[Federal Register Volume 61, Number 147 (Tuesday, July 30, 1996)]
[Rules and Regulations]
[Pages 39585-39592]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19309]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 960417113-6186-02]
RIN 0651-AA82


Revision of Patent Fees for Fiscal Year 1997

AGENCY: Patent and Trademark Office, Commerce.

ACTION: Notice of final rulemaking.

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SUMMARY: The Patent and Trademark Office (PTO) is amending the rules of 
practice in patent cases to adjust certain patent fee amounts to 
reflect fluctuations in the Consumer Price Index (CPI) and to recover 
costs of operation.

EFFECTIVE DATE: October 1, 1996.

FOR FURTHER INFORMATION CONTACT:
Robert Harris by telephone at (703) 305-8510, fax at (703) 305-8525, e-
mail at [email protected], or by mail marked to his attention and 
addressed to the U.S. Patent and Trademark Office, Office of Planning 
and Evaluation, Crystal Park 1, Suite 1107, Washington, DC 20231.

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

Background

Statutory Provisions

    Patent fees are authorized by 35 U.S.C. 41 and 35 U.S.C. 376, A 
fifty percent reduction in the fees paid under 35 U.S.C. 41(a) and (b) 
by independent inventors, small business concerns, and nonprofit 
organizations who meet prescribed definitions is required by 35 U.S.C. 
41(h).
    Subsection 41(f) of title 35, United States Code, provides that 
fees established under 35 U.S.C. 41(a) and (b) may be adjusted on 
October 1, 1992, and every year thereafter, to reflect fluctuations in 
the Consumer Price Index (CPI) over the precious 12 months.
    Section 10101 of the Omnibus Budget Reconciliation Act of 1990 
(amended by

[[Page 39586]]

section 8001 of Public Law 103-66) provides that there shall be a 
surcharge on all fees established under 35 U.S.C. 41(a) and (b) to 
collect $115 million in fiscal year 1997.
    Subsection 41(d) of title 35, United States Code, authorizes the 
Commissioner to establish fees for all other processing, services, or 
materials related to patents to recover the average cost of providing 
these services or materials, except for the fees for recording a 
document affecting title, for each photocopy, and for each black and 
white copy of a patent.
    Section 376 of title 35, United States Code, authorizes the 
Commissioner to set fees for patent applications filed under the patent 
Cooperation Treaty (PCT).
    Subsection 41(g) of title 35, United States Code, provides that new 
fee amounts established by the Commissioner under section 41 may take 
effect thirty days after notice in the Federal Register and the 
Official Gazette of the Patent and Trademark Office.

Recovery Level Determinations

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

Workload Projections

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

General Procedures

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

Discussion of Specific Rules

37 CFR 1.16  National Application Filing Fees

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

37 CFR 1.17  Patent Application Procession Fees

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

37 CFR 1.18  Patent Issue Fees

    Section 1.18, paragraphs (a) through (c), is revised to adjust fees 
established therein to reflect fluctuations in the CPI.

37 CFR 1.20  Post-Issuance Fees

    Section 1.20, paragraphs (c), (i), and (j), is revised to adjust 
fees established therein to recover costs.
    Section 1.20, paragraphs (e) through (g), is revised to adjust fees 
established therein to reflect fluctuations in the CPI.

37 CFR 1.21  Miscellaneous Fees and Charges

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

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

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

[[Page 39587]]

35 U.S.C. 376 to recover costs and reflect current business practices.

37 CFR 1.482  International Preliminary Examination Fees

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

37 CFR 1.492  National Stage Fees

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

Response to Comments on the Rules

    A notice of proposed rulemaking to adjust patent fee amounts was 
published in the Federal Register on May 1, 1996, at 61 FR 19224 and 
the Office Gazette of the United States Patent and Trademark Office on 
May 7, 1996, at 1186 OG 14.
    A public hearing was held on June 5, 1996. Two comments were 
received and considered in adopting the rules set forth herein. No oral 
testimony was presented.
    Comment: One respondent stated that the PTO should not adjust 
patent fee amounts using the U.S. Department of Labor's Consumer Price 
Index (CPI). The respondent stated that the CPI does not reflect a true 
or accurate index of increasing consumer prices.
    Response: The PTO is required by law to base its inflationary fee 
increases on fluctuations in the CPI over the 12 months prior to the 
effective date of the fee increase. However, if the Department of Labor 
modifies the definition or changes the method of calculating the 
Consumer Price Index for all urban consumers (CPI-U), which is the 
version of the CPI that OMB has determined the PTO should use, future 
PTO inflationary fee increases could be based on the revised index.
    Comment: One respondent stated that the patent extension fees set 
in 37 CFR 1.17 (a) through (d) should be reduced by at least 50 percent 
for patent applications filed on or after June 8, 1995.
    Response: Patent extension fees were set in statute by Congress in 
1982 with the enactment of Public Law 97-247. The PTO does not have the 
authority to offer a 50 percent discount for all patent applications 
filed on or after June 8, 1995.

