[Federal Register Volume 78, Number 54 (Wednesday, March 20, 2013)]
[Rules and Regulations]
[Pages 17102-17108]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-06362]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

37 CFR Parts 1 and 41

[Docket No. PTO-C-2013-0010]
RIN 0651-AC86


Setting and Adjusting Patent Fees; Correction

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

ACTION: Interim rule.

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SUMMARY: The United States Patent and Trademark Office (Office) is 
correcting final regulations that were published in the Federal 
Register on January 18, 2013 (78 FR 4212) (``Fee Setting final rule'') 
to set and adjust patent fees as authorized by the Leahy-Smith America 
Invents Act (``AIA''). The Fee Setting rule became effective on March 
19, 2013 (except that certain regulations relating to international 
applications become effective on January 1, 2014). This rulemaking 
corrects those final regulations to revise minor inconsistencies within 
the Fee Setting final rule or arising from other recent rulemakings 
under the AIA. It also corrects minor inconsistencies with a few of the 
Regulations under the Patent Cooperation Treaty (PCT) and typographical 
errors.

DATES: Effective March 20, 2013.
    Comment deadline date: Written comments must be received on or 
before May 20, 2013.

ADDRESSES: Comments should be sent by electronic mail message over the 
Internet addressed to: [email protected]. Comments may also be 
submitted by postal mail addressed to: Mail Stop Comments CFO, Office 
of the Chief Financial Officer, P.O. Box 1450, Alexandria, Virginia 
22313-1450, marked to the attention of Michelle Picard, Office of the 
Chief Financial Officer.
    Comments may also be sent by electronic mail message over the 
Internet via the Federal eRulemaking Portal. See the Federal 
eRulemaking Portal Web site (http://www.regulations.gov) for additional 
instructions on providing comments via the Federal eRulemaking Portal.
    Although comments may be submitted by postal mail, the Office 
prefers to receive comments by electronic mail message over the 
Internet because sharing comments with the public is more easily 
accomplished. Electronic comments are preferred to be submitted in 
plain text, but also may be submitted in ADOBE[supreg] portable 
document format or MICROSOFT WORD[supreg] format. Comments not 
submitted electronically should be submitted on paper in a format that 
facilitates convenient digital scanning into ADOBE[supreg] portable 
document format.
    The comments will be available for public inspection at the Office 
of the Chief Financial Officer, currently located in Madison West, 
Tenth Floor, 600 Dulany Street, Alexandria, Virginia. Comments also 
will be available for viewing via the Office's Internet Web site 
(http://www.uspto.gov). Because comments will be made available for 
public inspection, information that the submitter does not desire to 
make public, such as an address or phone number, should not be included 
in the comments.

FOR FURTHER INFORMATION CONTACT: Michelle Picard, Office of the Chief 
Financial Officer, by telephone at (571) 272-6354 or by email at 
[email protected]; or Dianne Buie, Office of Planning and 
Budget, by telephone at (571) 272-6301 or by email at 
[email protected].

SUPPLEMENTARY INFORMATION: On January 18, 2013, the Office published 
the Fee Setting final rule setting and adjusting patent fees as 
authorized by the AIA. See Setting and Adjusting Patent Fees, 78 FR 
4212 (Jan. 18, 2013) (``Fee Setting final rule''). This interim rule is 
a procedural correction to minor inconsistencies within the Fee Setting 
final rule or arising from other recent rulemakings under the AIA, 
namely: Changes to Implement the First Inventor to File Provisions of 
the Leahy-Smith America Invents Act, 78 FR 11024 (Feb. 14, 2013) 
(``FITF final rule''); Changes to Implement Micro Entity Status for 
Paying Patent Fees, 77 FR 75019 (Dec. 19, 2012) (``Micro Entity final 
rule''); Changes to Implement the Inventor's Oath or Declaration 
Provisions of the Leahy-Smith America Invents Act, 77 FR 48776 (Aug. 
14, 2012) (``Inventor's Oath or Declaration final rule''); and Changes 
to Implement the Preissuance Submissions by Third Parties Provision of 
the Leahy-Smith America Invents Act, 77 FR 42150 (July 17, 2012) 
(``Third Party Submissions final rule''). It also corrects minor 
inconsistencies with the nomenclature and application of a few of the 
Regulations under the Patent Cooperation Treaty, as well as 
typographical errors. Good cause exists to make these minor corrections 
without prior notice and opportunity for comment and to be effective 
shortly after the effective date of the Fee Setting final rule to avoid 
inconsistent provisions. For ease of reference, this interim rule 
provides the full text of the corrected rules. These rules are 37 CFR 
1.17, 1.20, 1.445, 1.482, 41.37 and 41.45.

Brief Description of Corrections

    This interim rule corrects minor inconsistencies and typographical 
errors in the text of 37 CFR 1.17, 1.20, 1.445, 1.482, 41.37 and 41.45 
(which were published in the Federal Register on January 18, 2013 (78 
FR 4212)), as described briefly below.

