[Federal Register Volume 71, Number 107 (Monday, June 5, 2006)]
[Proposed Rules]
[Pages 32285-32291]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-8682]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
 ========================================================================
 

  Federal Register / Vol. 71, No. 107 / Monday, June 5, 2006 / Proposed 
Rules  

[[Page 32285]]



DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Parts 1 and 41

[Docket No. PTO-C-2006-0015]
RIN 0651-AB81


Revision of Patent Fees for Fiscal Year 2007

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Proposed rule.

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

SUMMARY: The United States Patent and Trademark Office (referred to as 
``we'', ``us'', or ``our'' in this document) is proposing to adjust 
certain patent fee amounts to reflect fluctuations in the Consumer 
Price Index (CPI). Also, we are proposing to adjust, by a corresponding 
amount, a few patent fees that track the affected fees. The Director is 
authorized to adjust these fees annually by the CPI to recover the 
higher costs associated with doing business.
    We are proposing to adjust the patent fees under the Consolidated 
Appropriations Act, 2005 (Consolidated Appropriations Act), which 
revised certain patent fees, and provided for a search fee and 
examination fee that are separate from the filing fee, during fiscal 
years 2005 and 2006. Legislation has been introduced in the Congress 
that would extend the fee revisions in the Consolidated Appropriations 
Act. If, for any period during fiscal year 2007, the fee revisions in 
the Consolidated Appropriations Act are not in effect, then the fee 
adjustment would apply to the former fee amounts that were in place on 
October 1, 2004, to December 7, 2004, prior to the enactment of the 
Consolidated Appropriations Act.

DATES: Comments must be submitted on or before July 5, 2006.

ADDRESSES: You may submit comments, identified by RIN number 0651-AB81, 
by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     E-mail: [email protected]. Include RIN number 0651-
AB81 in the subject line of the message.
     Fax: (571) 273-6500, marked to the attention of Tamara 
McClure.
     Mail: Mail Stop 16, Director of the U.S. Patent and 
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450, marked to 
the attention of Tamara McClure.
    Instructions: All submissions received must include the agency name 
and Regulatory Information Number (RIN) for this rule making. For 
additional information on the rule making process, see the heading of 
the SUPPLEMENTARY INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Tamara McClure by e-mail at 
[email protected], by telephone at (571) 272-6345, or by fax at 
(571) 273-6500.

SUPPLEMENTARY INFORMATION: This proposed rule would adjust our fees in 
accordance with the applicable provisions of title 35, United States 
Code, as amended by the Consolidated Appropriations Act, 2005 
(Consolidated Appropriations Act) (Pub. L. 108-447). This proposed rule 
would also adjust, by a corresponding amount, a few patent fees (37 CFR 
1.17(e), (r), (s), and (t)) that track statutory fees (either 37 CFR 
1.16(a) or 1.17(m)).
    We are proposing to adjust the patent fees under the Consolidated 
Appropriations Act, which revised certain patent fees, and provided for 
a search fee and examination fee that are separate from the filing fee, 
during fiscal years 2005 and 2006. Legislation has been introduced in 
the Congress that would extend the fee revisions in the Consolidated 
Appropriations Act. If any legislation is enacted that extends the fee 
revisions in the Consolidated Appropriations Act, then Option 1 of this 
proposed rule notice would apply.
    If, for any period during fiscal year 2007, the fee revisions in 
the Consolidated Appropriations Act are not in effect, then Option 2 of 
this proposed rule notice would apply and the fee adjustment would 
apply to the former fee amounts that were in place on October 1, 2004, 
to December 7, 2004, prior to the enactment of the Consolidated 
Appropriations Act.
    Customers may wish to refer to our official Web site at http://www.uspto.gov for the most current fee amounts.