Other Considerations

    This rulemaking contains no information collection within the 
meaning of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. 
This rule has been determined to be not significant for purposes of 
Executive Order 12866. The PTO has determined that this rule change has 
no Federalism implications affecting the relationship between the 
National Government and the States as outlined in Executive Order 
12612.
    The Assistant General Counsel for Legislation and Regulation of the 
Department of Commerce has certified to the Chief Counsel for Advocacy, 
Small Business Administration, that the rule change will not have a 
significant impact on a substantial number of small entities 
(Regulatory Flexibility Act, 5 U.S.C. 605(b)). The rule change 
increases fees to reflect the change in the CPI as authorized by 35 
U.S.C. 41(f). Further, the principal impact of the major patent fees 
has already been taken into account in 35 U.S.C. 41(h), which provides 
small entities with a 50-percent reduction in the major patent fees.
    A comparison of existing and new fee amounts is included as an 
Appendix to this notice of final rulemaking.

Lists of Subjects in 37 CFR Part 1

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

    For the reasons set forth in the preamble, the PTO is amending 
title 37 of the Code of Federal Regulations, part 1, as set forth 
below.

PART 1--RULES OF PRACTICE IN PATENT CASES

    1. The authority citation for 37 CFR part 1 continues to read as 
follows:

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

    2. Section 1.16 is amended by revising paragraphs (a), (b), (d), 
(f) through (i), and adding a new paragraph (m) before the note to read 
as follows:


Sec. 1.16  National application filing fees.

(a) Basic fee for filing each application for an original patent, 
except provisional, design or plant applications:
    By a small entity (Sec. 1.9(f))--$385.00
    By other than a small entity--$770.00
(b) In addition to the basic filing fee in an original application, 
except provisional applications, for filing or later presentation of 
each independent claim in excess of 3:
    By a small entity (Sec. 1.9(f))--$40.00
    By other than a small entity--$80.00
* * * * *
(d) In addition to the basic filing fee in an original application, 
except provisional applications, if the application contains, or is 
amended to contain, a multiple dependent claim(s), per application:
    By a small entity (Sec. 1.9(f))--$130.00
    By other than a small entity--$260.00
* * * * *
(f) Basic fee for filing each design application
    By a small entity (Sec. 1.9(f))--$160.00
    By other than a small entity--$320.00
(g) Basic fee for filing each plant application, except provisional 
applications:
    By a small entity (Sec. 1.9(f))--$265.00
    By other than a small entity--$530.00
(h) Basic fee for filing each reissue application:
    By a small entity (Sec. 1.9(f))--$385.00
    By other than a small entity--$770.00
(i) In addition to the basic filing fee in a reissue application, for 
filing or later presentation of each independent claim which is in 
excess of the number of independent claims in the original patent:
    By a small entity (Sec. 1.9(f))--$40.00
    By other than a small entity--$80.00
* * * * *
(m) If the additional fees required by paragraphs (b), (c), (d), (i) 
and (j) of this section are not paid on filing or on later presentation 
of the claims for which the additional fees are due, they must be paid 
or the claims must be canceled by amendment, prior to the expiration of 
the time period set for rely by the Office in any notice of fee 
deficiency.
* * * * *
    3. Section 1.17 is amended by revising paragraphs (b) through (g), 
(j), (m) through (p), (r), and (s) to read as follows:


Sec. 1.17  Patent application processing fees.