1. Section 1.17

    In paragraph (b), revise ``For fees in proceedings before the 
Patent Trial and Appeal Board, see Sec.  41.20 of this title'' to ``For 
fees in proceedings before the Patent Trial and Appeal Board, see Sec.  
41.20 and Sec.  42.15 of this title'' to correct a typographical error 
in the Fee Setting final rule. See 78 FR 4285.
    In paragraph (g), add ``Sec.  1.46--for filing an application on 
behalf of an inventor by a person who otherwise shows sufficient 
proprietary interest in the matter'' and ``Sec.  1.55(f)--for filing a 
belated certified copy of a foreign application.'' These corrections 
are made because the FITF final rule established these fees under this 
paragraph. See 78 FR 11052.
    In paragraph (g), delete ``Sec.  1.47--for filing by other than all 
the inventors or a person not the inventor.'' This correction is made 
because the Inventor's Oath or Declaration final rule removed this fee. 
See 77 FR 48816.
    In paragraph (g), delete ``Sec.  1.295--for review of refusal to 
publish a statutory invention registration'' and ``Sec.  1.296--to 
withdraw a request for publication of a statutory invention 
registration filed on or after the date the notice of intent to publish 
issued.'' These corrections are made because the FITF final rule 
removed these fees. See 78 FR 11059.
    In subparagraph (i)(1), add ``Sec.  1.29(k)(3)--for processing a 
non-itemized fee deficiency based on an error in micro entity status.'' 
This correction is made because the Micro-

[[Page 17103]]

Entity final rule established this fee under this paragraph. See 77 FR 
75035.
    In subparagraph (i)(1), revise ``Sec.  1.41--for supplying the name 
or names of the inventor or inventors after the filing date without an 
oath or declaration as prescribed by Sec.  1.63, except in provisional 
applications'' to ``Sec.  1.41(b)--for supplying the name or names of 
the inventor or joint inventors in an application without either an 
application data sheet or the inventor's oath or declaration, except in 
provisional applications.'' This correction is made because the 
Inventor's Oath or Declaration final rule established this fee under 
this subparagraph. See 77 FR 48814.
    In subparagraph (i)(1), revise ``Sec.  1.53(b)(3)'' to ``Sec.  
1.53(c)(3)'' to correct a typographical error in the Fee Setting final 
rule. See 78 FR 4286.
    In subparagraph (i)(1), revise ``Sec.  1.55--for entry of late 
priority papers'' to ``Sec.  1.55--for entry of a priority claim or 
certified copy of a foreign application after payment of the issue 
fee.'' This correction is made because the FITF final rule established 
this fee under this paragraph. See 78 FR 11052.
    In subparagraph (i)(1), delete ``Sec.  1.99(e)--for processing a 
belated submission under Sec.  1.99.'' This correction is made because 
the Third Party Submissions final rule removed this fee. See 77 FR 
42173.
    In subparagraph (i)(1), delete ``Sec.  1.497(d)--for filing an oath 
or declaration pursuant to 35 U.S.C. 371(c)(4) naming an inventive 
entity different from the inventive entity set forth in the 
international stage.'' This correction is made because the Inventor's 
Oath or Declaration final rule removed this fee. See 77 FR 48824-25.
    In subparagraph (i)(2), delete ``By other than a small or micro 
entity.'' This correction addresses a typographical error in the Fee 
Setting final rule. See 78 FR 4267, Table 43.

2. Section 1.20

    In paragraph (d), delete ``By other than a small or micro entity.'' 
This correction addresses a typographical error in the Fee Setting 
final rule. See 78 FR 4223.

3. Section 1.445

    In subparagraph (a)(1)(i)(A), revise ``For a transmittal fee paid 
on or after January 1, 2014'' to ``For an international application 
having a receipt date that is on or after January 1, 2014.'' In 
subparagraph (a)(1)(i)(B), revise ``For a transmittal fee paid before 
January 1, 2014'' to ``For an international application having a 
receipt date that is before January 1, 2014.''
    In subparagraph (a)(2)(i), revise ``For a search fee paid on or 
after January 1, 2014'' to ``For an international application having a 
receipt date that is on or after January 1, 2014.'' In subparagraph 
(a)(2)(ii), revise ``For a search fee paid before January 1, 2014'' to 
``For an international application having a receipt date that is before 
January 1, 2014.''
    In subparagraph (a)(3)(i), revise ``For a supplemental search fee 
paid on or after January 1, 2014'' to ``For an international 
application having a receipt date that is on or after January 1, 
2014.'' In subparagraph (a)(3)(ii), revise ``For a supplemental search 
fee paid before January 1, 2014'' to ``For an international application 
having a receipt date that is before January 1, 2014.''
    The foregoing corrections ensure consistent nomenclature with and 
application of Rules 14-16 under the regulations adopted under the 
Patent Cooperation Treaty.
    In subparagraph (a)(4), delete 1.445(a)(4)(i) and 1.445(a)(4)(ii). 
This corrects an inconsistency within 37 CFR Sec.  1.445(a)(4) in the 
Fee Setting final rule. See 78 FR 4289.