Background

Statutory Provisions

    Patent fees are authorized by 35 U.S.C. 41, 119, 120, 132(b) and 
376. For fees paid under 35 U.S.C. 41(a) and (b) and 132(b), 
independent inventors, small business concerns, and nonprofit 
organizations who meet the requirements of 35 U.S.C. 41(h)(1) are 
entitled to a fifty-percent reduction.
    Section 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 CPI 
over the previous twelve months.
    Section 41(d) of title 35, United States Code, authorizes the 
Director 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, for each black and white 
copy of a patent, and for standard library service.
    Section 41(g) of title 35, United States Code, provides that new 
fee amounts established by the Director under section 41 may take 
effect thirty days after notice in the Federal Register and the 
Official Gazette of the United States Patent and Trademark Office.

Fee Adjustment Level

    The patent statutory fees established by 35 U.S.C. 41(a) and (b) 
are proposed to be adjusted on October 1, 2006, to reflect fluctuations 
occurring during the twelve-month period from October 1, 2005, through 
September 30, 2006, in the Consumer Price Index for All Urban Consumers 
(CPI-U). The Office of Management and Budget has advised us that in 
calculating these fluctuations, we should use CPI-U data as determined 
by the Secretary of Labor. In accordance with previous fee-setting 
methodology, we base this fee adjustment on the Administration's 
projected CPI-U for the twelve-month period ending September 30, 2006, 
which is 3.5 percent. Based on this projected CPI-U, patent statutory 
fees are proposed to be adjusted by 3.5 percent. Before the final fee 
amounts are published, the fee

[[Page 32286]]

amounts may be adjusted based on actual fluctuations in the CPI-U 
published by the Secretary of Labor.
    Certain patent processing fees established under 35 U.S.C. 41(d), 
119, 120, 132(b), 376, and Public Law 103-465 (the Uruguay Round 
Agreements Act) are proposed to be adjusted to reflect fluctuations in 
the CPI.
    The fee amounts were rounded by applying standard arithmetic rules 
so that the amounts rounded will be convenient to the user. Fees for 
other than a small entity of $100 or more were rounded to the nearest 
$10. Fees of less than $100 were rounded to an even number so that any 
comparable small entity fee will be a whole number.

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).
    Use of a Certificate of Mailing or Transmission is not authorized 
for items that are specifically excluded from the provisions of Sec.  
1.8. Items for which a Certificate of Mailing or Transmission under 
Sec.  1.8 are not authorized include, for example, filing of Continued 
Prosecution Applications (CPAs) under Sec.  1.53(d) and other national 
and international applications for patents. See 37 CFR 1.8(a)(2).
    Patent-related correspondence delivered by the ``Express Mail Post 
Office to Addressee'' service of the United States Postal Service 
(USPS) is considered filed or received in our office on the date of 
deposit with the USPS. See 37 CFR 1.10(a)(1). 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 paid on or after 
the effective date of the proposed fee adjustment would be subject to 
the new fees then in effect.
    If a Certificate of Mailing or Transmission was used, and was 
proper under Sec.  1.8(a)(1), the fee required would be the lower of:
    (1) The fee in effect on the date the USPTO 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).
    Patent-related correspondence delivered by the ``Express Mail Post 
Office to Addressee'' service of the USPS is considered filed or 
received in our office on the date of deposit with the USPS. See 37 CFR 
1.10(a)(1). 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 USPTO. 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 would be the filing fee in effect on 
the filing date assigned to the application. If the USPTO receives the 
filing fee on a date later than the filing date assigned to the 
application, the filing fee required would be 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 USPTO 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) would also be 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).
    Patent-related correspondence delivered by the ``Express Mail Post 
Office to Addressee'' service of the USPS is considered filed or 
received in our office on the date of deposit with the USPS. See 37 CFR 
1.10(a)(1). 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 
would be 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).
    Patent-related correspondence delivered by the ``Express Mail Post 
Office to Addressee'' service of the USPS is considered filed or 
received in our office on the date of deposit with the USPS. See 37 CFR 
1.10(a)(1). The date of deposit with the USPS is shown by the ``date-
in'' on the ``Express Mail'' mailing label or other official USPS 
notation.

