).          190          195
1.17(c)..............................................................................  Extension--Third Month.................          900          930
1.17(c)..............................................................................  Extension--Third Month (Small Entity)..          450          465
1.17(d)..............................................................................  Extension--Fourth Month................        1,400        1,470
1.17(d)..............................................................................  Extension--Fourth Month (Small Entity).          700          735
1.17(e)..............................................................................  Notice of Appeal.......................          290          300
1.17(e)..............................................................................  Notice of Appeal (Small Entity)........          145          150
1.17(f)..............................................................................  Filing a Brief.........................          290          300
1.17(f)..............................................................................  Filing a Brief (Small Entity)..........          145          150
1.17(g)..............................................................................  Request for Oral Hearing...............          250          260
1.17(g)..............................................................................  Request for Oral Hearing (Small Entity)          125          130
1.17(h)..............................................................................  Petition--Not All Inventors............          130           --
1.17(h)..............................................................................  Petition--Correction of Inventorship...          130           --
1.17(h)..............................................................................  Petition--Decision on Questions........          130           --
1.17(h)..............................................................................  Petition--Suspend Rules................          130           --
1.17(h)..............................................................................  Petition--Expedited License............          130           --
1.17(h)..............................................................................  Petition--Scope of License.............          130           --
1.17(h)..............................................................................  Petition--Retroactive License..........          130           --
1.17(h)..............................................................................  Petition--Refusing Maintenance Fee.....          130           --
1.17(h)..............................................................................  Petition--Refusing Maintenance Fee--             130           --
                                                                                        Expired Patent.                                                 
1.17(h)..............................................................................  Petition--Interference.................          130           --
1.17(h)..............................................................................  Petition--Reconsider Interference......          130           --
1.17(h)..............................................................................  Petition--Late Filing of Interference..          130           --
1.20(b)..............................................................................  Petition--Correction of Inventorship...          130           --
1.17(h)..............................................................................  Petition--Refusal to Publish SIR.......          130           --
1.17(i)..............................................................................  Petition--For Assignment...............          130           --
1.17(i)..............................................................................  Petition--For Application..............          130           --
1.17(i)..............................................................................  Petition--Late Priority Papers.........          130           --
1.17(i)..............................................................................  Petition--Suspend Action...............          130           --
1.17(i)..............................................................................  Petition--Divisional Reissues to Issue           130           --
                                                                                        Separately.                                                     
1.17(i)..............................................................................  Petition--For Interference Agreement...          130           --
1.17(i)..............................................................................  Petition--Amendment After Issue........          130           --
1.17(i)..............................................................................  Petition--Withdrawal After Issue.......          130           --
1.17(i)..............................................................................  Petition--Defer Issue..................          130           --
1.17(i)..............................................................................  Petition--Issue to Assignee............          130           --
1.17(i)..............................................................................  Petition--Accord a Filing Date Under             130           --
                                                                                        Sec.  1.53.                                                     
1.17(i)..............................................................................  Petition--Accord a Filing Date Under             130           --
                                                                                        Sec.  1.62.                                                     
1.17(i)..............................................................................  Petition--Make Application Special.....          130           --
1.17(j)..............................................................................  Petition--Public Use Proceeding........        1,430        1,470
1.17(k)..............................................................................  Non-English Specification..............          130           --
1.17(l)..............................................................................  Petition--Revive Abandoned Appl........          110           --
1.17(l)..............................................................................  Petition--Revive Abandoned Appl. (Small           55           --
                                                                                        Entity).                                                        
1.17(m)..............................................................................  Petition--Revive Unintentionally               1,250        1,290
                                                                                        Abandoned Appl.                                                 
1.17(m)..............................................................................  Petition--Revive Unintent Abandoned              625          645
                                                                                        Appl. (Small Entity).                                           
1.17(n)..............................................................................  SIR--Prior to Examiner's Action........          870          900
1.17(o)..............................................................................  SIR--After Examiner's Action...........        1,740        1,790
1.17(p)..............................................................................  Submission of an Information Disclosure          220          230
                                                                                        Statement (Sec.  1.97).                                         
1.17(q)..............................................................................  Petition--Correction of Inventorship              50           --
                                                                                        (Prov. App.).                                                   
1.17(q)..............................................................................  Petition--Accord a filing date (Prov.             50           --
                                                                                        App.).                                                          
1.17(q)..............................................................................  Petition--Entry of submission after               50           --
                                                                                        final rejection (Prov. App.).                                   