4. Section 1.482

    In subparagraph (a)(1)(i)(A), revise ``For an international search 
fee filed on or after January 1, 2014'' to ``For an international 
preliminary examination fee paid on or after January 1, 2014.'' In 
subparagraph (a)(1)(i)(B), revise ``For an international search fee 
filed before January 1, 2014'' to ``For an international preliminary 
examination fee paid before January 1, 2014.''
    In subparagraph (a)(1)(ii)(A), revise ``For an international search 
fee filed on or after January 1, 2014'' to ``For an international 
preliminary examination fee paid on or after January 1, 2014.'' In 
subparagraph (a)(1)(ii)(B), revise ``For an international search fee 
filed before January 1, 2014'' to ``For an international preliminary 
examination fee paid before January 1, 2014.''
    In subparagraph (a)(2)(i), revise ``For an additional preliminary 
examination fee filed on or after January 1, 2014'' to ``If the 
international preliminary examination fee set forth in paragraph (a)(1) 
of this section was paid on or after January 1, 2014.'' In subparagraph 
(a)(2)(ii), revise ``For an additional preliminary examination fee 
filed before January 1, 2014'' to ``If the international preliminary 
examination fee set forth in paragraph (a)(1) of this section was paid 
before January 1, 2014.''
    The foregoing corrections ensure consistent nomenclature with and 
application of Rules 57 and 58 under the regulations adopted under the 
Patent Cooperation Treaty.

5. Section 41.37

    In paragraph (a), second sentence, replace ``Sec.  41.48'' with 
``Sec.  41.45'' to correct a typographical error in the Fee Setting 
final rule. See 78 FR 4291.

6. Section 41.45

    In paragraph (b), add ``to pay the'' so that the provision reads 
``On failure to pay the fee set forth in * * *.'' This corrects a 
typographical error in the Fee Setting final rule. See 78 FR 4291.

Rulemaking Considerations

    A. Administrative Procedure Act: This rulemaking is a procedural 
correction to revise minor inconsistencies within the Fee Setting final 
rule or arising from other recent rulemakings under the AIA, namely: 
The FITF final rule; the Micro Entity final rule; the Inventor's Oath 
or Declaration final rule; and the Third Party Submissions final rule. 
It also corrects minor inconsistencies with the nomenclature and 
application of a few of the Regulations under the Patent Cooperation 
Treaty, as well as typographical errors. This interim rule does not set 
or adjust fees under the fee setting authority provided in Section 10 
of the AIA. These changes do not alter the amount of fees or the 
obligation to pay fees, nor do they alter the substantive criteria of 
patentability or patent term adjustment. Therefore, these changes 
involve rules of agency practice and procedure, and are not subject to 
prior notice and an opportunity for comment. See 5 U.S.C. 553(b); see 
also Bachow Commc'ns, Inc. v. F.C.C., 237 F.3d 683, 690 (D.C. Cir. 
2001) (rules governing an application process are procedural under the 
Administrative Procedure Act).
    In addition, good cause exists to make these procedural changes 
without prior notice and opportunity for comment and to be effective 
immediately to avoid inconsistencies and confusion with the Fee Setting 
final rule.
    Although prior notice and opportunity for public comment are not 
required pursuant to 5 U.S.C. 553(b) or (c) (or any other law), nor is 
the thirty-day delay in effectiveness under 5 U.S.C. 553(d) required, 
the Office nonetheless provides the opportunity for comment as it seeks 
the benefit of the public's views on these corrections to the Fee 
Setting final rule.
    B. Regulatory Flexibility Act: For the reasons set forth herein, 
the Deputy General Counsel for General Law of the

[[Page 17104]]

