[Federal Register Volume 64, Number 232 (Friday, December 3, 1999)]
[Rules and Regulations]
[Pages 67774-67781]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-31373]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Parts 1 and 2

[Docket No. 991105297-9297-01]
RIN 0651-AB01


Revision of Patent and Trademark Fees for Fiscal Year 2000

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 
amounts to conform to the fee amounts set by law in the American 
Inventors Protection Act of 1999 as part of the conference report (H. 
Rep. 106-479) on H.R. 3194, Consolidated Appropriations Act, Fiscal 
Year 2000. The text of the American Inventors Protection Act of 1999 is 
contained in title IV of S. 1948, the Intellectual Property and 
Communications Omnibus Reform Act of 1999, which is incorporated by 
reference in Division B of the conference report. The PTO is also

[[Page 67775]]

adjusting certain trademark fee amounts to recover the cost of all 
trademark activities as provided for in H.R. 3194 (S. 1948). In 
addition, the PTO is adjusting, by a corresponding amount, two patent 
fees that track the basic filing fee.

EFFECTIVE DATES: The amendments to 37 CFR 1.16, 1.20, and 1.492 are 
effective on December 29, 1999. The amendments to 37 CFR 1.17 and 2.6 
are effective on January 10, 2000.

FOR FURTHER INFORMATION CONTACT: Matthew Lee by telephone at (703) 305-
8051, by e-mail at [email protected], by facsimile 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 final rule adjusts certain patent fees 
in accordance with the Consolidated Appropriations Act, Fiscal Year 
2000 (H.R. 3194), which incorporates the Intellectual Property and 
Communications Omnibus Reform Act of 1999 (S. 1948), and adjusts 
certain trademark fees to recover costs.

Background

    Section 31(a) of the Trademark Act of 1946 (15 U.S.C. 1113(a)) 
authorizes the Commissioner of Patents and Trademarks to annually 
adjust the fees established for the filing and processing of trademark 
applications, for the registration of trademarks and other marks, and 
for all other services performed by the PTO related to trademarks and 
other marks, to reflect aggregate fluctuations in the Consumer Price 
Index (CPI) during the previous twelve months. Trademark processing 
fees have not been adjusted since 1993, when the application fee was 
adjusted. Other trademark fees have not been changed since 1982.
    As a result of increases in filings, efforts to reduce the pendency 
of trademark applications before the PTO, and to reduce the backlog of 
unexamined cases, the PTO has hired additional trademark examining 
attorneys and instituted an electronic filing system for trademark 
applications. Current trademark fee rates are insufficient to recover 
these additional costs. In addition, the PTO has employed activity-
based cost accounting principles and systems on an agency-wide basis to 
measure the full cost of patent and trademark activities, including 
indirect costs. To fully recover the cost of all trademark activities, 
including indirect trademark operation costs, the PTO needs to adjust 
trademark fees sufficiently to recover an estimated $30 million in 
fiscal years 2000 and 2001. H.R. 3194 (S. 1948) authorizes the 
Commissioner to make such an adjustment to trademark fees.
    Patent fees were adjusted in 1998 as a result of Public Law 105-
358. Public Law 105-358 set:
    (1) The basic filing fee for an original utility patent application 
(35 U.S.C. 41(a)(1)(A)) or a reissue patent application (35 U.S.C. 
41(a)(4)(A)) at $760 ($380 for a small entity);
    (2) The basic national fee for an international application in 
which the PTO was the International Searching Authority (ISA) but not 
the International Preliminary Examining Authority (IPEA) (35 U.S.C. 
41(a)(10)) at $760 ($380 for a small entity); and
    (3) The first patent maintenance fee (35 U.S.C. 41(b)(1)) at $940 
($470 for a small entity).
    The Commissioner may also adjust fees set forth in 35 U.S.C. 41(a) 
and (b) to reflect any fluctuations in the Consumer Price Index (CPI) 
during the previous twelve months. See 35 U.S.C. 41(f). With the recent 
implementation of activity-based cost accounting principles and systems 
on an agency-wide basis, the PTO recognized that patent fee revenue has 
been partially offsetting the indirect trademark operation costs. Since 
H.R. 3194 (S. 1948) authorizes the Commissioner to adjust trademark 
fees to fully cover the costs of trademark operations, an adjustment to 
selective patent fees is necessary in fiscal year 2000 because those 
fees will no longer be needed to offset indirect trademark operation 
expenses. Thus, H.R. 3194 (S. 1948) reduces:
    (1) The basic filing fee for an original utility patent application 
(35 U.S.C. 41(a)(1)(A)) or a reissue patent application (35 U.S.C. 
41(a)(4)(A)) to $690 ($345 for a small entity);
    (2) The basic national fee for an international application in 
which the PTO was the ISA but not the IPEA (35 U.S.C. 41(a)(10)) to 
$690 ($345 for a small entity); and
    (3) The first patent maintenance fee (35 U.S.C. 41(b)(1)) to $830 
($415 for a small entity).
    This final rule conforms the patent fees set forth in 37 CFR 
1.16(a) and (h), 1.20(e), and 1.492(a)(2) to the fee amounts specified 
in H.R. 3194 (S. 1948). Specifically, Secs. 1.16(a) and (h), and 
1.492(a)(2) are amended to correspond to the patent fees specified in 
amended 35 U.S.C. 41(a). Section 1.20(e) is amended to indicate the 
patent fee specified in amended 35 U.S.C. 41(b). This final rule also 
adjusts two patent fees that track the basic filing fee. Sections 
1.17(r) and (s) are reduced to correspond to the basic filing fee 
provided in 35 U.S.C. 41(a)(1)(A), as amended by H.R. 3194 (S. 1948).
    Section 1.53(d), which relates to a continued prosecution 
application (CPA), is not being revised by this final rule. However, it 
should be noted that Sec. 1.53(d)(3) requires payment of the basic 
filing fee as set forth in 37 CFR 1.16.
    Section 41(g) of title 35, United States Code, provides that new 
fee amounts established by the Commissioner under section 41 may take 
effect 30 days after notice in the Federal Register and the Official 
Gazette of the Patent and Trademark Office.
    In addition, this final rule adjusts trademark fees set forth in 37 
CFR 2.6(a)(1), (a)(4), (a)(5), (a)(13), (a)(16), and (a)(17), to 
recover costs.
    Section 31 of the Trademark Act of 1946 (15 U.S.C. 1113(a)), allows 
new trademark fee amounts to take effect 30 days after notice in the 
Federal Register and the Official Gazette of the Patent and Trademark 
Office.
    A comparison of the current fee amounts and the new fee amounts for 
fiscal year 2000 is included as an Appendix to this final rule.