[[Page 19229]]

                                                                                                                                                        
1.17(r)..............................................................................  Filing a submission after final                  750          770
                                                                                        rejection (1.129(a)).                                           
1.17(r)..............................................................................  Filing a submission after final                  375          385
                                                                                        rejection (1.129(a)) (Small Entity).                            
1.17(s)..............................................................................  Per add'l invention to be examined               750          770
                                                                                        (1.129(b)).                                                     
1.17(s)..............................................................................  Per add'l invention to be examined               375          385
                                                                                        (1.129(b)) (Small Entity).                                      
1.18(a)..............................................................................  Issue Fee..............................        1,250        1,290
1.18(a)..............................................................................  Issue Fee (Small Entity)...............          625          645
1.18(b)..............................................................................  Design Issue Fee.......................          430          440
1.18(b)..............................................................................  Design Issue Fee (Small Entity)........          215          220
1.18(c)..............................................................................  Plant Issue Fee........................          630          650
1.18(c)..............................................................................  Plant Issue Fee (Small Entity).........          315          325
1.19(a)(1)(i)........................................................................  Copy of Patent.........................            3           --
1.19(a)(1)(ii).......................................................................  Patent Copy--Overnight delivery to PTO             6           --
                                                                                        Box or overnight fax.                                           
1.19(a)(1)(iii)......................................................................  Patent Copy by Expedited Mail or Fax--            25           --
                                                                                        Exp. service.                                                   
1.19(a)(2)...........................................................................  Plant Patent Copy......................           12           --
1.19(a)(3)(i)........................................................................  Copy of Utility or SIR in Color........           24           --
1.19(b)(1)(i)........................................................................  Certified Copy of Patent Application as           15           --
                                                                                        Filed.                                                          
1.19(b)(1)(ii).......................................................................  Certified Copy of Patent Application as           30           --
                                                                                        Filed, Expedited.                                               
1.19(b)(2)...........................................................................  Cert or Uncert. Copy of Patent-Related           150           --
                                                                                        Filed Wrapper/Contents.                                         
1.19(b)(3)...........................................................................  Cert. or Uncert. Copies of Office                 25           --
                                                                                        Records, per Document.                                          
1.19(b)(4)...........................................................................  For Assignment Records, Abstract of               25           --
                                                                                        Title and Certification.                                        
1.19(c)..............................................................................  Library Service........................           50           --
1.19(d)..............................................................................  List of Patents in Subclass............            3           --
1.19(e)..............................................................................  Uncertified Statement-Status of                   10           --
                                                                                        Maintenance Fee Payment.                                        
1.19(f)..............................................................................  Copy of Non-U.S. Patent Document.......           25           --
1.19(g)..............................................................................  Comparing and Certifying Copies, Per              25           --
                                                                                        Document, Per Copy.                                             
1.19(h)..............................................................................  Duplicate or Corrected Filing Receipt..           25           --
1.20(a)..............................................................................  Certificate of Correction..............          100           --
1.20(c)..............................................................................  Reexamination..........................        2,390        2,460
1.20(d)..............................................................................  Statutory Disclaimer...................          110           --
1.20(d)..............................................................................  Statutory Disclaimer (Small Entity)....           55           --
1.20(e)..............................................................................  Maintenance Fee--3.5 Years.............          990        1,020
1.20(e)..............................................................................  Maintenance Fee--3.5 Years (Small                495          510
                                                                                        Entity).                                                        
1.20(f)..............................................................................  Maintenance Fee--7.5 Years.............        1,990        2,050
1.20(f)..............................................................................  Maintenance Fee--7.5 Years (Small                995        1,025
                                                                                        Entity.                                                         
1.20(g)..............................................................................  Maintenance Fee--11.5 Years............        2,990        3,080
1.20(g)..............................................................................  Maintenance Fee--11.5 Years (Small             1,495        1,540
                                                                                        Entity).                                                        
1.20(h)..............................................................................  Surcharge--Maintenance Fee--6 Months...          130           --
1.20(h)..............................................................................  Surcharge--Maintenance Fee--6 Months              65           --
                                                                                        (Small Entity).                                                 
1.20(i)(1)...........................................................................  Surcharge--Maintenance After                     660          680
                                                                                        Expiration--Unavoidable.                                        
1.20(i)(2)...........................................................................  Surcharge--Maintenance After                   1,550        1,600
                                                                                        Expiration--Unintentional.                                      
1.20(j)(1)...........................................................................  Extension of Term of Patent Under 1.740        1,060        1,090
1.20(j)(2)...........................................................................  Initial Application for Interim                  400          410
                                                                                        Extension Under 1.790.                                          
1.20(j)(3)...........................................................................  Subsequent Application for Interim               200          210
                                                                                        Extension Under 1.790.                                          
1.21(a)(1)(i)........................................................................  Application Fee (non-refundable).......           --           40
1.21(a)(1)(ii).......................................................................  Registration examination fee...........          310          300
1.21(a)(2)...........................................................................  Registration to Practice...............          100           --
1.21(a)(3)...........................................................................  Reinstatement to Practice..............           15           40
1.21(a)(4)...........................................................................  Certificate of Good Standing...........           10           --
1.21(a)(4)...........................................................................  Certificate of Good Standing, Suitable            20           --
                                                                                        Framing.                                                        
1.21(a)(5)...........................................................................  Review of Decision of Director, OED....          130           --
1.21(a)(6)(i)........................................................................  Regrading of P.M. section (Claim                 130          225
                                                                                        Drafting).                                                      
1.21(a(6)(ii)........................................................................  Regrading of A.M. section) PTO Practice          130          530
                                                                                        and Procedure.                                                  
1.21(b)(1)...........................................................................  Establish Deposit Account..............           10           --
1.21(b)(2)...........................................................................  Service Charge Below Minimum Balance...           25           --
1.21(b)(3)...........................................................................  Service Charge Below Minimum Balance...           25           --
1.21(c)..............................................................................  Filing a Disclosure Document...........           10           --
1.21(d)..............................................................................  Box Rental.............................           50           --
1.21(e)..............................................................................  International Type Search Report.......           40           --
1.21(g)..............................................................................  Self-Service Copy Charge...............          .25           --
1.21(h)..............................................................................  Recording Patent Property..............           40           --
1.21(i)..............................................................................  Publication in the OG..................           25           --
1.21(j)..............................................................................  Labor Charges for Services.............           30           --
1.21(k)..............................................................................  Unspecified Other Services.............        (\1\)           --

