[Federal Register Volume 62, Number 145 (Tuesday, July 29, 1997)]
[Rules and Regulations]
[Pages 40450-40457]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-19901]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Parts 1 and 2
[Docket No. 970410086-7174-02]
RIN 0651-AA92
Revision of Patent and Trademark Fees for Fiscal Year 1998
AGENCY: Patent and Trademark Office, Commerce.
ACTION: Final rule.
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SUMMARY: The Patent and Trademark Office (PTO) is amending the rules of
practice in patent and trademark cases to adjust certain patent fee and
trademark service fee amounts to reflect fluctuations in the Consumer
Price Index (CPI) and to recover costs of operation.
EFFECTIVE DATE: October 1, 1997.
FOR FURTHER INFORMATION CONTACT: Matthew Lee by telephone at (703) 305-
8051, fax at (703) 305-8007, or by mail marked to his attention and
addressed to the Commissioner of Patents and Trademarks, Office of
Finance, Crystal Park 1, Suite 802, Washington, DC 20231.
SUPPLEMENTARY INFORMATION: This rule change is designed to adjust PTO
fees in accordance with the applicable provisions of title 35, United
States Code; section 31 of the Trademark (Lanham) Act of 1946 (15
U.S.C. 1113); and section 10101 of the Omnibus Budget Reconciliation
Act of 1990 (as amended by section 8001 of Public Law 103-66), all as
amended by the Patent and Trademark Office Authorization Act of 1991
(Pub. L. 102-204).
When the ``Revision of Patent and Trademark Fees for Fiscal Year
1998'' was published as a proposed rule, the PTO assumed that the fee
revisions would not become effective until after the ``1996 Changes to
Patent Practice and Procedure'' (hereinafter ``Miscellaneous
Changes''). See 61 FR 49819 (Sept. 23, 1996) (proposed Miscellaneous
Changes rule). The changes proposed in the fee revision notice of
proposed rulemaking have been modified to take into account that the
fee revision rule will become effective before the Miscellaneous
Changes rulemaking.
Background
Statutory Provisions
Patent fees are authorized by 35 U.S.C. 41 and 35 U.S.C. 376. A
fifty percent reduction in the fees paid under 35 U.S.C. 41 (a) and (b)
by independent inventors, small business concerns, and nonprofit
organizations who meet prescribed definitions is required by 35 U.S.C.
41(h).
Subsection 41(f) of title 35, United States Code, provides that
fees established under 35 U.S.C. 41 (a) and (b) may be adjusted on
October 1, 1992, and every year thereafter, to reflect fluctuations in
the Consumer Price Index (CPI) over the previous twelve months.
Section 10101 of the Omnibus Budget Reconciliation Act of 1990
(amended by section 8001 of Public Law 103-66) provides that there
shall be a surcharge on all fees established under 35 U.S.C. 41(a) and
(b) to collect $119 million in fiscal year 1998.
Subsection 41(d) of title 35, United States Code, authorizes the
Commissioner to establish fees for all other processing, services, or
materials related to patents to recover the average cost of providing
these services or materials, except for the fees for recording a
document affecting title, for each photocopy, and for each black and
white copy of a patent.
Section 376 of title 35, United States Code, authorizes the
Commissioner to set fees for patent applications filed under the Patent
Cooperation Treaty (PCT).
Subsection 41(g) of title 35, United States Code, provides that new
fee amounts established by the Commissioner under section 41 may take
effect thirty days after notice in the Federal Register and the
Official Gazette of the Patent and Trademark Office.
Section 31 of the Trademark (Lanham) Act of 1946, as amended (15
U.S.C. 1113), authorizes the Commissioner to establish fees for the
filing and processing of an application for the registration of a
trademark or other mark, and for all other services and materials
relating to trademarks and other marks.
Section 31(a) of the Trademark (Lanham) Act of 1946 (15 U.S.C.
1113(a)), as amended, allows trademark fees to be adjusted once each
year to reflect, in the aggregate, any fluctuations during the
preceding twelve months in the CPI.
Section 31 also allows new trademark fee amounts to take effect
thirty days after notice in the Federal Register and the Official
Gazette of the Patent and Trademark Office.
Recovery Level Determinations
This rule adjusts patent fee and trademark service fee amounts for
a planned recovery of $763,391,000 in fiscal year 1998, as proposed in
the Administration's budget request to the Congress.