* * * * *
(b) Extension fee for response within second month pursuant to 
Sec. 1.136(a):
    By a small entity (Sec. 1.9(f))--$195.00
    By other than a small entity--$390.00
(c) Extension fee for response within third month pursuant to 
Sec. 1.136(a):
    By a small entity (Sec. 1.9(f))--$465.00
    By other than a small entity--$930.00
(d) Extension fee for response within fourth month pursuant to 
Sec. 1.136(a):
    By a small entity (Sec. 1.9(f))--$735.00
    By other than a small entity--$1,470.00
(e) For filing a notice of appeal from the examiner to the Board of 
Patent Appeals and Interferences:
    By a small entity (Sec. 1.9(f))--$150.00
    By other than a small entity--$300.00
(f) In addition to the fee for filing a notice of appeal, for filing a 
brief in support of an appeal:

[[Page 39588]]

    By a small entity (Sec. 1.9(f))--$150.00
    By other than a small entity--$300.00
(g) For filing a request for an oral hearing before the Board of Patent 
Appeals and Interferences in an appeal under 35 U.S.C. 134:
    By a small entity (Sec. 1.9(f))--$130.00
    By other than a small entity--$260.00
* * * * *
(j) For filing a petition to institute a public use proceeding under 
Sec. 1.292--$1,470.00
* * * * *
(m) For filing a petition:
  (1) For revival of an unintentionally abandoned application, or
  (2) For the unintentionally delayed payment of the fee for issuing a 
patent:
    By a small entity (Sec. 1.9(f))--$645.00
    By other than a small entity--$1,290.00
(n) For requesting publication of a statutory invention registration 
prior to the mailing of the first examiner's action pursuant to 
Sec. 1.104--$900.00 reduced by the amount of the application basic 
filing fee paid.
(o) For requesting publication of a statutory invention registration 
after the mailing of the first examiner's action pursuant to 
Sec. 1.104--$1,790.00 reduced by the amount of the application basic 
filing fee paid.
(p) For submission of an information disclosure statement under 
Sec. 1.97(c)--$230.00
* * * * *
(r) For entry of a submission after final rejection under 
Sec. 1.129(a):
    By a small entity (Sec. 1.9(f))--$385.00
    By other than a small entity--$770.00
(s) For each additional invention requested to be examined under 
Sec. 1.129(b):
    By a small entity (Sec. 1.9(f))--$385.00
    By other than a small entity--$770.00

    4. Section 1.18 is revised to read as follows:


Sec. 1.18   Patent issue fees.

(a) Issue fee for issuing each original or reissue patent, except a 
design or plant patent:
    By a small entity (Sec. 1.9(f))--$645.00
    By other than a small entity--$1,290.00
(b) Issue fee for issuing a design patent:
    By a small entity (Sec. 1.9(f))--$220.00
    By other than a small entity--$440.00
(c) Issue fee for issuing a plant patent:
    By a small entity (Sec. 1.9(f))--$325.00
    By other than a small entity--$650.00

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


Sec. 1.20  Post issuance fees.

* * * * *
(c) For filing a request for reexamination (Sec. 1.510(a))--$2,460.00
* * * * *
(e) For maintaining an original or reissue patent, except a design or 
plant patent, based on an application filed on or after December 12, 
1980, in force beyond four years; the fee is due by three years and six 
months after the original grant:
    By a small entity (Sec. 1.9(f))--$510.00
    By other than a small entity--$1,020.00
(f) For maintaining an original or reissue patent, except a design or 
plant patent, based on an application filed on or after December 12, 
1980, in force beyond eight years; the fee is due by seven years and 
six months after the original grant:
    By a small entity (Sec. 1.9(f))--$1,025.00
    By other than a small entity--$2,050.00
(g) For maintaining an original or reissue patent, except a design or 
plant patent, based on an application filed on or after December 12, 
1980, in force beyond twelve years; the fee is due by eleven years and 
six months after the original grant:
    By a small entity (Sec. 1.9(f))--$1,540.00
    By other than a small entity--$3,080.00
* * * * *
(i) * * *
    (1) Unavoidable--$680.00
    (2) Unintentional--$1,600.00
(j) * * *
    (1) Application for extension under Sec. 1.740--$1,090.00
    (2) Initial application for interim extension under Sec. 1.790--
$410.00
    (3) Subsequent application for interim extension under Sec. 1.790--
$210.00

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


Sec. 1.21  Miscellaneous fees and charges.