Procedures for Determining the Correct Fee Amount Owed

    The following subsections detail the procedures for determining the 
fees owed during the transition to the new fee schedule.
    Fees owed may be affected by proper use of a Certificate of Mailing 
or Transmission under Sec. 1.8(a)(1), or use of ``Express Mail Post 
Office to Addressee'' under Sec. 1.10(a).
    Items for which a Certificate of Mailing or Transmission under 
Sec. 1.8(a)(1) is not proper include, for example, national (including 
a continued prosecution application (CPA) under Sec. 1.53(d)) and 
international patent applications, and trademark applications. See 37 
CFR 1.8(a)(2).
    Under Sec. 1.10(a), any correspondence delivered by the ``Express 
Mail Post Office to Addressee'' service of the United States Postal 
Service (USPS) is considered filed or received in the Office on the 
date of deposit with the USPS. The date of deposit with the USPS is 
shown by the ``date-in'' on the ``Express Mail'' mailing label or other 
official USPS notation.

a. The Post Issuance Fee for Patents Under 35 U.S.C. 41(b)

    Section 41(b) of title 35, United States Code, provides for 
maintenance fees. Any maintenance fee amount that is

[[Page 67776]]

paid on or after the effective date of the final fee adjustment will be 
subject to the new fee.
    If a Certificate of Mailing or Transmission was used, and was 
proper under Sec. 1.8(a)(1), the fee required is the lower of:
    (1) The fee in effect on the date the PTO receives the fee; or
    (2) The fee in effect on the date of mailing indicated on a proper 
Certificate of Mailing or Transmission under Sec. 1.8(a)(1).
    Under Sec. 1.10(a), any correspondence delivered by the ``Express 
Mail Post Office to Addressee'' service of the USPS is considered filed 
or received in the Office on the date of deposit with the USPS. The 
date of deposit with the USPS is shown by the ``date-in'' on the 
``Express Mail'' mailing label or other official USPS notation.

b. The Filing Fee for Patent Applications Filed Under 35 U.S.C. 111 and 
37 CFR 1.53

    Section 111 of title 35, United States Code, provides for the 
filing of a patent application with the PTO. If the filing fee for an 
application filed under 35 U.S.C. 111 is received when the application 
is filed, the filing fee required is the filing fee in effect on the 
filing date assigned to the application. If the PTO receives the filing 
fee on a date later than the filing date assigned to the application, 
the filing fee required is the higher of:
    (1) The filing fee in effect on the filing date assigned to the 
application; or
    (2) The filing fee in effect on the date the PTO receives the 
filing fee.
    The filing fee includes the basic fee, excess claims fees (if any), 
and the multiple dependent claim fee (if any), for claims present on 
filing (unless the excess or multiple dependent claims are canceled 
before the filing fee is paid). Of course, if the basic filing fee is 
received on a date later than the filing date assigned to the 
application filed under 35 U.S.C. 111, a surcharge as set forth in 
Sec. 1.16(e) is also required.
    A Certificate of Mailing or Transmission under Sec. 1.8(a)(1) 
cannot be used for national (including a continued prosecution 
application (CPA) under Sec. 1.53(d)) and international patent 
applications. See 37 CFR 1.8(a)(2).
    Under Sec. 1.10(a), any correspondence delivered by the ``Express 
Mail Post Office to Addressee'' service of the USPS is considered filed 
or received in the Office on the date of deposit with the USPS. The 
date of deposit with the USPS is shown by the ``date-in'' on the 
``Express Mail'' mailing label or other official USPS notation.

