| Fees, Deposit Accounts, Credit Cards, Refunds, etc. |
Referenced Items (77, 78, 79, 80, 81, 82, 83, 84, 85, 86, 87, 88, 89, 90, 91, 92, 93, 94, 95, 96, 97, 98, 99, 100) |
(80) DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
37 CFR Parts 1 and 41
PTO-C-2010-0019
RIN 0651-AC44
Revision of Patent Fees for
Fiscal Year 2012
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Proposed rule.
SUMMARY: The United States Patent and Trademark Office (Office) is
proposing to adjust certain patent fee amounts for fiscal year 2012 to
reflect fluctuations in the Consumer Price Index (CPI). The patent statute
provides for the annual CPI adjustment of patent fees set by statute to
recover the higher costs associated with doing business.
DATE: Written comments must be received on or before July 27, 2011. No
public hearing will be held.
ADDRESSES: You may submit comments, identified by RIN number RIN
0651-AC44, by any of the following methods:
. Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
. E-mail: Walter.Schlueter@uspto.gov. Include RIN number RIN 0651-AC44
in the subject line of the message.
. Fax: (571) 273-6299, marked to the attention of Walter Schlueter.
. Mail: Director of the United States Patent and Trademark Office, PO
Box 1450, Alexandria, VA 22313-1450, marked to the attention of Walter
Schlueter.
Instructions: All submissions received must include the agency name and
Regulatory Information Number (RIN) for this proposed 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: Walter Schlueter by e-mail at
Walter.Schlueter@uspto.gov, by telephone at (571) 272-6299, or by fax at
(571) 273-6299.
SUPPLEMENTARY INFORMATION: The USPTO is proposing to adjust certain patent
fees in accordance with the applicable provisions of title 35, United
States Code, as amended by the Consolidated Appropriations Act (Pub. L.
108-447, 118 Stat. 2809 (2004)).
BACKGROUND: Statutory Provisions: Patent fees are set by or under the
authority provided in 35 U.S.C. 41, 119, 120, 132(b), 156, 157(a), 255,
302, 311, 376, section 532(a)(2) of the Uruguay Round Agreements Act (URAA)
(Pub. L. 103-465, § 532(a)(2), 108 Stat. 4809, 4985 (1994)), and section
4506 of the American Inventors Protection Act of 1999 (AIPA) (Pub. L.
106-113, 113 Stat. 1501, 1501A-565 (1999)). 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.
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Section 41(g) of title 35, United States Code, provides that new fee
amounts established by the Director under 35 U.S.C. 41 may take effect
thirty days after notice in the Federal Register and the Official Gazette
of the United States Patent and Trademark Office.
The fiscal year 2005 Consolidated Appropriations Act (section 801 of
Division B) provided that 35 U.S.C. 41(a), (b), and (d) shall be
administered in a manner that revises patent application fees (35 U.S.C.
41(a)) and patent maintenance fees (35 U.S.C. 41(b)), and provides for a
separate filing fee (35 U.S.C. 41(a)), search fee (35 U.S.C. 41(d)(1)),
and examination fee (35 U.S.C. 41(a)(3)) during fiscal years 2005 and 2006.
See Pub. L. 108-447, 118 Stat. 2809, 2924-30 (2004). The patent and
trademark fee provisions of the fiscal year 2005 Consolidated
Appropriations Act have been extended through September 30, 2011, via the
Omnibus Appropriations Act, 2009. See Pub. L. 112-4, 125 Stat. 6 (2011);
Pub. L. 111-322, 124 Stat. 3518 (2010); Pub. L. 111-317, 124 Stat. 3454
(2010); Pub. L. 111-290, 124 Stat. 3063 (2010); Pub. L. 111-242, 124 Stat.
2607 (2010); Pub. L. 111-224, 124 Stat. 2385 (2010); Pub. L. 111-117, 123
Stat. 3034 (2009); Pub. L. 111-8, 123 Stat. 524 (2009); Pub. L. 111-6, 123
Stat. 522 (2009); Pub. L. 111-5, 123 Stat. 115 (2009); Pub. L. 110-329, 122
Stat. 3574 (2008); Pub. L. 110-161, 121 Stat. 1844 (2007); Pub. L. 110-149,
121 Stat. 1819 (2007); Pub. L. 110-137, 121 Stat. 1454 (2007); Pub. L.
110-116, 121 Stat. 1295 (2007); Pub. L. 110-92, 121 Stat. 989 (2007); Pub.