[[Page 19230]]

                                                                                                                                                        
1.21(k)..............................................................................  Terminal Use APS-CSIR (per hour).......           50           --
1.21(l)..............................................................................  Retaining abandoned application........          130           --
1.21(m)..............................................................................  Processing Returned Checks.............           50           --
1.21(n)..............................................................................  Handling Fee--Incomplete Application...          130           --
1.21(o)..............................................................................  Terminal Use APS-TEXT..................           40           --
1.24.................................................................................  Coupons for Patent and Trademark Copies            3           --
1.296................................................................................  Handling Fee--Withdrawal SIR...........          130           --
1.445(a)(1)..........................................................................  Transmittal Fee........................          220          230
1.445(a)(2)(i).......................................................................  PCT Search Fee--Prior U.S. Application.          430          440
1.445(a)(2)(ii)......................................................................  PCT Search Fee--No U.S. Application....          660          680
1.445(a)(3)..........................................................................  Supplemental Search....................          190          200
1.482(a)(1)(i).......................................................................  Preliminary Exam Fee...................          470          480
1.482(a)(1)(ii)......................................................................  Preliminary Exam Fee...................          710          730
1.482(a)(2)(i).......................................................................  Additional Invention...................          140           --
1.482(a)(2)(ii)......................................................................  Additional Invention...................          250          260
1.492(a)(1)..........................................................................  Preliminary Examining Authority........          680          700
1.492(a)(1)..........................................................................  Preliminary Examining Authority (Small           340          350
                                                                                        Entity).                                                        
1.492(a)(2)..........................................................................  Searching Authority....................          750          770
1.492(a)(2)..........................................................................  Searching Authority (Small Entity).....          375          385
1.492(a)(3)..........................................................................  PTO Not ISA nor IPEA...................        1,010        1,040
1.492(a)(3)..........................................................................  PTO Not ISA nor IPEA (Small Entity)....          505          520
1.492(a)(4)..........................................................................  Claims--IPEA...........................           94           96
1.492(a)(4)..........................................................................  Claims--IPEA (Small Entity)............           47           48
1.492(a)(5)..........................................................................  Filing with EPO/JPO Search Report......          880          910
1.492(a)(5)..........................................................................  Filing with EPO/JPO Search Report                440          455
                                                                                        (Small Entity).                                                 
1.492(b).............................................................................  Claims--Extra Individual (Over 3)......           78           80
1.492(b).............................................................................  Claims--Extra Individual (Over 3)                 39           40
                                                                                        (Small Entity).                                                 
1.492(c).............................................................................  Claims--Extra Total (Over 20)..........           22           --
1.492(c).............................................................................  Claims--Extra Total (Over 20) (Small              11           --
                                                                                        Entity).                                                        
1.492(d).............................................................................  Claims--Multiple Dependents............          250          260
1.492(d).............................................................................  Claims--Multiple Dependents (Small               125          130
                                                                                        Entity).                                                        
1.492(e).............................................................................  Surcharge..............................          130           --
1.492(e).............................................................................  Surcharge (Small Entity)...............           65           --
1.492(f).............................................................................  English Translation--After 20 Months...          130           --
2.6(a)(1)............................................................................  Application for Registration, Per Class          245           --
2.6(a)(2)............................................................................  Amendment to Allege Use, Per Class.....          100           --
2.6(a)(3)............................................................................  Statement of Use, Per Class............          100           --
2.6(a)(4)............................................................................  Extension for Filing Statement of Use,           100           --
                                                                                        Per Class.                                                      
2.6(a)(5)............................................................................  Application for Renewal, Per Class.....          300           --
2.6(a)(6)............................................................................  Surcharge for Late Renewal, Per Class..          100           --
2.6(a)(7)............................................................................  Publication of Mark Under Sec.  12(c),           100           --