* * * * *
(a) * * *

(1) For administration to examination for registration to practice:
    (i) Application Fee (non-refundable)--$40.00
    (ii) Registration examination fee--$300.00
* * * * *
(3) For reinstatement to practice--$40.00
* * * * *
(6) For requesting regrading of an examination under Sec. 10.7(c):
    (i) Regrading of morning section (PTO Practice and Procedure)--
$225.00
    (ii) Regrading of afternoon section (Claim Drafting)--$530.00
* * * * *
    7. Section 1.445 is amended by revising paragraph (a) to read as 
follows:


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

(a) The following fees and charges for international applications are 
established by the Commissioner under the authority of 35 U.S.C. 376:
    (1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14)--
$230.00
    (2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):
    (i) Where a corresponding prior United States National application 
filed under 35 U.S.C. 111(a) with the filing fee under 37 CFR 1.16(a) 
has been filed--$440.00
    (ii) For all situations not provided for in (a)(2)(i) of this 
section--$680.00
    (3) A supplemental search fee when required, per additional 
invention--$200.00
* * * * *
    8. Section 1.482 is amended by revising paragraph (a)(1)(i), 
(a)(1)(ii), and (a)(2)(ii) to read as follows:


Sec. 1.482  International preliminary examination fees.

(a) * * *
(1) * * *
    (i) Where an international search fee as set forth in 
Sec. 1.445(a)(2) has been paid on the international application to the 
United States Patent and Trademark Office as an International Searching 
Authority, a preliminary examination fee of--$480.00
    (ii) Where the International Searching Authority for the 
international application was an authority other than the United States 
Patent and Trademark Office, a preliminary examination fee of--$730.00
(2) * * *
    (ii) Where an International Search Authority for the international 
application was an authority other than the United States Patent and 
Trademark Office--$260.00
* * * * *
    9. Section 1.492 is amended by revising paragraphs (a), (b), and 
(d) to read as follows:


Sec. 1.492  National stage fees.

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

[[Page 39589]]

United States Patent and Trademark Office:
    By a small entity (Sec. 1.9(f))--$350.00
    By other than a small entity--$700.00
(2) Where no international preliminary examination fee as set forth in 
Sec. 1.482 has been paid to the United States Patent and Trademark 
Office, but an international search fee as set forth in 
Sec. 1.445(a)(2) has been paid on the international application to the 
United States Patent and Trademark Office as an International Searching 
Authority:
    By a small entity (Sec. 1.9(f))--$385.00
    But other than a small entity--$770.00
(3) Where no international preliminary examination fee as set forth in 
Sec. 1.482 has been paid and no international search fee as set forth 
in Sec. 1.445(a)(2) has been paid on the international application to 
the United States Patent and Trademark Office:
    By a small entity (Sec. 1.9(f))--$520.00
    But other than a small entity--$1,040.00
(4) Where an international preliminary examination fee as set forth in 
Sec. 1.482 has been paid to the United States Patent and Trademark 
Office and the international preliminary examination report states that 
the criteria of novelty, inventive step (non-obviousness), and 
industrial applicability, as defined in PCT Article 33 (1) to (4) have 
been satisfied for all the claims presented in the application entering 
the national stage (see Sec. 1.496(b)):
    By a small entity (Sec. 1.9(f))--$48.00
    But other than a small entity--$96.00
(5) Where a search report on the international application has been 
prepared by the European Patent Office or the Japanese Patent Office:
    By a small entity (Sec. 1.9(f))--$455.00
    But other than a small entity--$910.00
(b) In addition to the basic national fee, for filing or later 
presentation of each independent claim in excess of 3:
    By a small entity (Sec. 1.9(f))--$40.00
    But other than a small entity--$80.00
* * * * *
(d) In addition to the basic national fee, if the application contains, 
or is amended to contain, a multiple dependent claim(s), per 
application:
    By a small entity (Sec. 1.9(f))--$130.00
    By other than a small entity--$260.00
* * * * *
    Dated: July 24, 1996.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and 
Trademarks.
    Note: The following appendix will not appear in the Code of 
Federal Regulations.