The patent statutory fees established by 35 U.S.C. 41 (a) and (b)
will be adjusted on October 1, 1997, to reflect any fluctuations
occurring during the previous twelve months in the Consumer Price Index
for all urban consumers (CPI-U). In calculating these
[[Page 40451]]
fluctuations, the Office of Management and Budget (OMB) has determined
that the PTO should use CPI-U data as determined by the Secretary of
Labor. However, the Department of Labor does not make public the CPI-U
until approximately twenty-one days after the end of the month being
calculated. Therefore, the latest CPI-U information available is for
the month of June 1997. In accordance with previous rulemaking
methodology, the PTO uses the Administration's projected CPI-U for the
twelve-month period ending September 30, 1997, which is 2.6 percent.
Based on this projection, patent statutory fees will be adjusted by 2.6
percent. Before the final fee schedule is published, the fees may be
adjusted slightly based on updated data available from the Department
of Labor.
Certain non-statutory patent processing fees established under 35
U.S.C. 41(d) and PCT processing fees established under 35 U.S.C. 376
will be adjusted to recover their estimated average costs in fiscal
year 1998.
Three patent service fees that are set by statute will not be
adjusted. The three fees that are not being adjusted are assignment
recording fees, printed patent copy fees and photocopy charge fees.
Certain trademark service fees established under 15 U.S.C. 1113
will be adjusted to recover their estimated average costs in fiscal
year 1998.
The fee amounts were rounded by applying standard arithmetic rules
so that the amounts rounded would be convenient to the user. Fees of
$100 or more were rounded to the nearest $10. Fees between $2 and $99
were rounded to an even number so that any comparable small entity fee
would be a whole number.
Workload Projections
Determination of workload varies by fee. Principal workload
projection techniques are as follows:
Patent application workloads are projected from statistical
regression models using recent application filing trends. Patent issues
are projected from an in-house patent production model and reflect
examiner production achievements and goals. Patent maintenance fee
workloads utilize patents issued 3.5, 7.5 and 11.5 years prior to
payment and assume payment rates of 78 percent, 54 percent and 32
percent, respectively. Service fee workloads follow linear trends from
prior years' activities.
General Procedures
Any fee amount that is paid on or after the effective date of the
proposed fee increase would be subject to the new fees then in effect.
For purposes of determining the amount of the fee to be paid, the date
of mailing indicated on a proper Certificate of Mailing or
Transmission, where authorized under 37 CFR 1.8, will be considered to
be the date of receipt in the PTO. A Certificate of Mailing or
Transmission under Sec. 1.8 is not proper for items which are
specifically excluded from the provisions of Sec. 1.8. Section 1.8
should be consulted for those items for which a Certificate of Mailing
or Transmission is not proper. Such items include, inter alia, the
filing of national and international applications for patents and the
filing of trademark applications. However, the provisions of 37 CFR
1.10 relating to filing papers and fees using the ``Express Mail''
service of the United States Postal Service (USPS) do apply to any
paper or fee (including patent and trademark applications) to be filed
in the PTO. If an application or fee is filed by ``Express Mail'' with
a date of deposit with the USPS (shown by the ``date in'' on the
``Express Mail'' mailing label) which is dated on or after the
effective date of the rules, as amended, the amount of the fee to be
paid would be the fee established by the amended rules.
In order to ensure clarity in the implementation of the new fees, a
discussion of specific sections is set forth below.
Discussion of Specific Rules
37 CFR 1.16 National Application Filing Fees
Section 1.16, paragraphs (a), (b), (d), and (f) through (i), is
revised to adjust fees established therein to reflect fluctuations in
the CPI.
37 CFR 1.17 Patent Application Processing 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 1.19 Document Supply Fees
Section 1.19, paragraphs (a)(2) and (a)(3), is revised to adjust
fees established therein to recover costs.
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, paragraphs (a)(1)(ii), (a)(6) and (j), 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 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.
37 CFR 2.6 Trademark Fees
Section 2.6, paragraphs (b)(4) and (b)(10), is revised to adjust
fees established therein to recover costs.
Response to Comments on the Rules
A notice of proposed rulemaking to adjust patent fee and trademark
service fee amounts was published in the Federal Register on May 7,
1997, at 62 FR 24865 and in the Official Gazette of the United States
Patent and Trademark Office on May 27, 1997, at 1198 OG 97.
Comment: A respondent stated that many of the elements comprising
the U.S. Department of Labor's Consumer Price Index (CPI) have no
effect on PTO's costs of operation. The respondent also stated that fee
increases should reflect only that portion of the CPI affecting PTO's
costs of operation.