c. The Fees for International Patent Applications Entering the National 
Stage Under 35 U.S.C. 371 and 37 CFR 1.494 or 1.495

    Section 371 of title 35, United States Code, provides for the 
national stage filing of a patent application under the Patent 
Cooperation Treaty. The basic national fee for an international 
application entering the national stage is due not later than the 
expiration of 20 months from the priority date in the international 
application (or 30 months from the priority date if the United States 
was elected prior to the expiration of 19 months from the priority 
date). The amount of the basic national fee that is required to be paid 
is the basic national fee in effect on the date the full fee is 
received.
    A Certificate of Mailing or Transmission under Sec. 1.8(a)(1) 
cannot be used for international patent applications. See 37 CFR 
1.8(a)(2).
    Under Sec. 1.10(a), any correspondence delivered by the ``Express 
Mail Post Office to Addressee'' service of the USPS is considered filed 
or received in the Office on the date of deposit with the USPS. The 
date of deposit with the USPS is shown by the ``date-in'' on the 
``Express Mail'' mailing label or other official USPS notation.

d. For Filing Trademark Applications Under 15 U.S.C. 1051

    Section 1051 of title 15, United States Code, provides for the 
filing of trademark applications. The initial filing fee required for a 
trademark application filed under 15 U.S.C. 1051 is the filing fee in 
effect on the filing date assigned to the application.
    Under Sec. 1.6, documents are considered filed as of the date of 
receipt at the PTO, unless the documents are filed under Sec. 1.10, 
which provides for filing by Express Mail. Under Sec. 1.10(a), any 
correspondence delivered by the ``Express Mail Post Office to 
Addressee'' service of the USPS is considered filed or received in the 
Office on the date of deposit with the USPS. The date of deposit with 
the USPS is shown by the ``date-in'' on the ``Express Mail'' mailing 
label or other official USPS notation.
    A Certificate of Mailing or Transmission under Sec. 1.8(a)(1) 
cannot be used for filing a trademark application. See 37 CFR 
1.8(a)(2).
    Under Sec. 2.21(a)(5), a trademark applicant must submit the filing 
fee for at least one class of goods or services before the application 
can be given a filing date. If the trademark application is accompanied 
by the fee for at least a single class of goods or services, but does 
not include fees sufficient to cover all the classes in the 
application, the application will be given a filing date, and the 
applicant will be required to submit the fees for the additional 
class(es) during examination. If the applicant submits fee(s) for 
additional class(es) after the application filing date, the fee(s) in 
effect on the date the fee(s) for the additional class(es) is received 
at the PTO will apply. The applicant may use a Certificate of Mailing 
or Transmission under Sec. 1.8(a)(1) to file the additional fee(s).

e. For All Other Trademark Process Fees Affected by this Notice

    For trademark process fees other than the initial fee for filing a 
trademark application, the applicant may use a Certificate of Mailing 
or Transmission under Sec. 1.8(a)(1). If a Certificate of Mailing or 
Transmission is used to mail or transmit the fee, and the Certificate 
meets the requirements of Sec. 1.8(a)(1), the fee in effect on the date 
indicated on the Certificate of Mailing or Transmission will apply.
    Owners of registered trademarks should note that failure to timely 
submit the required fee for an affidavit of continued use or excusable 
nonuse under 15 U.S.C. 1058, or a renewal application under 15 U.S.C. 
1059, may also result in a deficiency surcharge under 15 U.S.C. 
1058(c)(2) or 15 U.S.C. 1059(a). See Secs. 2.164 and 2.185.

Other Considerations

    This final rule contains no information collection within the 
meaning of the Paperwork Reduction Act of 1995, 44 U.S.C. 3501 et seq. 
This final rule has been determined to be not significant for purposes 
of Executive Order 12866.
    This final rule adjusts certain patent fees and trademark fees 
indicated in Parts 1 and 2 of title 37, Code of Federal Regulations, to 
the fee amounts set by law or provided for by law. Therefore, prior 
notice and an opportunity for public comment are not required pursuant 
to 5 U.S.C. 553(a)(2) (or any other law). As prior notice and an 
opportunity for public comment are not required pursuant to 5 U.S.C. 
553, or any other law, the analytical requirements of the Regulatory 
Flexibility Act, 5 U.S.C. 601 et seq., are inapplicable.

Lists of Subjects in 37 CFR Part 1

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

[[Page 67777]]

PART 1--RULES OF PRACTICE IN PATENT CASES

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

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

    2. Section 1.16 is amended by revising paragraphs (a) and (h), 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)).............................    $345.00
By other than a small entity.................................     690.00
 

* * * * *
    (h) Basic fee for filing each reissue application:


By a small entity (Sec.  1.9(f)).............................    $345.00
By other than a small entity.................................     690.00
 

* * * * *
    3. Section 1.17 is amended by revising paragraphs (r) and (s), to 
read as follows:


Sec. 1.17  Patent application processing fees.