United States Patent and Trademark Office has certified to the Chief 
Counsel for Advocacy of the Small Business Administration that changes 
in this rulemaking will not have a significant economic impact on a 
substantial number of small entities. See 5 U.S.C. 605(b).
    The changes in this rulemaking are procedural corrections to revise 
minor inconsistencies within the Fee Setting final rule or arising from 
other recent rulemakings under the AIA. This rulemaking also corrects 
minor inconsistencies with the nomenclature and application of a few of 
the Regulations under the Patent Cooperation Treaty, as well as 
typographical errors. This interim rule does not set or adjust fees 
under the fee setting authority provided in Section 10 of the AIA. 
These changes do not alter the amount of fees or the obligation to pay 
fees, nor do they alter the substantive criteria of patentability or 
patent term adjustment. These changes do not add any additional 
requirements (including information collection requirements) or fees 
for patent applicants or patentees. For these reasons, the changes in 
this rulemaking will not have a significant economic impact on a 
substantial number of small entities.
    C. Executive Order 12866 (Regulatory Planning and Review): This 
rulemaking has been determined to be not significant for purposes of 
Executive Order 12866 (Sept. 30, 1993).
    D. Executive Order 13563 (Improving Regulation and Regulatory 
Review): The Office has complied with Executive Order 13563. 
Specifically, the Office has, to the extent feasible and applicable: 
(1) Made a reasoned determination that the benefits justify the costs 
of the rule; (2) tailored the rule to impose the least burden on 
society consistent with obtaining the regulatory objectives; (3) 
selected a regulatory approach that maximizes net benefits; (4) 
specified performance objectives; (5) identified and assessed available 
alternatives; (6) involved the public in an open exchange of 
information and perspectives among experts in relevant disciplines, 
affected stakeholders in the private sector and the public as a whole, 
and provided on-line access to the rulemaking docket; (7) attempted to 
promote coordination, simplification, and harmonization across 
government agencies and identified goals designed to promote 
innovation; (8) considered approaches that reduce burdens and maintain 
flexibility and freedom of choice for the public; and (9) ensured the 
objectivity of scientific and technological information and processes.
    E. Executive Order 13132 (Federalism): This rulemaking does not 
contain policies with federalism implications sufficient to warrant 
preparation of a Federalism Assessment under Executive Order 13132 
(Aug. 4, 1999).
    F. Executive Order 13175 (Tribal Consultation): This rulemaking 
will not: (1) Have substantial direct effects on one or more Indian 
tribes; (2) impose substantial direct compliance costs on Indian tribal 
governments; or (3) preempt tribal law. Therefore, a tribal summary 
impact statement is not required under Executive Order 13175 (Nov. 6, 
2000).
    G. Executive Order 13211 (Energy Effects): This rulemaking is not a 
significant energy action under Executive Order 13211 because this 
rulemaking is not likely to have a significant adverse effect on the 
supply, distribution, or use of energy. Therefore, a Statement of 
Energy Effects is not required under Executive Order 13211 (May 18, 
2001).
    H. Executive Order 12988 (Civil Justice Reform): This rulemaking 
meets applicable standards to minimize litigation, eliminate ambiguity, 
and reduce burden as set forth in sections 3(a) and 3(b)(2) of 
Executive Order 12988 (Feb. 5, 1996).
    I. Executive Order 13045 (Protection of Children): This rulemaking 
does not concern an environmental risk to health or safety that may 
disproportionately affect children under Executive Order 13045 (Apr. 
21, 1997).
    J. Executive Order 12630 (Taking of Private Property): This 
rulemaking will not affect a taking of private property or otherwise 
have taking implications under Executive Order 12630 (Mar. 15, 1988).
    K. Congressional Review Act: Under the Congressional Review Act 
provisions of the Small Business Regulatory Enforcement Fairness Act of 
1996 (5 U.S.C. 801 et seq.), prior to issuing any final rule, the 
United States Patent and Trademark Office will submit a report 
containing the final rule and other required information to the United 
States Senate, the United States House of Representatives, and the 
Comptroller General of the Government Accountability Office.
    The changes in this rulemaking are not expected to result in an 
annual effect on the economy of 100 million dollars or more, a major 
increase in costs or prices, or significant adverse effects on 
competition, employment, investment, productivity, innovation, or the 
ability of United States-based enterprises to compete with foreign-
based enterprises in domestic and export markets. Therefore, this 
rulemaking is not expected to result in a ``major rule'' as defined in 
5 U.S.C. 804(2).
    L. Unfunded Mandates Reform Act of 1995: The changes set forth in 
this rulemaking do not involve a Federal intergovernmental mandate that 
will result in the expenditure by State, local, and tribal governments, 
in the aggregate, of 100 million dollars (as adjusted) or more in any 
one year, or a Federal private sector mandate that will result in the 
expenditure by the private sector of 100 million dollars (as adjusted) 
or more in any one year, and will not significantly or uniquely affect 
small governments. Therefore, no actions are necessary under the 
provisions of the Unfunded Mandates Reform Act of 1995. See 2 U.S.C. 
1501 et seq.
    M. National Environmental Policy Act: This rulemaking will not have 
any effect on the quality of the environment and is thus categorically 
excluded from review under the National Environmental Policy Act of 
1969. See 42 U.S.C. 4321 et seq.
    N. National Technology Transfer and Advancement Act: The 
requirements of section 12(d) of the National Technology Transfer and 
Advancement Act of 1995 (15 U.S.C. 272 note) are not applicable because 
this rulemaking does not contain provisions which involve the use of 
technical standards.
    O. Paperwork Reduction Act: The Paperwork Reduction Act of 1995 (44 
U.S.C. 3501 et seq.) requires that the Office consider the impact of 
paperwork and other information collection burdens imposed on the 
public. The collection of information involved in the Fee Setting final 
rule was submitted to OMB with that final rule as a new information 
collection request and was preapproved under OMB control number 0651-
0072. The changes in this interim rule are procedural corrections to 
revise minor inconsistencies within the Fee Setting final rule or 
arising from other recent rulemakings under the AIA. This rulemaking 
also corrects minor inconsistencies with the nomenclature and 
application of a few of the Regulations under the Patent Cooperation 
Treaty, as well as typographical errors. This interim rule does not set 
or adjust fees under the fee setting authority provided in Section 10 
of the AIA. These changes do not alter the amount of fees or the 
obligation to pay fees, nor do they alter the substantive criteria of 
patentability or patent term adjustment. These changes do not add any 
additional requirements (including information collection

[[Page 17105]]

requirements) or fees for patent applicants or patentees. Therefore, 
the Office is not resubmitting information collection packages to OMB 
for its review and approval because the changes in this rulemaking do 
not affect the information collection requirements associated with the 
information collections approved under OMB control number 0651-0072 or 
any other information collections.
    Notwithstanding any other provision of law, no person is required 
to respond to nor shall any 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.

List of Subjects

37 CFR Part 1

    Administrative practice and procedure, 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, 37 CFR parts 1 and 41 
are amended to read as follows:

PART 1--RULES OF PRACTICE IN PATENT CASES

0
1. The authority citation for 37 CFR part 1 continues to read as 
follows:

    Authority: 35 U.S.C. 2(b)(2).