L. 110-5, 121 Stat. 8 (2007); Pub. L. 109-383, 120 Stat. 2678 (2006); Pub.
L. 109-369, 120 Stat. 2642 (2006); and Pub. L. 109-289, 120 Stat. 1257
(2006). The USPTO anticipates the enactment of legislation that would
extend the patent and trademark fee provisions of the fiscal year 2005
Consolidated Appropriations Act through fiscal year 2012.
Fee Adjustment Level: The patent statutory fees established by 35
U.S.C. 41(a) and (b) are proposed to be adjusted to reflect the most recent
fluctuations occurring during the twelve-month period prior to publication
of the final rule, as measured by the Consumer Price Index for All Urban
Consumers (CPI-U). The Office of Management and Budget (OMB) has advised
that in calculating these fluctuations, the USPTO should use CPI-U data as
determined by the Secretary of Labor.
In accordance with previous fee-setting methodology, the USPTO proposes
to adjust patent statutory fee amounts based on the most recent annual
increase in the CPI-U, as reported by the Secretary of Labor, at the time
the final rule is implemented. Proposed adjusted fee amounts are not
included in this proposed rule in order to avoid confusion that could arise
from using projected increases in the proposed rule that may not end up
matching actual increases at the time of the final rule. Annual increases
to the CPI-U are published monthly, and before the final fee amounts are
published, the fee amounts may be adjusted based on actual fluctuations in
the CPI-U. Adjusted patent statutory fee amounts based on the most recent
annual increase in the CPI-U, as reported by the Secretary of Labor, will
be published in a final rules notice.
The fee amounts will be 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 will be rounded to the nearest $10.
Fees of less than $100 will be rounded to an even number so that any
comparable small entity fee will be a whole number.
General Procedures: Any 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. The amount of the fee to be paid will be determined
by the time of filing. The time of filing will be determined either
according to the date of receipt in the Office (37 CFR 1.6) or the date
reflected on a proper Certificate of Mailing or Transmission, where such a
certificate is authorized under 37 CFR 1.8. Use of a Certificate of
Mailing or Transmission is not authorized for items that are specifically
excluded from the provisions of 37 CFR 1.8. Items for which a Certificate
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of Mailing or Transmission under 37 CFR 1.8 is not authorized include, for
example, filing of 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 the USPTO 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.
To ensure clarity in the implementation of the proposed new fees, a
discussion of specific sections is set forth below.
Discussion of Specific Rules
37 CFR 1.16 National application filing, and examination fees: Section
1.16, paragraphs (a) through (e) , (h) through (j) and (o) through (s), if
revised as proposed, would adjust fees established therein to reflect
fluctuations in the CPI-U.
37 CFR 1.17 Patent application and reexamination processing fees:
Section 1.17, paragraphs (a)(1) through (a)(5), (l), and (m), if revised as
proposed, would adjust fees established therein to reflect fluctuations in
the CPI-U.
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-U.
37 CFR 1.20 Post issuance fees: Section 1.20, paragraphs (c)(3)-(c)(4),
and (d) through (g), if revised as proposed, would adjust fees established
therein to reflect fluctuations in the CPI-U.
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-U.
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-U.
Example of Fee Amount Adjustments: Adjusted patent statutory fee
amounts based on the most recent annual increase in the CPI-U, as reported
by the Secretary of Labor, will be published in a final rules notice.
Table 1 provides examples of possible fee adjustments based on the February
2010 to February 2011 annual CPI-U increase of 2.3%.