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


By a small entity (Sec.  1.9(f)).............................    $345.00
By other than a small entity.................................     690.00
 

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

By a small entity (Sec.  1.9(f)).............................    $345.00
By other than a small entity.................................     690.00
 


    4. Section 1.20 is amended by revising paragraph (e) to read as 
follows:


Sec. 1.20  Post issuance fees.

* * * * *
    (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)).............................    $415.00
By other than a small entity.................................     830.00
 

* * * * *
    5. Section 1.492 is amended by revising paragraph (a)(2) to read as 
follows:


Sec. 1.492  National stage fees.

* * * * *
    (a) * * *
* * * * *
    (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)).............................    $345.00
By other than a small entity.................................     690.00
 

* * * * *

PART 2--RULES OF PRACTICE IN TRADEMARK CASES

    1. The authority citation for 37 CFR Part 2 continues 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 (a)(1), (a)(4), 
(a)(5), (a)(13), (a)(16), and (a)(17), to read as follows:


Sec. 2.6  Trademark fees.

* * * * *
    (a) * * *

(1) For filing an application, per class.....................    $325.00
 

* * * * *

(4) For filing a request under section 1(d)(2) of the Act for    $150.00
 a six-month extension of time for filing a statement of use
 under section 1(d)(1) of the Act, per class.................
(5) For filing an application for renewal of a registration,      400.00
 per class...................................................
 

* * * * *

(13) For filing an affidavit under Sec.  15 of the Act, per      $200.00
 class.......................................................
 

* * * * *

(16) For filing a petition to cancel, per class..............    $300.00
(17) For filing a notice of opposition, per class............     300.00
 

* * * * *
    Dated: November 30, 1999.
Q. Todd Dickinson,
Assistant Secretary of Commerce and Commissioner of Patents and 
Trademarks.

    Note: The following appendix is provided as a courtesy to the 
public, but is not a substitute for the rules. It will not appear in 
the Code of Federal Regulations.

                              Appendix A--Comparison of Current and New Fee Amounts
----------------------------------------------------------------------------------------------------------------
  Fee
  code                    37 CFR sec.                              Description               FY 1999    FY 2000
----------------------------------------------------------------------------------------------------------------
  101    1.16(a)                                       Basic filing fee--Utility..........       $760    \1\ 690
  201    1.16(a)                                       Basic filing fee--Utility (Small           380    \1\ 345
                                                        Entity).
  131    1.16(a)                                       Basic filing fee--Utility (CPA)....        760    \1\ 690
  231    1.16(a)                                       Basic filing fee--Utility (CPA)            380    \1\ 345
                                                        (Small Entity).
  102    1.16(b)                                       Independent claims in excess of             78      (\4\)
                                                        three.
  202    1.16(b)                                       Independent claims in excess of             39      (\4\)
                                                        three (Small Entity).
  103    1.16(c)                                       Claims in excess of twenty.........         18      (\4\)
  203    1.16(c)                                       Claims in excess of twenty (Small            9      (\4\)
                                                        Entity).
  104    1.16(d)                                       Multiple dependent claim...........        260      (\4\)
  204    1.16(d)                                       Multiple dependent claim (Small            130      (\4\)
                                                        Entity).
  105    1.16(e)                                       Surcharge--Late filing fee.........        130      (\4\)
  205    1.16(e)                                       Surcharge--Late filing fee (Small           65      (\4\)
                                                        Entity).
  106    1.16(f)                                       Design filing fee..................        310      (\4\)
  206    1.16(f)                                       Design filing fee (Small Entity)...        155      (\4\)
  132    1.16(f)                                       Design filing fee (CPA)............        310      (\4\)
  232    1.16(f)                                       Design filing fee (CPA) (Small             155      (\4\)
                                                        Entity).
  107    1.16(g)                                       Plant filing fee...................        480      (\4\)
  207    1.16(g)                                       Plant filing fee (Small Entity)....        240      (\4\)
  133    1.16(g)                                       Plant filing fee (CPA).............        480      (\4\)
  233    1.16(g)                                       Plant filing fee (CPA) (Small              240      (\4\)
                                                        Entity).
  108    1.16(h)                                       Reissue filing fee.................        760    \1\ 690
  208    1.16(h)                                       Reissue filing fee (Small Entity)..        380    \1\ 345
  134    1.16(h)                                       Reissue filing fee (CPA)...........        760    \1\ 690
  234    1.16(h)                                       Reissue filing fee (CPA) (Small            380    \1\ 345
                                                        Entity).
  109    1.16(i)                                       Reissue independent claims.........         78      (\4\)

[[Page 67778]]