0
2. Section 1.17 is revised to read as follows:


Sec.  1.17  Patent application and reexamination processing fees.

(a) Extension fees pursuant to Sec.   1.136(a):
(1) For reply within first month:
  By a micro entity (Sec.   1.29)..........................       $50.00
  By a small entity (Sec.   1.27(a)).......................      $100.00
  By other than a small or micro entity....................      $200.00
(2) For reply within second month:
  By a micro entity (Sec.   1.29)..........................      $150.00
  By a small entity (Sec.   1.27(a)).......................      $300.00
  By other than a small or micro entity....................      $600.00
(3) For reply within third month:
  By a micro entity (Sec.   1.29)..........................      $350.00
  By a small entity (Sec.   1.27(a)).......................      $700.00
  By other than a small or micro entity....................    $1,400.00
  (4) For reply within fourth month:.......................
  By a micro entity (Sec.   1.29)..........................      $550.00
  By a small entity (Sec.   1.27(a)).......................    $1,100.00
  By other than a small or micro entity....................    $2,200.00
(5) For reply within fifth month:
  By a micro entity (Sec.   1.29)..........................      $750.00
  By a small entity (Sec.   1.27(a)).......................    $1,500.00
  By other than a small or micro entity....................    $3,000.00
(b) For fees in proceedings before the Patent Trial and
 Appeal Board, see Sec.   41.20 and Sec.   42.15 of this
 title.
(c) For filing a request for prioritized examination under
 Sec.   1.102(e):
  By a micro entity (Sec.   1.29)..........................    $1,000.00
  By a small entity (Sec.   1.27(a)).......................    $2,000.00
  By other than a small or micro entity....................    $4,000.00
(d) For correction of inventorship in an application after
 the first action on the merits:
  By a micro entity (Sec.   1.29)..........................      $150.00
  By a small entity (Sec.   1.27(a)).......................      $300.00
  By other than a small or micro entity....................      $600.00
(e) To request continued examination pursuant to Sec.
 1.114:
(1) For filing a first request for continued examination
 pursuant to Sec.   1.114 in an application:
  By a micro entity (Sec.   1.29)..........................      $300.00
  By a small entity (Sec.   1.27(a)).......................      $600.00
  By other than a small or micro entity....................    $1,200.00
(2) For filing a second or subsequent request for continued
 examination pursuant to Sec.   1.114 in an application:
  By a micro entity (Sec.   1.29)..........................      $425.00
  By a small entity (Sec.   1.27(a)).......................      $850.00
  By other than a small or micro entity....................    $1,700.00
(f) For filing a petition under one of the following
 sections which refers to this paragraph:
  By a micro entity (Sec.   1.29)..........................      $100.00
  By a small entity (Sec.   1.27(a)).......................      $200.00
  By other than a small or micro entity....................      $400.00
 

    Sec.  1.36(a)--for revocation of a power of attorney by fewer than 
all of the applicants.
    Sec.  1.53(e)--to accord a filing date.
    Sec.  1.57(a)--to accord a filing date.
    Sec.  1.182--for decision on a question not specifically provided 
for.
    Sec.  1.183--to suspend the rules.
    Sec.  1.378(e)--for reconsideration of decision on petition 
refusing to accept delayed payment of maintenance fee in an expired 
patent.
    Sec.  1.741(b)--to accord a filing date to an application under 
Sec.  1.740 for extension of a patent term.

(g) For filing a petition under one of the following
 sections which refers to this paragraph:
  By a micro entity (Sec.   1.29)..........................       $50.00
  By a small entity (Sec.   1.27(a)).......................      $100.00
  By other than a small or micro entity....................      $200.00
 

    Sec.  1.12--for access to an assignment record.
    Sec.  1.14--for access to an application.
    Sec.  1.46--for filing an application on behalf of an inventor by a 
person who otherwise shows sufficient proprietary interest in the 
matter.
    Sec.  1.55(f)--for filing a belated certified copy of a foreign 
application.
    Sec.  1.59--for expungement of information.
    Sec.  1.103(a)--to suspend action in an application.
    Sec.  1.136(b)--for review of a request for extension of time when 
the provisions of Sec.  1.136(a) are not available.
    Sec.  1.377--for review of decision refusing to accept and record 
payment of a maintenance fee filed prior to expiration of a patent.
    Sec.  1.550(c)--for patent owner requests for extension of time in 
ex parte reexamination proceedings.
    Sec.  1.956--for patent owner requests for extension of time in 
inter partes reexamination proceedings.
    Sec.  5.12--for expedited handling of a foreign filing license.
    Sec.  5.15--for changing the scope of a license.
    Sec.  5.25--for retroactive license.

(h) For filing a petition under one of the following
 sections which refers to this paragraph:
  By a micro entity (Sec.   1.29)..........................       $35.00
  By a small entity (Sec.   1.27(a)).......................       $70.00
  By other than a small or micro entity....................      $140.00
 

    Sec.  1.19(g)--to request documents in a form other than provided 
in this part.
    Sec.  1.84--for accepting color drawings or photographs.
    Sec.  1.91--for entry of a model or exhibit.
    Sec.  1.102(d)--to make an application special.
    Sec.  1.138(c)--to expressly abandon an application to avoid 
publication.
    Sec.  1.313--to withdraw an application from issue.
    Sec.  1.314--to defer issuance of a patent.