Response: The PTO is required by law to base its inflationary fee
increases on fluctuations in the CPI over the twelve months prior to
the effective date of the fee increase. While it is true that some of
the elements that constitute the CPI have no effect on the cost of
operations of the PTO, the CPI itself has considerable impact on the
PTO. Salary increases for Federal employees have increased at rates
that closely match the CPI, and employee compensation alone accounts
for over 55 percent of PTO's annual costs. The PTO, just like any
[[Page 40452]]
other public or private organization, must procure supplies, pay rent
and utilities, and incur numerous other expenses in the course of
operations. Unfortunately, these costs rarely decline with each passing
year.
Comment: A respondent stated that the PTO should adjust fees that
are less than $100 in increments of at least $5 to avoid having amounts
which make the calculation of fees inconvenient to the users.
Response: In the Recovery Level Determinations section of this rule
package, it states that ``Fees between $2 and $99 were rounded to an
even number so that any comparable small entity fee would be a whole
number.'' This rounding methodology enables the PTO to set large and
small entity fee amounts which are convenient overall to the users.
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 would 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 fifty percent reduction in the major patent fees.
A comparison of existing and new fee amounts is included as an
Appendix to this final rule.
Lists of Subjects
37 CFR Part 1
Administrative practice and procedure, Inventions and patents,
Reporting and record keeping requirements, Small businesses.
37 CFR Part 2
Administrative practice and procedure, Courts, Lawyers, Trademarks
For the reasons set forth in the preamble, the PTO is amending
title 37 of the Code of Federal Regulations, Parts 1 and 2, as set
forth below.
PART 1--RULES OF PRACTICE IN PATENT CASES
1. The authority citation for 37 CFR part 1 would continue to read
as follows:
Authority: 35 U.S.C. 6, unless otherwise noted.
2. Section 1.16 is amended by revising paragraphs (a), (b), (d),
and (f) through (i) to read as follows:
Sec. 1.16 National application filing fees.
(a) Basic fee for filing each application for an original
patent, except provisional, design or plant applications:
By a small entity (Sec. 1.9(f)).................................$395.00
By other than a small entity....................................$790.00
(b) In addition to the basic filing fee in an original
application, except provisional applications, for filing or later
presentation of each independent claim in excess of 3:
By a small entity (Sec. 1.9(f))..................................$41.00
By other than a small entity.....................................$82.00
* * * * *
(d) In addition to the basic filing fee in an original
application, except provisional applications, if the application
contains, or is amended to contain, a multiple dependent claim(s),
per application:
By a small entity (Sec. 1.9(f)).................................$135.00
By other than a small entity....................................$270.00
* * * * *
(f) Basic fee for filing each design application:
By a small entity (Sec. 1.9(f)).................................$165.00
By other than a small entity....................................$330.00
(g) Basic fee for filing each plant application, except
provisional applications:
By a small entity (Sec. 1.9(f)).................................$270.00
By other than a small entity....................................$540.00
(h) Basic fee for filing each reissue application:
By a small entity (Sec. 1.9(f)).................................$395.00
By other than a small entity....................................$790.00
(i) In addition to the basic filing fee in a reissue
application, for filing or later presentation of each independent
claim which is in excess of the number of independent claims in the
original patent:
By a small entity (Sec. 1.9(f))..................................$41.00
By other than a small entity.....................................$82.00
* * * * *
3. Section 1.17 is 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)).................................$200.00
By other than a small entity....................................$400.00
(c) Extension fee for response within third month pursuant to
Sec. 1.136(a):
By a small entity (Sec. 1.9(f)).................................$475.00
By other than a small entity....................................$950.00
(d) Extension fee for response within fourth month pursuant to
Sec. 1.136(a):
By a small entity (Sec. 1.9(f)).................................$755.00
By other than a small entity..................................$1,510.00
(e) For filing a notice of appeal from the examiner to the Board
of Patent Appeals and Interferences:
By a small entity (Sec. 1.9(f)).................................$155.00
By other than a small entity....................................$310.00
(f) In addition to the fee for filing a notice of appeal, for
filing a brief in support of an appeal:
By a small entity (Sec. 1.9 (f))................................$155.00
By other than a small entity....................................$310.00
(g) For filing a request for an oral hearing before the Board of
Patent Appeals and Interferences in an appeal under 35 U.S.C. 134:
By a small entity (Sec. 1.9(f)).................................$135.00
By other than a small entity....................................$270.00
* * * * *
(j) For filing a petition to institute a public use proceeding
under
Sec. 1.292....................................................$1,510.00
* * * * *
(m) or filing a petition:
(1) For revival of an unintentionally abandoned application, or
(2) For the unintentionally delayed payment of the fee for issuing a
patent:
By a small entity (Sec. 1.9(f)).................................$660.00
By other than a small entity..................................$1,320.00
(n) For requesting publication of a statutory invention
registration prior to the mailing of the first examiner's action
pursuant to Sec. 1.104--$920.00 reduced by the amount of the
application basic filing fee paid.