 
  209    1.16(i)                                       Reissue independent claims (Small           39      (\4\)
                                                        Entity).
  110    1.16(j)                                       Reissue claims in excess of twenty.         18      (\4\)
  210    1.16(j)                                       Reissue claims in excess of twenty           9      (\4\)
                                                        (Small Entity).
  114    1.16(k)                                       Provisional application filing fee.        150      (\4\)
  214    1.16(k)                                       Provisional application filing fee          75      (\4\)
                                                        (Small Entity).
  127    1.16(l)                                       Surcharge--Late provisional filing          50      (\4\)
                                                        fee.
  227    1.16(l)                                       Surcharge--Late provisional filing          25      (\4\)
                                                        fee (Small Entity).
  115    1.17(a)(1)                                    Extension--First month.............        110      (\4\)
  215    1.17(a)(1)                                    Extension--First month (Small               55      (\4\)
                                                        Entity).
  116    1.17(a)(2)                                    Extension--Second month............        380      (\4\)
  216    1.17(a)(2)                                    Extension--Second month (Small             190      (\4\)
                                                        Entity).
  117    1.17(a)(3)                                    Extension--Third month.............        870      (\4\)
  217    1.17(a)(3)                                    Extension--Third month (Small              435      (\4\)
                                                        Entity).
  118    1.17(a)(4)                                    Extension--Fourth month............      1,360      (\4\)
  218    1.17(a)(4)                                    Extension--Fourth month (Small             680      (\4\)
                                                        Entity).
  128    1.17(a)(5)                                    Extension--Fifth month.............      1,850      (\4\)
  228    1.17(a)(5)                                    Extension--Fifth month (Small              925      (\4\)
                                                        Entity).
  119    1.17(b)                                       Notice of appeal...................        300      (\4\)
  219    1.17(b)                                       Notice of appeal (Small Entity)....        150      (\4\)
  120    1.17(c)                                       Filing a brief in support of an            300      (\4\)
                                                        appeal.
  220    1.17(c)                                       Filing a brief in support of an            150      (\4\)
                                                        appeal (Small Entity).
  121    1.17(d)                                       Request for oral hearing...........        260      (\4\)
  221    1.17(d)                                       Request for oral hearing (Small            130      (\4\)
                                                        Entity).
  122    1.17(h)                                       Petition--Not all inventors........        130      (\4\)
  122    1.17(h)                                       Petition--Correction of                    130      (\4\)
                                                        inventorship.
  122    1.17(h)                                       Petition--Decision on questions....        130      (\4\)
  122    1.17(h)                                       Petition--Suspend rules............        130      (\4\)
  122    1.17(h)                                       Petition--Expedited license........        130      (\4\)
  122    1.17(h)                                       Petition--Scope of license.........        130      (\4\)
  122    1.17(h)                                       Petition--Retroactive license......        130      (\4\)
  122    1.17(h)                                       Petition--Refusing maintenance fee.        130      (\4\)
  122    1.17(h)                                       Petition--Refusing maintenance fee--       130      (\4\)
                                                        expired patent.
  122    1.17(h)                                       Petition--Interference.............        130      (\4\)
  122    1.17(h)                                       Petition--Reconsider interference..        130      (\4\)
  122    1.17(h)                                       Petition--Late filing of                   130      (\4\)
                                                        interference.
  122    1.20(b)                                       Petition--Correction of                    130      (\4\)
                                                        inventorship.
  122    1.17(h)                                       Petition--Refusal to publish SIR...        130      (\4\)
  122    1.17(i)                                       Petition--For assignment...........        130      (\4\)
  122    1.17(i)                                       Petition--For application..........        130      (\4\)
  122    1.17(i)                                       Petition--Late priority papers.....        130      (\4\)
  122    1.17(i)                                       Petition--Suspend action...........        130      (\4\)
  122    1.17(i)                                       Petition--Divisional reissues to           130      (\4\)
                                                        issue separately.
  122    1.17(i)                                       Petition--For interference                 130      (\4\)
                                                        agreement.
  122    1.17(i)                                       Petition--Amendment after issue....        130      (\4\)
  122    1.17(i)                                       Petition--Withdrawal after issue...        130      (\4\)
  122    1.17(i)                                       Petition--Defer issue..............        130      (\4\)
  122    1.17(i)                                       Petition--Issue to assignee........        130      (\4\)
  122    1.17(i)                                       Petition--Accord a filing date             130      (\4\)
                                                        under Sec.  1.53.
  122    1.17(i)                                       Petition--Accord a filing date             130      (\4\)
                                                        under Sec.  1.62.
  122    1.17(i)                                       Petition--Make application special.        130      (\4\)
  138    1.17(j)                                       Petition--Public use proceeding....      1,510      (\4\)
  139    1.17(k)                                       Non-English specification..........        130      (\4\)
  140    1.17(l)                                       Petition--Revive unavoidably               110      (\4\)
                                                        abandoned appl.
  240    1.17(l)                                       Petition--Revive unavoidably                55      (\4\)
                                                        abandoned appl. (Small Entity).
  141    1.17(m)                                       Petition--Revive unintentionally         1,210      (\4\)
                                                        abandoned appl.
  241    1.17(m)                                       Petition--Revive unintent.                 605      (\4\)
                                                        abandoned appl. (Small Entity).
  112    1.17(n)                                       SIR--Prior to examiner's action....        920      (\4\)
  113    1.17(o)                                       SIR--After examiner's action.......      1,840      (\4\)
  126    1.17(p)                                       Submission of an Information               240      (\4\)
                                                        Disclosure Statement (Sec.  1.97).
  123    1.17(q)                                       Petition--Correction of                     50      (\4\)
                                                        inventorship (prov. app.).
  123    1.17(q)                                       Petition--Accord a filing date              50      (\4\)
                                                        (prov. app.).
  123    1.17(q)                                       Petition--Entry of submission after         50      (\4\)
                                                        final rejection (prov. app.).
  146    1.17(r)                                       Filing a submission after final            760    \2\ 690
                                                        rejection (1.129(a)).
  246    1.17(r)                                       Filing a submission after final            380    \2\ 345
                                                        rejection (1.129(a)) (Small
                                                        Entity).
  149    1.17(s)                                       Per additional invention to be             760    \2\ 690
                                                        examined (1.129(b)).
  249    1.17(s)                                       Per additional invention to be             380    \2\ 345
                                                        examined (1.129(b)) (Small Entity).
  142    1.18(a)                                       Utility issue fee..................      1,210      (\4\)
  242    1.18(a)                                       Utility issue fee (Small Entity)...        605      (\4\)
  143    1.18(b)                                       Design issue fee...................        430      (\4\)
  243    1.18(b)                                       Design issue fee (Small Entity)....        215      (\4\)
  144    1.18(c)                                       Plant issue fee....................        580      (\4\)