Discussion of Specific Rules

Option 1

    Legislation has been introduced in the Congress that would extend 
the fee revisions in the Consolidated Appropriations Act. If any 
legislation is enacted that extends the fee revisions in the 
Consolidated Appropriations Act, then Option 1 of this proposed rule 
notice would apply. To ensure clarity in the implementation of the 
proposed new fees, a discussion of specific sections is set forth 
below.
37 CFR 1.16 National Application Filing, Search, and Examination Fees
    Section 1.16, paragraphs (a) through (e), (h) through (j), (o), and 
(q) through (s), if revised as proposed, would adjust fees established 
therein to reflect fluctuations in the CPI.
37 CFR 1.17 Patent Application and Reexamination Processing Fees
    Section 1.17, paragraphs (a)(2) through (a)(5), (e), (l), (m), (r), 
and (s), if revised as proposed, would adjust fees established therein 
to reflect fluctuations in the CPI. In addition, we are proposing to 
adjust paragraph (t) to track the statutory fee under paragraph (m).
37 CFR 1.18 Patent Post Allowance (Including Issue) Fees
    Section 1.18, paragraphs (a) through (c), if revised as proposed, 
would adjust fees established therein to reflect fluctuations in the 
CPI.

[[Page 32287]]

37 CFR 1.20 Post Issuance Fees
    Section 1.20, paragraphs (c)(3), (c)(4), and (e) through (g), if 
revised as proposed, would adjust fees established therein to reflect 
fluctuations in the CPI.
37 CFR 1.492 National Stage Fees
    Section 1.492, paragraphs (a), (c)(2), (d) through (f), and (j), if 
revised as proposed, would adjust fees established therein to reflect 
fluctuations in the CPI.
37 CFR 41.20 Fees
    Section 41.20, paragraphs (b)(1) through (b)(3), if revised as 
proposed, would adjust fees established therein to reflect fluctuations 
in the CPI.

Option 2

    Legislation has been introduced in the Congress that would extend 
the fee revisions in the Consolidated Appropriations Act. If, for any 
period during fiscal year 2007, the fee revisions in the Consolidated 
Appropriations Act are not in effect, then Option 2 of this proposed 
rule notice would apply. To ensure clarity in the implementation of the 
proposed new fees, a discussion of specific sections is set forth 
below.
37 CFR 1.16 National Application Filing Fees
    Section 1.16, paragraphs (a), (b), (d), (f) through (i), and (k), 
if revised as proposed, would adjust fees established therein to 
reflect fluctuations in the CPI.
37 CFR 1.17 Patent Application and Reexamination Processing Fees
    Section 1.17, paragraphs (a)(2) through (a)(5), (e), (m), and (r) 
through (t), if revised as proposed, would adjust fees established 
therein to reflect fluctuations in the CPI.
37 CFR 1.18 Patent Post Allowance (Including Issue) Fees
    Section 1.18, paragraphs (a) through (c), if revised as proposed, 
would adjust fees established therein to reflect fluctuations in the 
CPI.
37 CFR 1.20 Post Issuance Fees
    Section 1.20, paragraphs (e) through (g), if revised as proposed, 
would adjust fees established therein to reflect fluctuations in the 
CPI.
37 CFR 1.492 National Stage Fees
    Section 1.492, paragraphs (a)(1) through (a)(3), (a)(5), (b) and 
(d), if revised as proposed, would adjust fees established therein to 
reflect fluctuations in the CPI.
37 CFR 41.20 Fees
    Section 41.20, paragraphs (b)(1) through (b)(3), if revised as 
proposed, would adjust fees established therein to reflect fluctuations 
in the CPI.