(o) For requesting publication of a statutory invention
registration after the mailing of the first examiner's action
pursuant to Sec. 1.104--$1,840.00 reduced by the amount of the
application basic filing fee paid.
(p) For submission of an information disclosure statement under
Sec. 1.97(c)....................................................$240.00
* * * * *
(r) For entry of a submission after final rejection under
Sec. 1.129(a):
By a small entity (Sec. 1.9(f)).................................$395.00
By other than a small entity....................................$790.00
(s) For each additional invention requested to be examined under
Sec. 1.129(b):
By a small entity (Sec. 1.9(f)).................................$395.00
By other than a small entity....................................$790.00
4. Section 1.18 is revised to read as follows:
Sec. 1.18 Patent issue fees.
(a) Issue fee for issuing each original or reissue patent,
except a design or plant patent:
By a small entity (Sec. 1.9(f)).................................$660.00
By other than a small entity..................................$1,320.00
(b) Issue fee for issuing a design patent:
By a small entity (Sec. 1.9(f)).................................$225.00
By other than a small entity....................................$450.00
(c) Issue fee for issuing a plant patent:
By a small entity (Sec. 1.9(f)).................................$335.00
By other than a small entity....................................$670.00
5. Section 1.19 is amended by revising paragraphs (a)(2) and (a)(3)
to read as follows:
Sec. 1.19 Document supply fees.
(a) * * *
(2) Printed copy of a plant patent in
[[Page 40453]]
color............................................................$15.00
(3) Copy of a utility patent or statutory invention registration
containing color drawing (see Sec. 1.84(a)(2))...................$25.00
* * * * *
6. Section 1.20 is amended by revising paragraphs (c), (e) through
(g), (i)(1), (i)(2), and (j)(1) through (j)(3) to read as follows:
Sec. 1.20 Post issuance fees.
* * * * *
(c) For filing a request for reexamination (Sec. 1.510(a))....$2,520.00
* * * * *
(e) For maintaining an original or reissue patent, except a
design or plant patent, based on an application filed on or after
December 12, 1980, in force beyond four years; the fee is due by
three years and six months after the original grant:
By a small entity (Sec. 1.9(f)).................................$525.00
By other than a small entity..................................$1,050.00
(f) For maintaining an original or reissue patent, except a
design or plant patent, based on an application filed on or after
December 12, 1980, in force beyond eight years; the fee is due by
seven years and six months after the original grant:
By a small entity (Sec. 1.9(f))...............................$1,050.00
By other than a small entity..................................$2,100.00
(g) For maintaining an original or reissue patent, except a
design or plant patent, based on an application filed on or after
December 12, 1980, in force beyond twelve years; the fee is due by
eleven years and six months after the original grant:
By a small entity (Sec. 1.9(f))...............................$1,580.00
By other than a small entity..................................$3,160.00
* * * * *
(i) * * *
(1) Unavoidable.................................................$700.00
(2) Unintentional.............................................$1,640.00
(j) * * *
(1) Application for extension under Sec. 1.740................$1,120.00
(2) Initial application for interim extension under Sec. 1.790.
$420.00
(3) Subsequent application for interim extension under Sec. 1.790
$220.00
7. Section 1.21 is amended by revising paragraphs (a)(1)(ii),
(a)(6) and (j) to read as follows:
Sec. 1.21 Miscellaneous fees and charges.
(a) * * *
(1) * * *
(ii) Registration examination fee...............................$310.00
* * * * *
(6) For requesting regrading of an examination under
Sec. 10.7(c):
(i) Regrading of morning section (PTO Practice and Procedure)...$230.00
(ii) Regrading of afternoon section (Claim Drafting)............$540.00
* * * * *
(j) Labor charges for services, per hour or fraction thereof.....$40.00
* * * * *
8. Section 1.445 is amended by revising paragraph (a) to read as
follows:
Sec. 1.445 International application filing, processing and search
fees.
(a) The following fees and charges for international applications
are established by the Commissioner under the authority of 35 U.S.C.
376:
(1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14)....$240.00
(2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):
(i) Where a corresponding prior United States National
application filed under 35 U.S.C. 111(a) with the filing fee
under 37 CFR 1.16(a) has been filed.............................$450.00
(ii) For all situations not provided for in (a)(2)(i) of this
section.........................................................$700.00
(3) A supplemental search fee when required, per additional
invention.......................................................$210.00
* * * * *
9. Section 1.482 is amended by revising paragraphs (a)(1)(i),
(a)(1)(ii), and (a)(2)(ii) to read as follows:
Sec. 1.482 International preliminary examination fees.