Table 1
37 CFR Title Current Fee Fee Amount Fee Adjustment
Amount (2.3%
Increase)
1.16(a)(1) Filing of Utility $330 $340 $10
Patent (SE) $165 (SE) $170 (SE) $5
Application (on
or after
12/8/2004)
1.16(a)(1) Filing of Utility $82 $84 $2
Patent
Application
(electronic filing
for small entities)
(on or after
12/8/2004)
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1.16(a)(2) Utility $850 $870 $20
Application (SE) $425 (SE) $435 (SE) $10
Filing (before
12/8/2004)
1.16(b)(1) Filing of Design $220 $230 $10
Patent (SE) $110 (SE) $115 (SE) $5
Application (on
or after
12/8/2004)
1.16(b)(1) Filing of Design $220 $230 $10
Patent (SE) $110 (SE) $115 (SE) $5
Application (CPA)
(on or after
12/8/2004)
1.16(b)(2) Design $380 $390 $10
Application Filing (SE) $190 (SE) $195 (SE) $5
(before 12/8/2004)
1.16(b)(2) Design $380 $390 $10
Application Filing (SE) $190 (SE) $195 (SE) $5
(CPA)(before
12/8/2004)
1.16(c)(1) Filing of Plant $220 $230 $10
Patent Application (SE) $110 (SE) $115 (SE) $5
(on or after
12/8/2004)
1.16(c)(2) Plant Application $600 $610 $10
Filing (before (SE) $300 (SE) $305 (SE) $5
12/8/2004)
1.16(d) Provisional $220 $230 $10
Application Filing (SE) $110 (SE) $115 (SE) $5
1.16(e)(1) Filing of Reissue $330 $340 $10
Patent Application (SE) $165 (SE) $170 (SE) $5
(on or after
12/8/2004)
1.16(e)(1) Filing of Reissue $330 $340 $10
Patent Application (SE) $165 (SE) $170 (SE) $5
(CPA)(on or after
12/8/2004)
1.16(e)(2) Reissue Application $850 $870 $20
Filing (before (SE) $425 (SE) $435 (SE) $10
12/8/2004)
1.16(e)(2) Reissue Application $850 $870 $20
Filing (CPA)(before (SE) $425 (SE) $435 (SE) $10
12/8/2004)
1.16(h) Independent Claims $220 $230 $10
in Excess of Three (SE) $110 (SE) $115 (SE) $5
1.16(h) Reissue Independent $220 $230 $10
Claims in Excess of (SE) $110 (SE) $115 (SE) $5
Three
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1.16(i) Claims in Excess of $52 $52 $0
Twenty (SE) $26 (SE) $26 (SE) $0
1.16(i) Reissue Total $52 $52 $0
Claims in Excess of (SE) $26 (SE) $26 (SE) $0
Twenty
1.16(j) Multiple Dependent $390 $400 $10
Claims (SE) $195 (SE) $200 (SE) $5
1.16(o) Utility Patent $220 $230 $10
Examination (SE) $110 (SE) $115 (SE) $5
1.16(p) Design Patent $140 $140 $0
Examination (SE) $70 (SE) $70 (SE) $0
1.16(q) Plant Patent $170 $170 $0
Examination (SE) $85 (SE) $85 (SE) $0
1.16(r) Reissue Patent $650 $660 $10
Examination (SE) $325 (SE) $330 (SE) $5
1.16(s) Utility Application $270 $280 $10
Size Fee - For each (SE) $135 (SE) $140 (SE) $5
additional 50 sheets
that exceeds 100
sheets
1.16(s) Design Application $270 $280 $10
Size Fee- For each (SE) $135 (SE) $140 (SE) $5
additional 50 sheets
that exceeds 100
sheets
1.16(s) Plant Application $270 $280 $10
Size Fee- For each (SE) $135 (SE) $140 (SE) $5
additional 50 sheets
that exceeds 100
sheets
1.16(s) Reissue Application $270 $280 $10
Size Fee- For each (SE) $135 (SE) $140 (SE) $5
additional 50 sheets
that exceeds 100
sheets
1.16(s) Provisional $270 $280 $10
Application Size (SE) $135 (SE) $140 (SE) $5
Fee- For each
additional 50 sheets
that exceeds 100 sheets
1.17(a)(1) Extension for $130 $130 $0
Response within (SE) $65 (SE) $65 (SE) $0
First Month
1.17(a)(2) Extension for $490 $500 $10
Response within (SE) $245 (SE) $250 (SE) $5
Second Month
1.17(a)(3) Extension for $1,110 $1,120 $10
Response within (SE) $555 (SE) $560 (SE) $5
Third Month
1.17(a)(4) Extension for $1,730 $1,740 $10
Response within (SE) $865 (SE) $870 (SE) $5
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Fourth Month
1.17(a)(5) Extension for $2,350 $2,360 $10
Response within (SE) $1,175 (SE) $1,180 (SE) $5
Fifth Month
1.17(l) Petition to Revive $540 $550 $10
Unavoidably (SE) $270 (SE) $275 (SE) $5
Abandoned
Application
1.17(m) Petition to Revive $1,620 $1,660 $40
Unintentionally (SE) $810 (SE) $830 (SE) $20
Abandoned
Application
1.18(a) Utility Issue $1,510 $1,540 $30
(SE) $755 (SE) $770 (SE) $15
1.18(a) Reissue Issue $1,510 $1,540 $30
(SE) $755 (SE) $770 (SE) $15
1.18(b) Design Issue $860 $880 $20