Other Considerations

    Paperwork Reduction Act: This rule involves information collection 
requirements that are subject to review by the Office of Management and 
Budget (OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 
et seq.). The collections of information involved in this proposed rule 
have been reviewed and previously approved by the OMB under the 
following control numbers: 0651-0016, 0651-0021, 0651-0031, 0651-0032, 
and 0651-0033. The Office is not resubmitting information collection 
requests to the OMB for its review and approval because the changes in 
this rule do not affect the information collection requirements 
associated with the information collections under these OMB control 
numbers.
    Notwithstanding any other provision of law, no person is required 
to respond to nor shall a person be subject to a penalty for failure to 
comply with a collection of information subject to the requirements of 
the Paperwork Reduction Act unless that collection of information 
displays a currently valid OMB control number.
    Regulatory Flexibility Act: For the reasons set forth herein, the 
Deputy General Counsel for General Law of the United States Patent and 
Trademark Office has certified to the Chief Counsel for Advocacy, Small 
Business Administration, that the proposed rule change will not have a 
significant economic impact on a substantial number of small entities 
(Regulatory Flexibility Act, 5 U.S.C. 605(b)).
    By statute, the USPTO's Director is expressly authorized to adjust 
fees annually to reflect fluctuations in the Consumer Price Index 
(CPI). See 35 U.S.C. 41(f) (certain fees ``may be adjusted by the 
Director on October 1, 1992, and every year thereafter, to reflect any 
fluctuations occurring during the previous 12 months in the Consumer 
Price Index as determined by the Secretary of Labor''). The proposed 
rule increases fees to reflect the change in the CPI as authorized by 
35 U.S.C. 41(f). Legislation has been introduced in the Congress that 
would extend the fee revisions in the Consolidated Appropriations Act, 
2005 (Consolidated Appropriations Act) (Pub. L. 108-447). If the 
legislation is enacted, Option 1 of the proposed rule would apply. If 
this legislation is not enacted, the fee adjustment would apply to the 
former fee amounts that were in place on October 1, 2004, to December 
7, 2004, prior to the enactment of the Consolidated Appropriations Act. 
If this legislation is not enacted, Option 2 of this proposed rule 
would apply.
    The fee increases would range from a minimum of $2 to a maximum of 
$130 under Option 1 of the proposed rule, and a minimum of $4 to a 
maximum of $120 under Option 2 of the proposed rule.
    Under 35 U.S.C. 41(h)(1) small entities are accorded a fifty-
percent reduction in most patent fees. Consequently, the small entity 
fee increases would range from a minimum of $1 to a maximum of $65 
under Option 1 of the proposed rule, and a minimum of $2 to a maximum 
of $60 under Option 2 of the proposed rule. The sole exception under 
this proposed rule package is the fee set forth under 37 CFR 1.17(t), 
which does not qualify for a small entity fee reduction. The fee 
increase for 37 CFR 1.17(t) would be $180 under Option 1 of the 
proposed rule, or $50 under Option 2 of the proposed rule.
    Accordingly, the proposed rule does not have a significant economic 
impact on a substantial number of small entities.

List of Subjects

37 CFR Part 1

    Administrative practice and procedure, Biologics, Courts, Freedom 
of information, Inventions and patents, Reporting and recordkeeping 
requirements, Small businesses.

37 CFR Part 41

    Administrative practice and procedure, Inventions and patents, 
Lawyers.

    For the reasons set forth in the preamble, we are proposing to 
amend title 37 of the Code of Federal Regulations, parts 1 and 41 as 
set forth below.

Option 1

    The amendments in Option 1 would be used if legislation is enacted 
to extend the fee revisions in the Consolidated Appropriations Act.

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. 2(b)(2), unless otherwise noted.

    2. Section 1.16 is proposed to be amended by revising paragraphs 
(a) through (e), (h) through (j), (o), and (q) through (s) to read as 
follows:

[[Page 32288]]

Sec.  1.16  National application filing, search and examination fees.