(a) * * *
(1) * * *
(i) Where an international search fee as set forth in
Sec. 1.445(a)(2) has been paid on the international application
to the United States Patent and Trademark Office as an
International Searching Authority, a preliminary examination fee
of..............................................................$490.00
(ii) Where the International Searching Authority for the
international application was an authority other than the United
States Patent and Trademark Office, a preliminary examination fee
of..............................................................$750.00
(2) * * *
(ii) Where the International Searching Authority for the
international application was an authority other than the United
States Patent and Trademark Office..............................$270.00
* * * * *
10. Section 1.492 is amended by revising paragraphs (a), (b) and
(d) to read as follows:
Sec. 1.492 National stage fees.
* * * * *
(a) The basic national fee:
(1) Where an international preliminary examination fee as set
forth in Sec. 1.482 has been paid on the international application
to the United States Patent and Trademark Office:
By a small entity (Sec. 1.9(f)).................................$360.00
By other than a small entity....................................$720.00
(2) Where no international preliminary examination fee as set
forth in Sec. 1.482 has been paid to the United States Patent and
Trademark Office, but an international search fee as set forth in
Sec. 1.445(a)(2) has been paid on the international application to
the United States Patent and Trademark Office as an International
Searching Authority:
By a small entity (Sec. 1.9(f)).................................$395.00
By other than a small entity....................................$790.00
(3) Where no international preliminary examination fee as set
forth in Sec. 1.482 has been paid and no international search fee as
set forth in Sec. 1.445(a)(2) has been paid on the international
application to the United States Patent and Trademark Office:
By a small entity (Sec. 1.9(f)).................................$535.00
By other than a small entity..................................$1,070.00
(4) Where an international preliminary examination fee as set
forth in Sec. 1.482 has been paid to the United States Patent and
Trademark Office and the international preliminary examination
report states that the criteria of novelty, inventive step (non-
obviousness), and industrial applicability, as defined in PCT
Article 33 (1) to (4) have been satisfied for all the claims
presented in the application entering the national stage (see
Sec. 1.496(b)):
By a small entity (Sec. 1.9(f))..................................$49.00
By other than a small entity.....................................$98.00
(5) Where a search report on the international application has
been prepared by the European Patent Office or the Japanese Patent
Office:
By a small entity (Sec. 1.9(f)).................................$465.00
By other than a small entity....................................$930.00
(b) In addition to the basic national fee, for filing or later
presentation of each independent claim in excess of 3:
By a small entity (Sec. 1.9(f))..................................$41.00
By other than a small entity.....................................$82.00
* * * * *
(d) In addition to the basic national fee, if the application
contains, or is amended to contain, a multiple dependent claim(s),
per application:
By a small entity (Sec. 1.9(f)).................................$135.00
By other than a small entity....................................$270.00
* * * * *
PART 2--RULES OF PRACTICE IN TRADEMARK CASES
1. The authority citation for 37 CFR Part 2 would continue to read
as follows:
Authority: 15 U.S.C. 1123; 35 U.S.C. 6, unless otherwise noted.
2. Section 2.6 is amended by revising paragraphs (b)(4) and (b)(10)
to read as follows:
Sec. 2.6 Trademark fees.
* * * * *
(b) Trademark service fees.
* * * * *
(4) Certified copy of a registered mark, showing title and/or
status:
(i) Regular service..............................................$15.00
(ii) Expedited local service.....................................$30.00
* * * * *
(10) Labor charges for services, per hour or fraction thereof....$40.00
* * * * *
Dated: July 22, 1997.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and
Trademarks.
Note--The following appendix is provided as a courtesy to the
public, but is not a
[[Page 40454]]
substitute for the rules. It will not appear in the Code of Federal
Regulations.