[[Page 67779]]

 
  244    1.18(c)                                       Plant issue fee (Small Entity).....        290      (\4\)
  561    1.19(a)(1)(i)                                 Patent copy........................          3      (\4\)
  562    1.19(a)(1)(ii)                                Patent copy, overnight delivery to           6      (\4\)
                                                        PTO Box or overnight fax.
  563    1.19(a)(1)(iii)                               Patent copy, ordered by expedited           25      (\4\)
                                                        mail or fax--exp. service.
  564    1.19(a)(2)                                    Plant patent copy..................         15      (\4\)
  565    1.19(a)(3)                                    Copy of utility patent or SIR in            25      (\4\)
                                                        color.
  566    1.19(b)(1)(ii)                                Certified copy of patent                    15      (\4\)
                                                        application as filed.
  567    1.19(b)(1)(ii)                                Certified copy of patent                    30      (\4\)
                                                        application as filed, expedited.
  568    1.19(b)(2)                                    Cert. or uncert. copy of patent-           150      (\4\)
                                                        related file wrapper and contents.
  569    1.19(b)(3)                                    Cert. or uncert. copy of document,          25      (\4\)
                                                        unless otherwise provided.
  570    1.19(b)(4)                                    For assignment records, abstract of         25      (\4\)
                                                        title and certification.
  571    1.19(c)                                       Library service....................         50      (\4\)
  572    1.19(b)                                       List of U.S. patents and SIRs in             3      (\4\)
                                                        subclass.
  573    1.19(e)                                       Uncertified statement re status of          10      (\4\)
                                                        maintenance fee payment.
  574    1.19(f)                                       Copy of non-U.S. document..........         25      (\4\)
  575    1.19(g)                                       Comparing and certifying copies,            25      (\4\)
                                                        per document, per cpy.
  576    1.19(h)                                       Duplicate or corrected filing               25      (\4\)
                                                        receipt.
  145    1.20(a)                                       Certificate of correction..........        100      (\4\)
  147    1.20(c)                                       Filing a request for reexamination.      2,520      (\4\)
  148    1.20(d)                                       Statutory disclaimer...............        110      (\4\)
  248    1.20(d)                                       Statutory disclaimer (Small Entity)         55      (\4\)
  183    1.20(e)                                       Maintenance fee--due at 3.5 years..        940    \1\ 830
  283    1.20(e)                                       Maintenance fee--due at 3.5 years          470    \1\ 415
                                                        (Small Entity).
  184    1.20(f)                                       Maintenance fee--due at 7.5 years..      1,900      (\4\)
  284    1.20(f)                                       Maintenance fee--due at 7.5 years          950      (\4\)
                                                        (Small Entity).
  185    1.20(g)                                       Maintenance fee--due at 11.5 years.      2,910      (\4\)
  285    1.20(g)                                       Maintenance fee--due at 11.5 years       1,455      (\4\)
                                                        (Small Entity).
  186    1.20(h)                                       Surcharge--Late payment within 6           130      (\4\)
                                                        months.
  286    1.20(h)                                       Surcharge--Late payment within 6            65      (\4\)
                                                        months (Small Entity).
  187    1.20(i)(1)                                    Surcharge--Maintenance after               700      (\4\)
                                                        expiration--unavoidable.
  188    1.20(i)(2)                                    Surcharge--Maintenance after             1,640      (\4\)
                                                        expiration--unintentional.
  111    1.20(j)(1)                                    Extension of term of patent (1.740)      1,120      (\4\)
  124    1.20(j)(2)                                    Initial application for interim            420      (\4\)
                                                        extension (1.790).
  125    1.20(j)(3)                                    Subsequent application for interim         220      (\4\)
                                                        extension (1.790).