Appendix A--Comparison of Existing and Revised Fee Amounts

----------------------------------------------------------------------------------------------------------------
                                                                                             Pre-Oct            
              37 CFR Sec.                                   Description                        1996    Oct  1996
----------------------------------------------------------------------------------------------------------------
1.16(a)................................  Basic Filing Fee.................................       $750       $770
1.16(a)................................  Basic Filing Fee (Small Entity)..................        375        385
1.16(b)................................  Independent Claims...............................         78         80
1.16(b)................................  Independent Claims (Small Entity)................         39         40
1.16(c)................................  Claims in Excess of 20...........................         22         --
1.16(c)................................  Claims in Excess of 20 (Small Entity)............         11         --
1.16(d)................................  Multiple Dependent Claims........................        250        260
1.16(d)................................  Multiple Dependent Claims (Small Entity).........        125        130
1.16(e)................................  Surcharge--Late Filing Fee.......................        130         --
1.16(e)................................  Surcharge--Late Filing Fee (Small Entity)........         65         --
1.16(f)................................  Design Filing Fee................................        310        320
1.16(f)................................  Design Filing Fee (Small Entity).................        155        160
1.16(g)................................  Plant Filing Fee.................................        510        530
1.16(g)................................  Plant Filing Fee (Small Entity)..................        255        265
1.16(h)................................  Reissue Filing Fee...............................        750        770
1.16(h)................................  Reissue Filing Fee (Small Entity)................        375        385
1.16(i)................................  Reissue Independent Claims.......................         78         80
1.16(i)................................  Reissue Independent Claims (Small Entity)........         39         40
1.16(j)................................  Reissue Claims In Excess of 20...................         22         --
1.16(j)................................  Reissue Claims in Excess of 20 (Small Entity)....         11         --
1.16(k)................................  Provisional Application Filing Fee...............        150         --
1.16(k)................................  Provisional Application Filing Fee (Small Entity)         75         --
1.16(l)................................  Surcharge--Incomplete Provisional App. Filed.....         50         --
1.16(l)................................  Surcharge--Incomplete Provisional App. Filed              25         --
                                          (Small Entity).                                                       
1.17(a)................................  Extension--First Month...........................        110         --
1.17(a)................................  Extension--First Month (Small Entity)............         55         --
1.17(b)................................  Extension--Second Month..........................        380        390
1.17(b)................................  Extension--Second Month (Small Entity)...........        190        195
1.17(c)................................  Extension--Third Month...........................        900        930
1.17(c)................................  Extension--Third Month (Small Entity)............        450        465
1.17(d)................................  Extension--Fourth Month..........................      1,400      1,470
1.17(d)................................  Extension--Fourth Month (Small Entity)...........        700        735
1.17(e)................................  Notice of Appeal.................................        290        300
1.17(e)................................  Notice of Appeal (Small Entity)..................        145        150
1.17(f)................................  Filing a Brief...................................        290        300
1.17(f)................................  Filing a Brief (Small Entity)....................        145        150
1.17(g)................................  Request for Oral Hearing.........................        250        260
1.17(g)................................  Request for Oral Hearing (Small Entity)..........        125        130
1.17(h)................................  Petition--Not All Inventors......................        130         --
1.17(h)................................  Petition--Correction of Inventorship.............        130         --
1.17(h)................................  Petition--Decision on Questions..................        130         --
1.17(h)................................  Petition--Suspend Rules..........................        130         --
1.17(h)................................  Petition--Expedited License......................        130         --
1.17(h)................................  Petition--Scope of License.......................        130         --

[[Page 39590]]