(i) Processing fees:
(1) For taking action under one of the following sections
 which refers to this paragraph:
  By a micro entity (Sec.   1.29)..........................       $35.00
  By a small entity (Sec.   1.27(a)).......................       $70.00
  By other than a small or micro entity....................      $140.00
 

    Sec.  1.28(c)(3)--for processing a non-itemized fee deficiency 
based on an error in small entity status.
    Sec.  1.29(k)(3)--for processing a non-itemized fee deficiency 
based on an error in micro entity status.
    Sec.  1.41(b)--for supplying the name or names of the inventor or 
joint inventors in an application without either an application data 
sheet or the inventor's oath or declaration, except in provisional 
applications.
    Sec.  1.48--for correcting inventorship, except in provisional 
applications.
    Sec.  1.52(d)--for processing a nonprovisional application filed 
with a specification in a language other than English.
    Sec.  1.53(c)(3)--to convert a provisional application filed under 
Sec.  1.53(c) into a nonprovisional application under Sec.  1.53(b).
    Sec.  1.55--for entry of a priority claim or certified copy of a 
foreign application after payment of the issue fee.

[[Page 17106]]

    Sec.  1.71(g)(2)--for processing a belated amendment under Sec.  
1.71(g).
    Sec.  1.102(e)--for requesting prioritized examination of an 
application.
    Sec.  1.103(b)--for requesting limited suspension of action, 
continued prosecution application for a design patent (Sec.  1.53(d)).
    Sec.  1.103(c)--for requesting limited suspension of action, 
request for continued examination (Sec.  1.114).
    Sec.  1.103(d)--for requesting deferred examination of an 
application.
    Sec.  1.291(c)(5)--for processing a second or subsequent protest by 
the same real party in interest.
    Sec.  3.81--for a patent to issue to assignee, assignment submitted 
after payment of the issue fee.

  (2) For taking action under one of the following sections      $130.00
   which refers to this paragraph..........................
 

    Sec.  1.217--for processing a redacted copy of a paper submitted in 
the file of an application in which a redacted copy was submitted for 
the patent application publication.
    Sec.  1.221--for requesting voluntary publication or republication 
of an application.
    (j) [Reserved]

(k) For filing a request for expedited examination under
 Sec.   1.155(a):
  By a micro entity (Sec.   1.29)..........................      $225.00
  By a small entity (Sec.   1.27(a)).......................      $450.00
  By other than a small or micro entity....................      $900.00
(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 micro entity (Sec.   1.29)..........................      $160.00
  By a small entity (Sec.   1.27(a)).......................      $320.00
  By other than a small or micro entity....................      $640.00
(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 micro entity (Sec.   1.29)..........................      $475.00
  By a small entity (Sec.   1.27(a)).......................      $950.00
  By other than a small or micro entity....................    $1,900.00
(n) [Reserved]
(o) [Reserved]
(p) For an information disclosure statement under Sec.
 1.97(c) or (d) or for the document fee for a submission
 under Sec.   1.290:
  By a micro entity (Sec.   1.29)..........................       $45.00
  By a small entity (Sec.   1.27(a)).......................       $90.00
  By other than a small or micro entity....................      $180.00
(q) Processing fee for taking action under one of the             $50.00
 following sections which refers to this paragraph.........
 

    Sec.  1.41--to supply the name or names of the inventor or 
inventors after the filing date without a cover sheet as prescribed by 
Sec.  1.51(c)(1) in a provisional application.
    Sec.  1.48--for correction of inventorship in a provisional 
application.
    Sec.  1.53(c)(2)--to convert a nonprovisional application filed 
under Sec.  1.53(b) to a provisional application under Sec.  1.53(c).

(r) For entry of a submission after final rejection under
 Sec.   1.129(a):
  By a micro entity (Sec.   1.29)..........................      $210.00
  By a small entity (Sec.   1.27(a)).......................      $420.00
  By other than a small or micro entity....................      $840.00
(s) For each additional invention requested to be examined
 under Sec.   1.129(b):
  By a micro entity (Sec.   1.29)..........................      $210.00
  By a small entity (Sec.   1.27(a)).......................      $420.00
  By other than a small or micro entity....................      $840.00
(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) or for filing a request
 for the restoration of the right of priority under Sec.
 1.452:
  By a micro entity (Sec.   1.29)..........................      $355.00
  By a small entity (Sec.   1.27(a)).......................      $710.00
  By other than a small or micro entity....................    $1,420.00
 


0
3. Section 1.20 is revised to read as follows:


Sec.  1.20  Post issuance fees.