  609    1.21(a)(1)(i)                                 Application fee (non-refundable)...         40      (\4\)
  619    1.21(a)(1)(ii)                                Registration examination fee.......        310      (\4\)
  610    1.21(a)(2)                                    Registration to practice...........        100      (\4\)
  611    1.21(a)(3)                                    Reinstatement to practice..........         40      (\4\)
  612    1.21(a)(4)                                    Copy of certificate of good                 10      (\4\)
                                                        standing.
  613    1.21(a)(4)                                    Certificate of good standing--              20      (\4\)
                                                        suitable for framing.
  615    1.21(a)(5)                                    Review of decision of Director,            130      (\4\)
                                                        OED).
  616    1.21(a)(6)(i)                                 Regrading of A.M. section (PTO             230      (\4\)
                                                        Practice and Procedure).
  620    1.21(a)(6)(ii)                                Regrading of P.M. section (Claim           230      (\4\)
                                                        Drafting).
  607    1.21(b)(1)                                    Establish deposit account..........         10      (\4\)
  608    1.21(b)(2)                                    Service charge for below minimum            25      (\4\)
                                                        balance.
  608    1.21(b)(3                                     Service charge for below minimum            25      (\4\)
                                                        balance--restricted account.
  577    1.21(c)                                       Disclosure document filing fee.....         10      (\4\)
  578    1.21(d)                                       Local delivery box rental, annually         50      (\4\)
  579    1.21(e)                                       International type search report...         40      (\4\)
  580    1.21(g)                                       Self-service copy charge, per page.        .25      (\4\)
  581    1.21(h)                                       Recording each patent assignment,           40      (\4\)
                                                        per property.
  583    1.21(i)                                       Publication in Official Gazette....         25      (\4\)
  584    1.21(j)                                       Labor charges for services, per             40      (\4\)
                                                        hour or fraction thereof.
  585    1.21(k)                                       Unspecified other servies,               (\5\)      (\4\)
                                                        excluding labor.
  592    1.21(k)                                       APS-CSIR terminal session time, per         50      (\4\)
                                                        hour.
  586    1.21(l)                                       Retaining abandoned application....        130      (\4\)
  617    1.21(m)                                       Processing returned checks.........         50      (\4\)
  587    1.21(n)                                       Handling fee for incomplete or             130      (\4\)
                                                        improper application.
  588    1.21(o)                                       APS-Text terminal session time, per         40      (\4\)
                                                        hour.
  590    1.24                                          Coupons for patent and trademark             3      (\4\)
                                                        copies.
  589    1.296                                         Handling fees for withdrawal of SIR        130      (\4\)
  150    1.445(a)(1)                                   Transmittal fee....................        240      (\4\)
  153    1.445(a)(2)(i)                                PCT search fee--prior U.S.                 450      (\4\)
                                                        application.
  151    1.445(a)(2)(ii)                               PCT search fee--no U.S. application        700      (\4\)
  152    1.445(a)(3)                                   Supplemental search per additional         210      (\4\)
                                                        invention.
  190    1.482(a)(1)(i)                                Preliminary examination fee--ISA           490      (\4\)
                                                        was the U.S.
  191    1.482(a)(1)(ii)                               Preliminary examination fee--ISA           750      (\4\)
                                                        not the U.S.
  192    1.482(a)(2)(i)                                Additional invention--ISA was the          140      (\4\)
                                                        U.S.
  193    1.482(a)(2)(ii)                               Additional invention--ISA not the          270      (\4\)
                                                        U.S.
  956    1.492(a)(1)                                   IPEA-U.S...........................        670      (\4\)
  957    1.492(a)(1)                                   IPEA-U.S. (Small Entity)...........        335      (\4\)