Appendix A--Comparison of Existing and Revised Fee Amounts
----------------------------------------------------------------------------------------------------------------
Pre-Oct
37 CFR Sec. Description 1997 Oct 1997
----------------------------------------------------------------------------------------------------------------
1.16(a).............................. Basic Filing Fee............................... $770 $790
1.16(a).............................. Basic Filing Fee (Small Entity)................ 385 395
1.16(b).............................. Independent Claims............................. 80 82
1.16(b).............................. Independent Claims (Small Entity).............. 40 41
1.16(c).............................. Claims in Excess of 20......................... 22 --
1.16(c).............................. Claims in Excess of 20 (Small Entity).......... 11 --
1.16(d).............................. Multiple Dependent Claims...................... 260 270
1.16(d).............................. Multiple Dependent Claims (Small Entity)....... 130 135
1.16(e).............................. Surcharge--Late Filing Fee..................... 130 --
1.16(e).............................. Surcharge--Late Filing Fee (Small Entity)...... 65 --
1.16(f).............................. Design Filing Fee.............................. 320 330
1.16(f).............................. Design Filing Fee (Small Entity)............... 160 165
1.16(g).............................. Plant Filing Fee............................... 530 540
1.16(g).............................. Plant Filing Fee (Small Entity)................ 265 270
1.16(h).............................. Reissue Filing Fee............................. 770 790
1.16(h).............................. Reissue Filing Fee (Small Entity).............. 385 395
1.16(i).............................. Reissue Independent Claims..................... 80 82
1.16(i).............................. Reissue Independent Claims (Small Entity)...... 40 41
1.16(j).............................. Reissue Claims in Excess of 20................. 22 --
1.16(j).............................. Reissue Claims in Excess of 20 (Small Entity).. 11 --
1.16(k).............................. Provisional Application Filing Fee............. 150 --
1.16(k).............................. Provisional Application Filing Fee (Small 75 --
Entity).
1.16(l).............................. Surcharge--Incomplete Provisional App. Filed... 50 --
1.16(l).............................. Surcharge--Incomplete Provisional App. Filed 25 --
(Small Entity).
1.17(a).............................. Extension--First Month......................... 110 --
1.17(a).............................. Extension--First Month (Small Entity).......... 55 --
1.17(b).............................. Extension--Second Month........................ 390 400
1.17(b).............................. Extension--Second Month (Small Entity)......... 195 200
1.17(c).............................. Extension--Third Month......................... 930 950
1.17(c).............................. Extension--Third Month (Small Entity).......... 465 475
1.17(d).............................. Extension--Fourth Month........................ 1,470 1,510
1.17(d).............................. Extension--Fourth Month (Small Entity)......... 735 755
1.17(e).............................. Notice of Appeal............................... 300 310
1.17(e).............................. Notice of Appeal (Small Entity)................ 150 155
1.17(f).............................. Filing a Brief................................. 300 310
1.17(f).............................. Filing a Brief (Small Entity).................. 150 155
1.17(g).............................. Request for Oral Hearing....................... 260 270
1.17(g).............................. Request for Oral Hearing (Small Entity)........ 130 135
1.17(h).............................. Petition--Not All Inventors.................... 130 --
1.17(h).............................. Petition--Correction of Inventorship........... 130 --
1.17(h).............................. Petition--Decision on Questions................ 130 --
1.17(h).............................. Petition--Suspend Rules........................ 130 --
1.17(h).............................. Petition--Expedited License.................... 130 --
1.17(h).............................. Petition--Scope of License..................... 130 --
1.17(h).............................. Petition--Retroactive License.................. 130 --
1.17(h).............................. Petition--Refusing Maintenance Fee............. 130 --
1.17(h).............................. Petition--Refusing Maintenance Fee--Expired.... 130 --
Patent.......................................
1.17(h).............................. Petition--Interference......................... 130 --
1.17(h).............................. Petition--Reconsider Interference.............. 130 --
1.17(h).............................. Petition--Late Filing of Interference.......... 130 --
1.20(b).............................. Petition--Correction of Inventorship........... 130 --
1.17(h).............................. Petition--Refusal to Publish SIR............... 130 --
1.17(i).............................. Petition--For Assignment....................... 130 --
1.17(i).............................. Petition--For Application...................... 130 --
1.17(i).............................. Petition--Late Priority Papers................. 130 --
1.17(i).............................. Petition--Suspend Action....................... 130 --
1.17(i).............................. Petition--Divisional Reissues to Issue 130 --
Separately.
1.17(i).............................. Petition--For Interference Agreement........... 130 --
1.17(i).............................. Petition--Amendment After Issue................ 130 --
1.17(i).............................. Petition--Withdrawal After Issue............... 130 --
1.17(i).............................. Petition--Defer Issue.......................... 130 --
1.17(i).............................. Petition--Issue to Assignee.................... 130 --
1.17(i).............................. Petition--Accord a Filing Date Under Sec. 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................ 1,470 1,510
1.17(k).............................. Non-English Specification...................... 130 --
[[Page 40455]]
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 1,290 1,320
Appl..
1.17(m).............................. Petition--Revive Unintent Abandoned Appl. 645 660
(Small entity).
1.17(n).............................. SIR--Prior to Examiner's Action................ 900 920
1.17(o).............................. SIR--After Examiner's Action................... 1,790 1,840
1.17(p).............................. Submission of an Information Disclosure 230 240
Statement (Sec. 1.l97).
1.17(q).............................. Petition--Correction of Inventorship (Prov. 50 --
App.).