(a) For providing a certificate of correction for                $100.00
 applicant's mistake (Sec.   1.323)........................
(b) Processing fee for correcting inventorship in a patent       $130.00
 (Sec.   1.324)............................................
(c) In reexamination proceedings:
(1) For filing a request for ex parte reexamination (Sec.
 1.510(a)):
  By a micro entity (Sec.   1.29)..........................    $3,000.00
  By a small entity (Sec.   1.27(a)).......................    $6,000.00
  By other than a small or micro entity....................   $12,000.00
(2) [Reserved]
(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 micro entity (Sec.   1.29)..........................      $105.00
  By a small entity (Sec.   1.27(a)).......................      $210.00
  By other than a small or micro entity....................      $420.00
(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 micro entity (Sec.   1.29)..........................       $20.00
  By a small entity (Sec.   1.27(a)).......................       $40.00
  By other than a small or micro entity....................       $80.00
(5) If the excess claims fees required by paragraphs (c)(3)
 and (4) of this section are not paid with the request for
 reexamination or on later presentation of the claims for
 which the excess claims fees are due, the fees required by
 paragraphs (c)(3) and (4) must be paid or the claims
 canceled by amendment prior to the expiration of the time
 period set for reply by the Office in any notice of fee
 deficiency in order to avoid abandonment.
(6) For filing a petition in a reexamination proceeding,
 except for those specifically enumerated in Sec.  Sec.
 1.550(i) and 1.937(d):
  By a micro entity (Sec.   1.29)..........................      $485.00
  By a small entity (Sec.   1.27(a)).......................      $970.00
  By other than a small or micro entity....................    $1,940.00
(7) For a refused request for ex parte reexamination under
 Sec.   1.510 (included in the request for ex parte
 reexamination fee at Sec.   1.20(c)(1)):
  By a micro entity (Sec.   1.29)..........................      $900.00
  By a small entity (Sec.   1.27(a)).......................    $1,800.00
  By other than a small or micro entity....................    $3,600.00
(d) For filing each statutory disclaimer (Sec.   1.321)....      $160.00
(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 micro entity (Sec.   1.29)..........................      $400.00
  By a small entity (Sec.   1.27(a)).......................      $800.00
  By other than a small or micro entity....................    $1,600.00
(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 micro entity (Sec.   1.29)..........................      $900.00
  By a small entity (Sec.   1.27(a)).......................    $1,800.00
  By other than a small or micro entity....................    $3,600.00
(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 micro entity (Sec.   1.29)..........................    $1,850.00
  By a small entity (Sec.   1.27(a)).......................    $3,700.00
  By other than a small or micro entity....................    $7,400.00
(h) Surcharge for paying a maintenance fee during the six-
 month grace period following the expiration of three years
 and six months, seven years and six months, and eleven
 years and six months after the date of the original grant
 of a patent based on an application filed on or after
 December 12, 1980:
  By a micro entity (Sec.   1.29)..........................       $40.00
  By a small entity (Sec.   1.27(a)).......................       $80.00
  By other than a small or micro entity....................      $160.00

[[Page 17107]]

 
(i) Surcharge for accepting a maintenance fee after
 expiration of a patent for non-timely payment of a
 maintenance fee where the delay in payment is shown to the
 satisfaction of the Director to have been--
(1) Unavoidable:
  By a micro entity (Sec.   1.29)..........................      $175.00
  By a small entity (Sec.   1.27(a)).......................      $350.00
  By other than a small or micro entity....................      $700.00
(2) Unintentional:
  By a micro entity (Sec.   1.29)..........................      $410.00
  By a small entity (Sec.   1.27(a)).......................      $820.00
  By other than a small or micro entity....................    $1,640.00
(j) For filing an application for extension of the term of
 a patent..................................................
Application for extension under Sec.   1.740...............    $1,120.00
Initial application for interim extension under Sec.             $420.00
 1.790.....................................................
Subsequent application for interim extension under Sec.          $220.00
 1.790.....................................................
(k) In supplemental examination proceedings:
(1) For processing and treating a request for supplemental
 examination:
  By a micro entity (Sec.   1.29)..........................    $1,100.00
  By a small entity (Sec.   1.27(a)).......................    $2,200.00
  By other than a small or micro entity....................    $4,400.00
(2) For ex parte reexamination ordered as a result of a
 supplemental examination proceeding:
  By a micro entity (Sec.   1.29)..........................    $3,025.00
  By a small entity (Sec.   1.27(a)).......................    $6,050.00
  By other than a small or micro entity....................   $12,100.00
(3) For processing and treating, in a supplemental
 examination proceeding, a non-patent document over 20
 sheets in length, per document:
(i) Between 21 and 50 sheets:
  By a micro entity (Sec.   1.29)..........................       $45.00
  By a small entity (Sec.   1.27(a)).......................       $90.00
  By other than a small or micro entity....................      $180.00
(ii) For each additional 50 sheets or a fraction thereof:
  By a micro entity (Sec.   1.29)..........................       $70.00
  By a small entity (Sec.   1.27(a)).......................      $140.00
  By other than a small or micro entity....................      $280.00
 


0
4. Section 1.445 is revised to read as follows:


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

    (a) The following fees and charges for international applications 
are established by law or by the Director under the authority of 35 
U.S.C. 376:
    (1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14) 
consisting of:
    (i) A basic portion:

(A) For an international application having a receipt date
 that is on or after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................       $60.00
  By a small entity (Sec.   1.27(a)).......................      $120.00
  By other than a small or micro entity....................      $240.00
(B) For an international application having a receipt date       $240.00
 that is before January 1, 2014............................
(ii) A non-electronic filing fee portion for any
 international application designating the United States of
 America that is filed on or after November 15, 2011, other
 than by the Office electronic filing system, except for a
 plant application:
  By a small entity (Sec.   1.27(a)).......................      $200.00
  By other than a small entity.............................      $400.00
(2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):
(i) For an international application having a receipt date
 that is on or after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................      $520.00
  By a small entity (Sec.   1.27(a)).......................    $1,040.00
  By other than a small or micro entity....................    $2,080.00
(ii) For an international application having a receipt date    $2,080.00
 that is before January 1, 2014............................
(3) A supplemental search fee when required, per additional
 invention:
(i) For an international application having a receipt date
 that is on or after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................      $520.00
  By a small entity (Sec.   1.27(a)).......................    $1,040.00
  By other than a small or micro entity....................    $2,080.00
(ii) For an international application having a receipt date    $2,080.00
 that is before January 1, 2014............................
 

    (4) A fee equivalent to the transmittal fee in paragraph (a)(1) of 
this section that would apply if the USPTO was the Receiving Office for 
transmittal of an international application to the International Bureau 
for processing in its capacity as a Receiving Office (PCT Rule 19.4).
    (b) The international filing fee shall be as prescribed in PCT Rule 
15.

0
5. Section 1.482 is revised to read as follows:


Sec.  1.482  International preliminary examination fees.

    (a) The following fees and charges for international preliminary 
examination are established by the Director under the authority of 35 
U.S.C. 376:
    (1) The following preliminary examination fee is due on filing the 
Demand:
    (i) If an international search fee as set forth in Sec.  
1.445(a)(2) has been paid on the international application to the 
United States Patent and Trademark Office as an International Searching 
Authority:

(A) For an international preliminary examination fee paid
 on or after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................      $150.00
  By a small entity (Sec.   1.27(a)).......................      $300.00
  By other than a small or micro entity....................      $600.00
(B) For an international preliminary examination fee paid        $600.00
 before January 1, 2014....................................
(ii) If the International Searching Authority for the
 international application was an authority other than the
 United States Patent and Trademark Office:
(A) For an international preliminary examination fee paid
 on or after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................      $190.00
  By a small entity (Sec.   1.27(a)).......................      $380.00
  By other than a small or micro entity....................      $760.00
(B) For an international preliminary examination fee paid
 before January 1, 2014 $750.00............................
(2) An additional preliminary examination fee when
 required, per additional invention:
(i) If the international preliminary examination fee set
 forth in paragraph (a)(1) of this section was paid on or
 after January 1, 2014:
  By a micro entity (Sec.   1.29)..........................      $150.00
  By a small entity (Sec.   1.27(a)).......................      $300.00
  By other than a small or micro entity....................      $600.00
(ii) If the international preliminary examination fee set        $600.00
 forth in paragraph (a)(1) of this section was paid before
 January 1, 2014...........................................
 

    (b) The handling fee is due on filing the Demand and shall be 
prescribed in PCT Rule 57.

PART 41--PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD

0
6. The authority citation for 37 CFR part 41 continues to read as 
follows:

    Authority:  35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 
135, and Pub. L. 112-29.


0
7. Section 41.37 is amended by revising paragraphs (a) and (b) to read 
as follows:


Sec.  41.37  Appeal brief.

    (a) Timing. Appellant must file a brief under this section within 
two months from the date of filing the notice of appeal under Sec.  
41.31. The appeal brief fee in an application or ex parte reexamination 
proceeding is $0.00, but if the appeal results in an examiner's answer, 
the appeal forwarding fee set forth in Sec.  41.20(b)(4) must be paid 
within the time period specified in Sec.  41.45 to avoid dismissal of 
an appeal.
    (b) Failure to file a brief. On failure to file the brief within 
the period specified in paragraph (a) of this section, the appeal will 
stand dismissed.
* * * * *

0
8. Section 41.45 is revised to read as follows:


Sec.  41.45  Appeal forwarding fee.

    (a) Timing. Appellant in an application or ex parte reexamination 
proceeding must pay the fee set forth in Sec.  41.20(b)(4) within the 
later of two months from the date of either the examiner's answer, or a 
decision refusing to grant a petition under Sec.  1.181 of this chapter 
to designate a new ground of rejection in an examiner's answer.
    (b) Failure to pay appeal forwarding fee. On failure to pay the fee 
set forth in Sec.  41.20(b)(4) within the period specified in paragraph 
(a) of this section, the appeal will stand dismissed.

[[Page 17108]]

    (c) Extensions of time. Extensions of time under Sec.  1.136(a) of 
this title for patent applications are not applicable to the time 
period set forth in this section. See Sec.  1.136(b) of this title for 
extensions of time to reply for patent applications and Sec.  1.550(c) 
of this title for extensions of time to reply for ex parte 
reexamination proceedings.

    Dated: March 14, 2013.
Teresa Stanek Rea,
Acting Under Secretary of Commerce for Intellectual Property and Acting 
Director of the United States Patent and Trademark Office.
[FR Doc. 2013-06362 Filed 3-19-13; 8:45 am]
BILLING CODE 3510-16-P