    (a) Basic fee for filing each application under 35 U.S.C. 111 for 
an original patent, except design, plant, or provisional applications:
    (1) For an application filed on or after December 8, 2004:

By a small entity (Sec.   1.27(a)) if the application is          $75.00
 submitted in compliance with the Office electronic filing
 system (Sec.   1.27(b)(2))..................................
By a small entity (Sec.   1.27(a))...........................     155.00
By other than a small entity.................................     310.00
 

    (2) For an application filed before December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (b) Basic fee for filing each application for an original design 
patent:
    (1) For an application filed on or after December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (2) For an application filed before December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $180.00
By other than a small entity.................................     360.00
 

    (c) Basic fee for filing each application for an original plant 
patent:
    (1) For an application filed on or after December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (2) For an application filed before December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $285.00
By other than a small entity.................................     570.00
 

    (d) Basic fee for filing each provisional application:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (e) Basic fee for filing each application for the reissue of a 
patent:
    (1) For an application filed on or after December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $155.00
By other than a small entity.................................     310.00
 

    (2) For an application filed before December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

* * * * *
    (h) In addition to the basic filing fee in an application, other 
than a provisional application, for filing or later presentation at any 
other time of each claim in independent form in excess of 3:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (i) In addition to the basic filing fee in an application, other 
than a provisional application, for filing or later presentation at any 
other time of each claim (whether dependent or independent) in excess 
of 20 (note that Sec.  1.75(c) indicates how multiple dependent claims 
are considered for fee calculation purposes):

By a small entity (Sec.   1.27(a))...........................     $26.00
By other than a small entity.................................      52.00
 

    (j) In addition to the basic filing fee in an application, other 
than a provisional application, that contains, or is amended to 
contain, a multiple dependent claim, per application:

By a small entity (Sec.   1.27(a))...........................    $185.00
By other than a small entity.................................     370.00
 

* * * * *
    (o) Examination fee for each application filed under 35 U.S.C. 111 
on or after December 8, 2004, for an original patent, except design, 
plant, or provisional applications:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (q) Examination fee for each application filed on or after December 
8, 2004, for an original plant patent:

By a small entity (Sec.   1.27(a))...........................     $85.00
By other than a small entity.................................     170.00
 

    (r) Examination fee for each application filed on or after December 
8, 2004, for the reissue of a patent:

By a small entity (Sec.   1.27(a))...........................    $310.00
By other than a small entity.................................     620.00
 

    (s) Application size fee for any application under 35 U.S.C. 111 
filed on or after December 8, 2004, the specification and drawings of 
which exceed 100 sheets of paper, for each additional 50 sheets or 
fraction thereof (see Sec.  1.52(f) for applications submitted in whole 
or in part on an electronic medium):

By a small entity (Sec.   1.27(a))...........................    $130.00
By other than a small entity.................................     260.00
 

    3. Section 1.17 is proposed to be amended by revising paragraphs 
(a)(2) through (a)(5), (e), (l), (m), and (r) through (t) to read as 
follows:


Sec.  1.17  Patent application and reexamination processing fees.

    (a) * * *
    (2) For reply within second month:

By a small entity (Sec.   1.27(a))...........................    $230.00
By other than a small entity.................................     460.00
 

    (3) For reply within third month:

By a small entity (Sec.   1.27(a))...........................    $525.00
By other than a small entity.................................   1,050.00
 

    (4) For reply within fourth month:

By a small entity (Sec.   1.27(a))...........................    $820.00
By other than a small entity.................................   1,640.00
 

    (5) For reply within fifth month:

By a small entity (Sec.   1.27(a))...........................  $1,115.00
By other than a small entity.................................   2,230.00
 

* * * * *
    (e) To request continued examination pursuant to Sec.  1.114:

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

* * * * *
    (l) For filing a petition for the revival of an unavoidably 
abandoned application under 35 U.S.C. 111, 133, 364, or 371, for the 
unavoidably delayed payment of the issue fee under 35 U.S.C. 151, or 
for the revival of an unavoidably terminated reexamination proceeding 
under 35 U.S.C. 133 (Sec.  1.137(a)):

By a small entity (Sec.   1.27(a))...........................    $260.00
By other than a small entity.................................     520.00
 

    (m) For filing a petition for the revival of an unintentionally 
abandoned application, for the unintentionally delayed payment of the 
fee for issuing a patent, or for the revival of an unintentionally 
terminated reexamination proceeding under 35 U.S.C. 41(a)(7) (Sec.  
1.137(b)):

By a small entity (Sec.   1.27(a))...........................    $775.00
By other than a small entity.................................   1,550.00
 

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

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

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

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (t) For the acceptance of an unintentionally delayed claim for 
priority under 35 U.S.C. 119, 120, 121, or 365(a) or (c)

(Sec.  Sec.   1.55 and 1.78).................................  $1,550.00
 

* * * * *
    4. Section 1.18 is proposed to be amended by revising paragraphs 
(a) through (c) to read as follows:


Sec.  1.18  Patent post allowance (including issue) fees.

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

By a small entity (Sec.   1.27(a))...........................    $725.00
By other than a small entity.................................   1,450.00
 

    (b) Issue fee for issuing an original design patent:

By a small entity (Sec.   1.27(a))...........................    $415.00
By other than a small entity.................................     830.00
 

    (c) Issue fee for issuing an original plant patent:

By a small entity (Sec.   1.27(a))...........................    $570.00
By other than a small entity.................................   1,140.00
 

* * * * *
    5. Section 1.20 is proposed to be amended by revising paragraphs 
(c)(3), (c)(4), and (e) through (g) to read as follows:

[[Page 32289]]

Sec.  1.20  Post issuance fees.

* * * * *
    (c) * * *
    (3) For filing with a request for reexamination or later 
presentation at any other time of each claim in independent form in 
excess of 3 and also in excess of the number of claims in independent 
form in the patent under reexamination:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (4) For filing with a request for reexamination or later 
presentation at any other time of each claim (whether dependent or 
independent) in excess of 20 and also in excess of the number of claims 
in the patent under reexamination (note that Sec.  1.75(c) indicates 
how multiple dependent claims are considered for fee calculation 
purposes):

By a small entity (Sec.   1.27(a))...........................     $26.00
By other than a small entity.................................      52.00
 

* * * * *
    (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 being due by three years and 
six months after the original grant:

By a small entity (Sec.   1.27(a))...........................    $465.00
By other than a small entity.................................     930.00
 

    (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 being due by seven years and 
six months after the original grant:

By a small entity (Sec.   1.27(a))...........................  $1,190.00
By other than a small entity.................................   2,380.00
 

    (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 being due by eleven years 
and six months after the original grant:

By a small entity (Sec.   1.27(a))...........................  $1,965.00
By other than a small entity.................................   3,930.00
 

* * * * *
    6. Section 1.492 is proposed to be amended by revising paragraphs 
(a), (c)(2), (d) through (f), and (j) to read as follows:


Sec.  1.492  National stage fees.

* * * * *
    (a) The basic national fee for an international application 
entering the national stage under 35 U.S.C. 371 if the basic national 
fee was not paid before December 8, 2004:

By a small entity (Sec.   1.27(a))...........................    $155.00
By other than a small entity.................................     310.00
 

* * * * *
    (c) * * *
    (2) In all situations not provided for in paragraph (c)(1) of this 
section:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (d) In addition to the basic national fee, for filing or on a later 
presentation at any other time of each claim in independent form in 
excess of 3:

By a small entity (Sec.   1.27(a))...........................    $105.00
By other than a small entity.................................     210.00
 