[[Page 67780]]

 
  958    1.492(a)(2)                                   ISA-U.S............................        760    \1\ 690
  959    1.492(a)(2)                                   ISA-U.S. (Small Entity)............        380    \1\ 345
  960    1.492(a)(3)                                   PTO not ISA or IPEA................        970      (\4\)
  961    1.492(a)(3)                                   PTO not ISA or IPEA (Small Entity).        485      (\4\)
  962    1.492(a)(4)                                   Claims--IPEA.......................         96      (\4\)
  963    1.492.(a)(4)                                  Claims--IPEA (Small Entity)........         48      (\4\)
  970    1.492(a)(5)                                   Filing with EPO or JPO search              840      (\4\)
                                                        report.
  971    1.492(a)(5)                                   Filing with EPO or JPO search              420      (\4\)
                                                        report (Small Entity).
  964    1.492(b)                                      Claims--extra independent (over             78      (\4\)
                                                        three).
  965    1.492(b)                                      Claims--extra independent (over             39      (\4\)
                                                        three) (Small Entity).
  966    1.492(c)                                      Claims--extra total (over twenty)..         18      (\4\)
  967    1.492(c)                                      Claims--extra total (over twenty)            9      (\4\)
                                                        (Small Entity).
  968    1.492(d)                                      Claims--multiple dependent.........        260      (\4\)
  969    1.492(d)                                      Claims--multiple dependent (Small          130      (\4\)
                                                        Entity).
  154    1.492(e)                                      Surcharge..........................        130      (\4\)
  254    1.492(e)                                      Surcharge (Small Entity)...........         65      (\4\)
  156    1.492(f)                                      English translation after twenty or        130      (\4\)
                                                        thirty months.
  361    2.6(a)(1)                                     Application for registration, per          245   \2\ $325
                                                        class.
  362    2.6(a)(2)                                     Amendment to Allege Use, per class.        100      (\4\)
  363    2.6(a)(3)                                     Statement of Use, per class........        100      (\4\)
  364    2.6(a)(4)                                     Extension for filing Statement of          100    \2\ 150
                                                        Use, per class.
  365    2.6(a)(5)                                     Application for renewal, per class.        300    \2\ 400
  366    2.6(a)(6)                                     Additional fee for late renewal,           100      (\4\)
                                                        per class.
  367    2.6(a)(7)                                     Publication of mark under Sec.             100      (\4\)
                                                        12(c), per class.
  368    2.6(a)(8)                                     Issuing new certificate of                 100      (\4\)
                                                        registration.
  369    2.6(a)(9)                                     Certificate of correction,                 100      (\4\)
                                                        registrant's error.
  370    2.6(a)(10)                                    Filing disclaimer to registration..        100      (\4\)
  371    2.6(a)(11)                                    Filing amendment to registration...        100      (\4\)
  372    2.6(a)(12)                                    Filing section 8 affidavit, per            100      (\4\)
                                                        class.
  373    2.6(a)(13)                                    Filing section 15 affidavit, per           100    \2\ 200
                                                        class.
  381    2.6(a)(14)                                    Filing a section 8 affidavit during      (\4\)    \3\ 100
                                                        the grace period, per class.
  375    2.6(a)(15)                                    Petition to the Commissioner.......        100      (\4\)
  376    2.6(a)(16)                                    Petition for cancellation, per             200    \2\ 300
                                                        class.
  377    2.6(a)(17)                                    Notice of opposition, per class....        200    \2\ 300
  378    2.6(a)(18)                                    Ex parte appeal, per class.........        100      (\4\)
  379    2.6(a)(19)                                    Dividing an application, per new           100      (\4\)
                                                        application created.
  382    2.6(a)(20)                                    Correcting a deficiency in a             (\4\)    \3\ 100
                                                        section 8 affidavit.
  380    2.6(a)(21)                                    Correcting a deficiency in a             (\4\)    \3\ 100
                                                        renewal application.
  461    2.6(b)(1)(i)                                  Copy of registered mark............          3      (\4\)
  462    2.6(b)(1)(ii)                                 Copy of registered mark, overnight           6      (\4\)
                                                        delivery to PTO box or fax.
  463    2.6(b)(1)(iii)                                Copy of reg. mark ordered by exp.           25      (\4\)
                                                        mail or fax, exp. service.
  466    2.6(b)(2)(i)                                  Certified copy of trademark                 15      (\4\)
                                                        application as filed.
  467    2.6(b)(2)(ii)                                 Certified copy of trademark                 30      (\4\)
                                                        application as filed, expedited.
  468    2.6(b)(3)                                     Cert. or uncert. copy of TM-related         50      (\4\)
                                                        file wrapper and contents.
  464    2.6(b)(4)(i)                                  Cert. copy of registered mark, with         15      (\4\)
                                                        title or status.
  465    2.6(b)(4)(ii)                                 Cert. copy of registered mark, with         30      (\4\)
                                                        title or status--expedited.
  469    2.6(b)(5)                                     Certified or uncertified copy of            25      (\4\)
                                                        trademark document.
  481    2.6(b)(6)                                     Recording trademark property, per           40      (\4\)
                                                        mark, per document.
  482    2.6(b)(6)                                     For second and subsequent marks in          25      (\4\)
                                                        the same document.
  470    2.6(b)(7)                                     For assignment records, abstracts           25      (\4\)
                                                        of title and certification.
  488    2.6(b)(8)                                     X-SEARCH terminal session time, per         40      (\4\)
                                                        hour.
  480    2.6(b)(9)                                     Self-service copy charge, per page.       0.25      (\4\)
  484    2.6(b)(10)                                    Labor charges for services, per             40      (\4\)
                                                        hour or fraction thereof.
  485    2.6(b)(11)                                    Unspecified other services,              (\5\)      (\4\)
                                                        excluding labor.
  650    2.7(a)                                        Recordal application fee...........         20      (\4\)
  651    2.7(b)                                        Renewal application fee............         20      (\4\)
  652    2.7(c)                                        Late fee for renewal application...         20      (\4\)
----------------------------------------------------------------------------------------------------------------
\1\ Fees effective on December 29, 1999.
\2\ Fees effective on January 10, 2000.
\3\ Fees effective on 10/30/99 due to Trademark Law Treaty Implementation Act of 1998 (Pub. L. 105-330).
\4\ Fees remain at FY 1999 amount.
\5\ Actual cost.


[[Page 67781]]

[FR Doc. 99-31373 Filed 12-2-99; 8:45 am]
BILLING CODE 3510-16-P