                                                                                                                
1.17(h)................................  Petition--Retroactive License....................        130         --
1.17(h)................................  Petition--Refusing Maintenance Fee...............        130         --
1.17(h)................................  Petition--Refusing Maintenance Fee--Expired              130         --
                                          Patent.                                                               
1.17(h)................................  Petition--Interference...........................        130         --
1.17(h)................................  Petition--Reconsider Interference................        130         --
1.17(h)................................  Petition--Late Filing of Interference............        130         --
1.20(b)................................  Petition--Correction of Inventorship.............        130         --
1.17(h)................................  Petition--Refusal to Publish SIR.................        130         --
1.17(i)................................  Petition--For Assignment.........................        130         --
1.17(i)................................  Petition--For Application........................        130         --
1.17(i)................................  Petition--Late Priority Papers...................        130         --
1.17(i)................................  Petition--Suspend Action.........................        130         --
1.17(i)................................  Petition--Divisional Reissues to Issue Separately        130         --
1.17(i)................................  Petition--For Interference Agreement.............        130         --
1.17(i)................................  Petition--Amendment After Issue..................        130         --
1.17(i)................................  Petition--Withdrawal After Issue.................        130         --
1.17(i)................................  Petition--Defer Issue............................        130         --
1.17(i)................................  Petition--Issue to Assignee......................        130         --
1.17(i)................................  Petition--Accord a Filing Date Under Sec.  1.53..        130         --
1.17(i)................................  Petition--Accord a Filing Date Under Sec.  1.62..        130         --
1.17(i)................................  Petition--Make Application Special...............        130         --
1.17(j)................................  Petition--Public Use Proceeding..................      1,430      1,470
1.17(k)................................  Non-English Specification........................        130         --
1.17(l)................................  Petition--Revive Abandoned Appl..................        110         --
1.17(l)................................  Petition--Revive Abandoned Appl. (Small Entity)..         55         --
1.17(m)................................  Petition--Revive Unintentionally Abandoned Appl..      1,250      1,290
1.17(m)................................  Petition--Revive Unintent Abandoned Appl. (Small         625        645
                                          Entity).                                                              
1.17(n)................................  SIR--Prior to Examiner's Action..................        870        900
1.17(o)................................  SIR--After Examiner's Action.....................      1,740      1,790
1.17(p)................................  Submission of an Information Disclosure Statement        220        230
                                          (Sec.  1.97).                                                         
1.17(q)................................  Petition--Correction of Inventorship (Prov. App.)         50         --
1.17(q)................................  Petition--Accord a filing date (Prov. App.)......         50         --
1.17(q)................................  Petition--Entry of submission after final                 50         --
                                          rejection (Prov. App.).                                               
1.17(r)................................  Filing a submission after final rejection                750        770
                                          (1.129(a)).                                                           
1.17(r)................................  Filing a submission after final rejection                375        385
                                          (1.129(a)) (Small Entity.                                             
1.17(s)................................  Per add'l invention to be examined (1.129(b))....        730        770
1.17(s)................................  Per add'l invention to be examined (1.129(b))            375        385
                                          (Small Entity).                                                       
1.18(a)................................  Issue Fee........................................      1,250      1,290
1.18(a)................................  Issue Fee (Small Entity).........................        625        645
1.18(b)................................  Design Issue Fee.................................        430        440
1.18(b)................................  Design Issue Fee (Small Entity)..................        215        220
1.18(c)................................  Plant Issue Fee..................................        630        650
1.18(c)................................  Plant Issue Fee (Small Entity)...................        315        325
1.19(a)(1)(i)..........................  Copy of Patent...................................          3         --
1.19(a)(1)(ii).........................  Patent Copy--Overnight delivery to PTO Box or              6         --
                                          overnight fax.                                                        
1.19(a)(1)(iii)........................  Patent Copy Ordered by Expedited Mail or Fax--            25         --
                                          Exp. service.                                                         
1.19(a)(2).............................  Plant Patent Copy................................         12         --
1.19(a)(3)(i)..........................  Copy of Utility Patent or SIR in Color...........         24         --
1.19(b)(1)(i)..........................  Certified Copy of Patent Application as Filed....         15         --
1.19(b)(1)(ii).........................  Certified Copy of Patent Application as Filed,            30         --
                                          Expedited.                                                            
1.19(b)(2).............................  Cert or Uncert Copy of Patent-Related File               150         --
                                          Wrapper/Contents.                                                     
1.19(b)(3).............................  Cert. or Uncert. Copies of Office Records, per            25         --
                                          Document.                                                             
1.19(b)(4).............................  For Assignment Records, Abstract of Title and             25         --
                                          Certification.                                                        
1.19(c)................................  Library Service..................................         50         --
1.19(d)................................  List of Patents in Subclass......................          3         --
1.19(e)................................  Uncertified Statement-Status of Maintenance Fee           10         --
                                          Payment.                                                              
1.19(f)................................  Copy of Non-U.S. Patent Document.................         25         --
1.19(g)................................  Comparing and Certifying Copies, Per Document,            25         --
                                          Per Copy.                                                             
1.19(h)................................  Duplicate or Corrected Filing Receipt............         25         --
1.20(a)................................  Certificate of Correction........................        100         --
1.20(c)................................  Reexamination....................................      2,390      2,460
1.20(d)................................  Statutory Disclaimer.............................        110         --
1.20(d)................................  Statutory Disclaimer (Small Entity)..............         55         --
1.20(e)................................  Maintenance Fee--3.5 Years.......................        990      1,020
1.20(e)................................  Maintenance Fee--3.5 Years (Small Entity)........        495        510
1.20(f)................................  Maintenance Fee--7.5 Years.......................      1,990      2,050
1.20(f)................................  Maintenance Fee--7.5 Years (Small Entity)........        995      1,025
1.20(g)................................  Maintenance Fee--11.5 Years......................      2,990      3,080
1.20(g)................................  Maintenance Fee--11.5 Years (Small (Entity)......      1,495      1,540
1.20(h)................................  Surcharge--Maintenance Fee--6 Months.............        130         --
1.20(h)................................  Surcharge--Maintenance Fee--6 Months (Small               65         --
                                          Entity).                                                              
1.20(i)(1).............................  Surcharge--Maintenance After Expiration--                660        680
                                          Unavoidable.                                                          
1.20(i)(2).............................  Surcharge--Maintenance After Expiration--              1,550      1,600
                                          Unintentional.                                                        

