United States Patent and Trademark Office OG Notices: 27 June 2006
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: Tamara.McClure@uspto.gov. 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
Tamara.McClure@uspto.gov, 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 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 r
equired 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.
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:
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
submitted in compliance with the Office electronic filing
system (Sec. 1.27(b)(2)).................................. $75.00
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)
(Secs. 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:
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 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):
(Secs. 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
(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
May 30, 2006 JON W. DUDAS
Under Secretary of Commerce for
Intellectual Property and Director of the
United States Patent and Trademark Office