    (e) In addition to the basic national fee, for filing or on later 
presentation at any other time of each claim (whether dependent or 
independent) in excess of 20 (note that Sec.  1.75(c) indicates how 
multiple dependent claims are considered for fee calculation purposes):

By a small entity (Sec.   1.27(a))...........................     $26.00
By other than a small entity.................................      52.00
 

    (f) In addition to the basic national fee, if the application 
contains, or is amended to contain, a multiple dependent claim, per 
application:

By a small entity (Sec.   1.27(a))...........................    $185.00
By other than a small entity.................................     370.00
 

* * * * *
    (j) Application size fee for any international application for 
which the basic national fee was not paid before December 8, 2004, the 
specification and drawings of which exceed 100 sheets of paper, for 
each additional 50 sheets or fraction thereof (see Sec.  1.52(f) for 
applications submitted in whole or in part on an electronic medium):

By a small entity (Sec.   1.27(a))...........................    $130.00
By other than a small entity.................................     260.00
 

PART 41--PRACTICE BEFORE THE BOARD OF PATENT APPEALS AND 
INTERFERENCES

    1. The authority citation for 37 CFR part 41 would continue to read 
as follows:

    Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 
135, unless otherwise noted.

    2. Section 41.20 is proposed to be amended by revising paragraphs 
(b)(1) through (b)(3) to read as follows:


Sec.  41.20  Fees.

* * * * *
    (b) * * *
    (1) For filing a notice of appeal from the examiner to the Board:

By a small entity (Sec.   1.27(a) of this title).............    $260.00
By other than a small entity.................................     520.00
 

    (2) 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.   1.27(a) of this title).............    $260.00
By other than a small entity.................................     520.00
 

    (3) For filing a request for an oral hearing before the Board in an 
appeal under 35 U.S.C. 134:

By a small entity (Sec.   1.27(a) of this title).............    $520.00
By other than a small entity.................................   1,040.00
 

Option 2

    The amendments in Option 2 would be used if legislation is not 
enacted and the fee adjustments would apply to the former fee amounts 
that were in place prior to the enactment of the Consolidated 
Appropriations Act.

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. 2, unless otherwise noted.

    2. Section 1.16 is proposed to be amended by revising paragraphs 
(a), (b), (d), (f) through (i), and (k) 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.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (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.   1.27(a))...........................     $46.00
By other than a small entity.................................      92.00
 

* * * * *
    (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.   1.27(a))...........................    $155.00
By other than a small entity.................................     310.00
 

    (f) Basic fee for filing each design application:

By a small entity (Sec.   1.27(a))...........................    $180.00
By other than a small entity.................................     360.00
 

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

By a small entity (Sec.   1.27(a))...........................    $285.00
By other than a small entity.................................     570.00
 

    (h) Basic fee for filing each reissue application:

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (i) In addition to the basic filing fee in a reissue application, 
for filing or

[[Page 32290]]

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.   1.27(a))...........................     $46.00
By other than a small entity.................................      92.00
 

* * * * *
    (k) Basic fee for filing each provisional application:

By a small entity (Sec.   1.27(a))...........................     $85.00
By other than a small entity.................................     170.00
 

* * * * *
    3. Section 1.17 is proposed to be amended by revising paragraphs 
(a)(2) through (a)(5), (e), (m), and (r) through (t) to read as 
follows:


Sec.  1.17  Patent application and reexamination processing fees.