[[Page 39591]]

                                                                                                                
1.20(j)(1).............................  Extension of Term of Patent Under 1.740..........      1,060      1,090
1.20(j)(2).............................  Initial Application for Interim Extension Under          400        410
                                          1.790.                                                                
1.20(j)(3).............................  Subsequent Application for Interim Extension             200        210
                                          Under 1.790.                                                          
1.21(a)(1)(i)..........................  Application Fee (non-refundable).................         --         40
1.21(a)(1)(ii).........................  Registration examination fee.....................        310        300
1.21(a)(2).............................  Registration to Practice.........................        100         --
1.21(a)(3).............................  Reinstatement to Practice........................         15         40
1.21(a)(4).............................  Certificate of Good Standing.....................         10         --
1.21(a)(4).............................  Certificate of Good Standing, Suitable Framing...         20         --
1.21(a)(5).............................  Review of Decision of Director, OED..............        130         --
1.21(a)(6)(i)..........................  Regrading of P.M. section (Claim Drafting).......        130        225
1.21(a)(6)(ii).........................  Regarding of A.M. section (PTO Practice and              130        530
                                          Procedure).                                                           
1.21(b)(1).............................  Establish Deposit Account........................         10         --
1.21(b)(2).............................  Service Charge Below Minimum Balance.............         25         --
1.21(b)(3).............................  Service Charge Below Minimum Balance.............         25         --
1.21(c)................................  Filing a Disclosure Document.....................         10         --
1.21(d)................................  Box Rental.......................................         50         --
1.21(e)................................  International Type Search Report.................         40         --
1.21(g)................................  Self-Service Copy Charge.........................        .25         --
1.21(h)................................  Recording Patent Property........................         40         --
1.21(i)................................  Publication in the OG............................         25         --
1.21(j)................................  Labor Charges for Services.......................         30         --
1.21(k)................................  Unspecified Other Services.......................     Actual         --
                                                                                                 Cost           
1.21(k)................................  Terminal Use APS-CSIR (per hour).................         50         --
1.21(l)................................  Retaining abandoned application..................        130         --
1.21(m)................................  Processing Returned Checks.......................         50         --
1.21(n)................................  Handling Fee--Incomplete Application.............        130         --
1.21(o)................................  Terminal Use APS--TEXT...........................         40         --
1.24...................................  Coupons for Patent and Trademark Copies..........          3         --
1.296..................................  Handling Fee--Withdrawal SIR.....................        130         --
1.445(a)(1)............................  Transmittal Fee..................................        220        230
1.445(a)(2)(i).........................  PCT Search Fee--Prior U.S. Application...........        430        440
1.445(a)(2)(ii)........................  PCT Search Fee--No U.S. Application..............        660        680
1.445(a)(3)............................  Supplemental Search..............................        190        200
1.482(a)(1)(i).........................  Preliminary Exam Fee.............................        470        480
1.482(a)(1)(ii)........................  Preliminary Exam Fee.............................        710        730
1.482(a)(2)(i).........................  Additional Invention.............................        140         --
1.482(a)(2)(ii)........................  Additional Invention.............................        250        260
1.492(a)(1)............................  Preliminary Examining Authority..................        680        700
1.492(a)(1)............................  Preliminary Examining Authority (Small Entity)...        340        350
1.492(a)(2)............................  Searching Authority..............................        750        770
1.492(a)(2)............................  Searching Authority (Small Entity)...............        375        385
1.492(a)(3)............................  PTO Not ISA nor IPEA.............................      1,010      1,040
1.492(a)(3)............................  PTO Not ISA nor IPEA (Small Entity)..............        505        520
1.492(a)(4)............................  Claims--IPEA.....................................         94         96
1.492(a)(4)............................  Claims--IPEA (Small Entity)......................         47         48
1.492(a)(5)............................  Filing with EPO/JPO Search Report................        880        910
1.492(a)(5)............................  Filing with EPO/JPO Search Report (Small Entity).        440        455
1.492(b)...............................  Claims--Extra Individual (Over 3)................         78         80
1.492(b)...............................  Claims--Extra Individual (Over 3) (Small Entity).         39         40
1.492(c)...............................  Claims--Extra Total (Over 20)....................         22         --
1.492(c)...............................  Claims--Extra Total (Over 20) (Small Entity).....         11         --
1.492(d)...............................  Claims--Multiple Dependents......................        250        260
1.492(d)...............................  Claims--Multiple Dependents (Small Entity).......        125        130
1.492(e)...............................  Surchage.........................................        130         --
1.492(e)...............................  Surchage (Small Entity)..........................         65         --
1.492(f)...............................  English Translation--After 20 Months.............        130         --
2.6(a)(1)..............................  Application for Registration, Per Class..........        245         --
2.6(a)(2)..............................  Amendment to Allege Use, Per Class...............        100         --
2.6(a)(3)..............................  Statement of use, Per Class......................        100         --
2.6(a)(4)..............................  Extension for Filing Statement of Use, Per Class.        100         --
2.6(a)(5)..............................  Application for Renewal, Per Class...............        300         --
2.6(a)(6)..............................  Surcharge for Late Renewal, Per Class............        100         --
2.6(a)(7)..............................  Publication of Mark Under Sec.  12(c), Per Class.        100         --
2.6(a)(8)..............................  Issuing New Certificate of Registration..........        100         --
2.6(a)(9)..............................  Certificate of Correction of Registrant's Error..        100         --
2.6(a)(10).............................  Filing Disclaimer to Registration................        100         --
2.6(a)(11).............................  Filing Amendment to Registration.................        100         --
2.6(a)(12).............................  Filing Affidavit Under Section 8, Per Class......        100         --
2.6(a)(13).............................  Filing Affidavit Under Section 15, Per Class.....        100         --
2.6(a)(14).............................  Filing Affidavit Under Sections 8 & 15, Per Class        200         --
2.6(a)(15).............................  Petitions to the Commissioner....................        100         --