                                                                                        Per Class.                                                      
2.6(a)(8)............................................................................  Issuing New Certificate of Registration          100          9--
2.6(a)(9)............................................................................  Certificate of Correction of                     100           --
                                                                                        Registrant's Error.                                             
2.6(a)(10)...........................................................................  Filing Disclaimer to Registration......          100           --
2.6(a)(11)...........................................................................  Filing Disclaimer to Registration......          100           --
2.6(a)(12)...........................................................................  Filing Affidavit Under Section 8, Per            100           --
                                                                                        Class.                                                          
2.6(a)(13)...........................................................................  Filing Affidavit Under Section 15, Per           100           --
                                                                                        Class.                                                          
2.6(a)(14)...........................................................................  Filing Affidavit Under Sections 8 & 15,          200           --
                                                                                        Per Class.                                                      
2.6(a)(15)...........................................................................  Petitions to the Commissioner..........          100           --
2.6(a)(16)...........................................................................  Petition to Cancel, Per Class..........          200           --
2.6(a)(17)...........................................................................  Notice of Opposition, Per Class........          200           --
2.6(a)(18)...........................................................................  Ex Parte Appeal to the TTAB, Per Class.          100           --
2.6(a)(19)...........................................................................  Dividing an Application, Per New                 100           --
                                                                                        Application Created.                                            
2.6(b)(1)(i).........................................................................  Copy of Registered Mark................            3           --
2.6(b)(1)(ii)........................................................................  Copy of Registered Mark, overnight                 6           --
                                                                                        delivery to PTO box or fax.                                     
2.6(b)(1)(iii).......................................................................  Copy of Reg. Mark Ordered Via Exp. Mail           25           --
                                                                                        or Fax, Exp. Svc.                                               
2.6(b)(2)(i).........................................................................  Certified Copy of TM Application as               15           --
                                                                                        Filed.                                                          
2.6(b)(2)(ii)........................................................................  Certified Copy of TM Application as               30           --
                                                                                        Filed, Expedited.                                               
2.6(b)(3)............................................................................  Cert. or Uncert. Copy of TM-Related               50           --
                                                                                        File Wrapper/Contents.                                          
2.6(b)(4)(i).........................................................................  Cert. Copy of Registered Mark, Title or           10           --
                                                                                        Status.                                                         
2.6(b)(4)(ii)........................................................................  Cert. Copy of Registered Mark, Title or           20           --
                                                                                        Status--Expedited.                                              
2.6(b)(5)............................................................................  Certified or Uncertified Copy of TM               25           --
                                                                                        Records.                                                        
2.6(b)(6)............................................................................  Recording Trademark Property, Per Mark,           40           --
                                                                                        Per Document.                                                   
2.6(b)(6)............................................................................  For Second and Subsequent Marks in Same           25           --
                                                                                        Document.                                                       
2.6(b)(7)............................................................................  For Assignment Records, Abstracts of              25           --
                                                                                        Title and Cert.                                                 
2.6(b)(8)............................................................................  Terminal Use X-SEARCH..................           40           --
2.6(b)(9)............................................................................  Self-Service Copy Charge...............         0.25           --

[[Page 19231]]

                                                                                                                                                        
2.6(b)(10)...........................................................................  Labor Charges for Services.............           30           --
2.6(b)(11)...........................................................................  Unspecified Other Services.............        (\1\)           --
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Actual Cost.                                                                                                                                        
--These fees are not affected by this rulemaking.                                                                                                       


[FR Doc. 96-10765 Filed 4-30-96; 8:45 am]
BILLING CODE 3510-16-M