1.17(q).............................. Petition--Accord a filing date (Prov. App.).... 50 --
1.17(q).............................. Petition--Entry of submission after final 50 --
rejection (Prov. App.).
1.17(r).............................. Filing a submission after final rejection 770 790
(1.129(a)).
1.17(r).............................. Filing a submission after final rejection 385 395
(1.129(a)) (Small Entity).
1.17(s).............................. Per add'l invention to be examined (1.129(b)).. 770 790
1.17(s).............................. Per add'l invention to be examined (1.129(b)) 385 395
(Small Entity).
1.18(a).............................. Issue Fee...................................... 1,290 1,320
1.18(a).............................. Issue Fee (Small Entity)....................... 645 660
1.18(b).............................. Design Issue Fee............................... 440 450
1.18(b).............................. Design Issue Fee (Small Entity)................ 220 225
1.18(c).............................. Plant Issue Fee................................ 650 670
1.18(c).............................. Plant Issue Fee (Small Entity)................. 325 335
1.19(a)(1)(i)........................ Copy of Patent................................. 3 --
1.19(a)(1)(ii)....................... Patent Copy--Overnight delivery to PTO Box 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 15
1.19(a)(3)(i)........................ Copy of Utility Patent or SIR in Color......... 24 25
1.19(b)(1)(i)........................ Certified Copy of Patent Application as 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.................................. 2,460 2,520
1.20(d).............................. Statutory Disclaimer........................... 110 --
1.20(d).............................. Statutory Disclaimer (Small Entity)............ 55 --
1.20(e).............................. Maintenance Fee--3.5 Years..................... 1,020 1,050
1.20(e).............................. Maintenance Fee--3.5 Years (Small Entity)...... 510 525
1.20(f).............................. Maintenance Fee--7.5 Years..................... 2,050 2,100
1.20(f).............................. Maintenance Fee--7.5 Years (Small Entity)...... 1,025 1,050
1.20(g).............................. Maintenance Fee--11.5 Years.................... 3,080 3,160
1.20(g).............................. Maintenance Fee--11.5 Years (Small Entity)..... 1,540 1,580
1.20(h).............................. Surcharge--Maintenance Fee--6 Months........... 130 --
1.20(h).............................. Surcharge--Maintenance Fee--6 Months (Small 65 --
Entity).
1.20(i)(1)........................... Surcharge--Maintenance After Expiration-- 680 700
Unavoidable.
1.20(i)(2)........................... Surcharge--Maintenance After Expiration-- 1,600 1,640
Unintentional.
1.20(i)(1)........................... Extension of Term of Patent Under 1.740........ 1,090 1,120
1.20(j)(2)........................... Initial Application for Interim Extension Under 410 420
1.790.
1.20(j)(3)........................... Subsequent Application for Interim Extension 210 220
Under 1.790.
1.21(a)(1)(i)........................ Application Fee (non-refundable)............... 40 --
1.21(a)(1)(ii)....................... Registration examination fee................... 300 310
1.21(a)(2)........................... Registration to Practice....................... 100 --
1.21(a)(3)........................... Reinstatement to Practice...................... 40 --
1.21(a)(4)........................... Certificate of Good Standing................... 10 --
1.21(a)(4)........................... Certificate of Good Standing, Suitable Framing. 20 --
1.21(a)(5)........................... Review of Decision of Director, OED............ 130 --
1.21(a)(6)(i)........................ Regrading of A.M. section (PTO Practice and 225 230
Procedure).