[[Page 39592]]

                                                                                                                
2.6(a)(16).............................  Petition to Cancel, Per Class....................        200         --
2.6(a)(17).............................  Notice of Opposition, Per Class..................        200         --
2.6(a)(18).............................  Ex Parte Appeal to the TTAB, Per Class...........        100         --
2.6(a)(19).............................  Dividing an Application, Per New Application             100         --
                                          Created.                                                              
2.6(b)(1)(i)...........................  Copy of Registered Mark..........................          3         --
2.6(b)(1)(ii)..........................  Copy of Registered Mark, overnight delivery to             6         --
                                          PTO box or fax.                                                       
2.6(b)(1)(iii).........................  Copy of Reg. Mark Ordered Via Exp. Mail or Fax,           25         --
                                          Exp. Svc..                                                            
2.6(b)(2)(i)...........................  Certified Copy of TM Application as Filed........         15         --
2.6(b)(2)(ii)..........................  Certified Copy of TM Application as Filed,                30         --
                                          Expedited.                                                            
2.6(b)(3)..............................  Cert. or Uncert. Copy of TM-Related File Wrapper/         50         --
                                          Contents.                                                             
2.6(b)(4)(i)...........................  Cert. Copy of Registered Mark, Title or Status...         10         --
2.6(b)(4)(ii)..........................  Cert. Copy of Registered Mark, Title or Status--          20         --
                                          Expedited.                                                            
2.6(b)(5)..............................  Certified or Uncertified Copy of TM Records......         25         --
2.6(b)(6)..............................  Recording Trademark Property, Per Mark, Per               40         --
                                          Document.                                                             
2.6(b)(6)..............................  For Second and Subsequent Marks in Same Document.         25         --
2.6(b)(7)..............................  For Assignment Records, Abstracts of Title and            25         --
                                          Cert..                                                                
2.6(b)(8)..............................  Terminal Use X-SEARCH............................         40         --
2.6(b)(9)..............................  Self-Service Copy Charge.........................       0.25         --
2.6(b)(10).............................  Labor Charges for Services.......................         30         --
2.6(b)(11).............................  Unspecified Other Services.......................     Actual        -- 
                                                                                                 Cost           
----------------------------------------------------------------------------------------------------------------
-- These fees are not affected by this rulemaking.                                                              


[FR Doc. 96-19309 Filed 7-29-96; 8:45 am]
BILLING CODE 3510-16-M