[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]


=======================================================================
-----------------------------------------------------------------------

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.

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

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