1.21(a)(6)(ii)....................... Regrading of P.M. section (Claim Drafting)..... 530 540
1.21(b)(1)........................... Establish Deposit Account...................... 10 --
1.21(b)(2)........................... Service Charge Below Minimum Balance........... 25 --
1.21(b)(3)........................... Service Charge Below Minimum Balance........... 25 --
1.21(c).............................. Filing a Disclosure Document................... 10 --
1.21(d).............................. Box Rental..................................... 50 --
1.21(e).............................. International Type Search Report............... 40 --
1.21(g).............................. Self-Service Copy 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 40
1.21(k).............................. Unspecified Other Services..................... (\1\) --
[[Page 40456]]
1.21(k).............................. Terminal Use APS-CSIR (per hour)............... 50 --
1.21(l).............................. Retaining abandoned application................ 130 --
1.21((m)............................. Processing Returned Checks..................... 50 --
1.21(n).............................. Handling Fee--Incomplete Application........... 130 --
1.21(o).............................. Terminal Use APS-TEXT.......................... 40 --
1.24................................. Coupons for Patent and Trademark Copies........ 3 --
1.296................................ Handling Fee--Withdrawal SIR................... 130 --
1.445(a)(1).......................... Transmittal Fee................................ 230 240
1.445(a)(2)(i)....................... PCT Search Fee--Prior U.S. Application......... 440 450
1.445((a)(2)(ii)..................... PCT Search Fee--No U.S. Application............ 680 700
1.445(a)(3).......................... Supplemental Search............................ 200 210
1.482(a)(1)(i)....................... Preliminary Exam Fee........................... 480 490
1.482(a)(1)(ii)...................... Preliminary Exam Fee........................... 730 750
1.482(a)(2)(i)....................... Additional Invention........................... 140 --
1.482(a)(2)(ii....................... Additional Invention........................... 260 270
1.492(a)(1).......................... Preliminary Examining Authority................ 700 720
1.492(a)(1).......................... Preliminary Examining Authority (Small Entity). 350 360
1.492((a)(2)......................... Searching Authority............................ 770 790
1.492((a)(2)......................... Searching Authority (Small Entity)............. 385 395
1.492(a)(3).......................... PTO Not ISA nor IPEA........................... 1,040 1,070
1.492(a)(3).......................... PTO Not ISA nor IPEA (Small Entity)............ 520 535
1.492(a)(4).......................... Claims--IPEA................................... 96 98
1.492(a)(4).......................... Claims--IPEA (Small Entity).................... 48 49
1.492(a)(5).......................... Filing with EPO/JPO Search Report.............. 910 930
1.492((a)(5)......................... Filing with EPO/JPO Search Report (Small 455 465
Entity).
1.492(b)............................. Claims--Extra Individual (Over 3).............. 80 82
1.492(b)............................. Claims--Extra Individual (Over 3) (Small 40 41
Entity).
1.492(c)............................. Claims--Extra Total (Over 20).................. 22 --
1.492(c)............................. Claims--Extra Total (over 20) (Small Entity)... 11 --
1.492(d)............................. Claims--Multiple Dependents.................... 260 270
1.492((d)............................ Claims--Multiple Dependents (Small Entity)..... 130 135
1.492((e)............................ Surcharge...................................... 130 --
1.492(e)............................. Surcharge (Small Entity)....................... 65 --
1.492(f)............................. English Translation--After 20 Months........... 130 --
2.6(a)(1)............................ Application for Registration, Per Class........ 245 --
2.6(a)(2)............................ Amendment to Allege Use, Per Class............. 100 --
2.6(a)(3)............................ Statement of Use, Per Class.................... 100 --
2.6(a)(4)............................ Extension for Filing Statement of Use, Per 100 --
Class.
2.6(a)(5)............................ Application for Renewal, Per Class............. 300 --
2.6(a)(6)............................ Surcharge for Late Renewal, Per Class.......... 100 --
2.6(a)(7)............................ Publication of Mark Under Sec. 12(c), Per 100 --
Class.
2.6(a)(8)............................ Issuing New Certificate of Registration........ 100 --
2.6(a)(9)............................ Certificate of Correction of Registrant's 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 200 --
Class.
2.6(a)(15)........................... Petitions to the Commissioner.................. 100 --
2.6(a)(16)........................... Petition to Cancel, Per Class.................. 200 --
2.6(a)(17)........................... Notice of Opposition, Per Class................ 200 --
2.6(a)(18)........................... Ex Parte Appeal to the TTAB, Per Class......... 100 --
2.6(a)(19)........................... Dividing an Application, Per New Application 100 --
Created.
2.6(b)(1)(i)......................... Copy of Registered Mark........................ 3 --
2.6(b)(1)(ii)........................ Copy of Registered Mark, overnight delivery 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)(b)(3)......................... Cert. or Uncert. Copy of TM-Related File 50 --
Wrapper/Contents.
2.6(b)(4)(i)......................... Cert. Copy of Registered Mark, Title or Status. 10 15
2.6(b)(4)(ii)........................ Cert. Copy of Registered Mark, Title or Status-- 20 30
Expedited.
2.6(b)(5)............................ Certified or Uncertified Copy of TM Records.... 25 --
2.6(b)(6)............................ Recording Trademark Property, Per Mark, Per 40 --
Document.
2.6(b)(6)............................ For Second and Subsequent Marks in Same 25 --
Document.
2.6(b)(7)............................ For Assignment Records, Abstracts of Title 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..................... \1\ --
----------------------------------------------------------------------------------------------------------------
--These fees are not affected by this rulemaking.
\1\ Actual cost.
[[Page 40457]]
[FR Doc. 97-19901 Filed 7-28-97; 8:45 am]
BILLING CODE 3501-16-U-M