    (a) * * *
    (2) For reply within second month:

By a small entity (Sec.   1.27(a))...........................    $220.00
By other than a small entity.................................     440.00
 

    (3) For reply within third month:

By a small entity (Sec.   1.27(a))...........................    $505.00
By other than a small entity.................................   1,010.00
 

    (4) For reply within fourth month:

By a small entity (Sec.   1.27(a))...........................    $790.00
By other than a small entity.................................   1,580.00
 

    (5) For reply within fifth month:

By a small entity (Sec.   1.27(a))...........................  $1,075.00
By other than a small entity.................................   2,150.00
 

* * * * *
    (e) To request continued examination pursuant to Sec.  1.114:

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

* * * * *
    (m) For filing a petition for the revival of an unintentionally 
abandoned application, for the unintentionally delayed payment of the 
fee for issuing a patent, or for the revival of an unintentionally 
terminated reexamination proceeding under 35 U.S.C. 41(a)(7) (Sec.  
1.137(b)):

By a small entity (Sec.   1.27(a))...........................    $710.00
By other than a small entity.................................   1,420.00
 

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

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

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

By a small entity (Sec.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (t) For the acceptance of an unintentionally delayed claim for 
priority under 35 U.S.C. 119, 120, 121, or 365(a) or (c):

(Sec.  Sec.   1.55 and 1.78).................................  $1,420.00
 

    4. Section 1.18 is proposed to be amended by revising paragraphs 
(a) through (c) to read as follows:


Sec.  1.18  Patent post allowance (including issue) fees.

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

By a small entity (Sec.   1.27(a))...........................    $710.00
By other than a small entity.................................   1,420.00
 

    (b) Issue fee for issuing a design patent:

By a small entity (Sec.   1.27(a))...........................    $255.00
By other than a small entity.................................     510.00
 

    (c) Issue fee for issuing a plant patent:

By a small entity (Sec.   1.27(a))...........................    $340.00
By other than a small entity.................................     680.00
 

* * * * *
    5. Section 1.20 is proposed to be amended by revising paragraphs 
(e) through (g) 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.   1.27(a))...........................    $485.00
By other than a small entity.................................     970.00
 

    (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.   1.27(a))...........................  $1,115.00
By other than a small entity.................................   2,230.00
 

    (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.   1.27(a))...........................  $1,720.00
By other than a small entity.................................   3,440.00
 

* * * * *
    6. Section 1.492 is amended by revising paragraphs (a)(1) through 
(a)(3), (a)(5), (b) and (d) to read as follows:


Sec.  1.492  National stage fees.

* * * * *
    (a) * * *
    (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.   1.27(a))...........................    $390.00
By other than a small entity.................................     780.00
 

    (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.   1.27(a))...........................    $410.00
By other than a small entity.................................     820.00
 

    (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.   1.27(a))...........................    $575.00
By other than a small entity.................................   1,150.00
 

    (4) * * *
    (5) Where a search report on the international application has been 
prepared by the European Patent Office or the Japan Patent Office:

By a small entity (Sec.   1.27(a))...........................    $490.00
By other than a small entity.................................     980.00
 

    (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.   1.27(a))...........................     $46.00
By other than a small entity.................................      92.00
 

* * * * *
    (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.   1.27(a))...........................    $155.00
By other than a small entity.................................     310.00
 

PART 41--PRACTICE BEFORE THE BOARD OF PATENT APPEALS AND 
INTERFERENCES

    1. The authority citation for 37 CFR part 41 would continue to read 
as follows:

    Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 
135, unless otherwise noted.

    2. Section 41.20 is proposed to be amended by revising paragraphs 
(b)(1) through (b)(3) to read as follows:


Sec.  41.20  Fees.

* * * * *
    (b) Appeal Fees.
    (1) For filing a notice of appeal from the examiner to the Board:

By a small entity (Sec.   1.27(a) of this title).............    $175.00
By other than a small entity.................................     350.00
 

    (2) 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.   1.27(a) of this title).............    $175.00
By other than a small entity.................................     350.00
 


[[Page 32291]]

    (3) For filing a request for an oral hearing before the Board in an 
appeal under 35 U.S.C. 134:

By a small entity (Sec.   1.27(a) of this title).............    $155.00
By other than a small entity.................................     310.00
 


    Dated: May 30, 2006.
Jon W. Dudas,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. E6-8682 Filed 6-2-06; 8:45 am]
BILLING CODE 3510-16-P