(SE) $430 (SE) $440 (SE) $10
1.18(c) Plant Issue $1,190 $1,220 $30
(SE) $595 (SE) $610 (SE) $15
1.20(c)(3) Reexamination $220 $230 $10
Independent Claims (SE) $110 (SE) $115 (SE) $5
in Excess of Three
1.20(c)(4) Reexamination Total $52 $52 $0
Claims in Excess of (SE) $26 (SE) $26 (SE) $0
Twenty
1.20(d) Statutory $140 $140 $0
Disclaimer (SE) $70 (SE) $70 (SE) $0
1.20(e) First Stage $980 $1,000 $20
Maintenance (SE) $490 (SE) $500 (SE) $10
1.20(f) Second Stage $2,480 $2,540 $60
Maintenance (SE) $1,240 (SE) $1,270 (SE) $30
1.20(g) Third Stage $4,110 $4,200 $90
Maintenance (SE) $2,055 (SE) $2,100 (SE) $45
1.492(a) Filing of PCT $330 $340 $10
National Stage (SE) $165 (SE) $170 (SE) $5
Application
1.492(c)(2) PCT National Stage $220 $230 $10
Examination - All (SE) $110 (SE) $115 (SE) $5
Other Situations
1.492(d) Independent Claims $220 $230 $10
in Excess of Three (SE) $110 (SE) $115 (SE) $5
1.492(e) Total Claims in $52 $52 $0
Excess of Twenty (SE) $26 (SE) $26 (SE) $0
1.492(f) Multiple Dependent $390 $400 $10
Claims (SE) $195 (SE) $200 (SE) $5
1.492(j) PCT National Stage $270 $280 $10
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Application Size (SE) $135 (SE) $140 (SE) $5
Fee
41.20(b)(1) Notice of Appeal $540 $550 $10
(SE) $270 (SE) $275 (SE) $5
41.20(b)(2) Filing a Brief in $540 $550 $10
Support of an (SE) $270 (SE) $275 (SE) $5
Appeal
41.20(b)(3) Request for Oral $1,080 $1,100 $20
Hearing (SE) $540 (SE) $550 (SE) $10
Rule Making Considerations:
A. Initial Regulatory Flexibility Analysis:
1. Description of the reasons that action by the agency is being
considered: The USPTO is proposing to adjust the patent fees set under 35
U.S.C. 41(a) and (b) to ensure proper funding for effective operations.
The patent fee CPI adjustment is a routine adjustment that has generally
occurred on an annual basis when necessary to recover the higher costs of
USPTO operations that occur due to the increase in the price of products
and services.
2. Succinct statement of the objectives of, and legal basis for, the
proposed rules: The objective of the proposed change is to adjust patent
fees set under 35 U.S.C. 41(a) and (b) to recover the higher costs of USPTO
operations. Patent fees are set by or under the authority provided in 35
U.S.C. 41, 119, 120, 132(b), 156, 157(a), 255, 302, 311, 376, section
532(a)(2) of the URAA, and 4506 of the AIPA. 35 U.S.C. 41(f) provides that
fees established under 35 U.S.C. 41(a) and (b) may be adjusted ever year to
reflect fluctuations in the CPI over the previous twelve months.
3. Description and estimate of the number of affected small entities:
The Small Business Administration (SBA) small business size standards
applicable to most analyses conducted to comply with the Regulatory
Flexibility Act are set forth in 13 CFR 121.201. These regulations
generally define small businesses as those with fewer than a maximum number
of employees or less than a specified level of annual receipts for the
entity's industrial sector or North American Industry Classification System
(NAICS) code. The USPTO, however, has formally adopted an alternate size
standard as the size standard for the purpose of conducting an analysis or
making a certification under the Regulatory Flexibility Act for
patent-related regulations. See Business Size Standard for Purposes of
United States Patent and Trademark Office Regulatory Flexibility Analysis
for Patent-Related Regulations, 71 FR 67109 (Nov. 20, 2006), 1313 Off. Gaz.
Pat. Office 60 (Dec. 12, 2006). This alternate small business size
standard is the previously established size standard that identifies the
criteria entities must meet to be entitled to pay reduced patent fees. See
13 CFR 121.802. If patent applicants identify themselves on the patent
application as qualifying for reduced patent fees, the USPTO captures this
data in the Patent Application Location and Monitoring (PALM) database
system, which tracks information on each patent application submitted to
the USPTO.
Unlike the SBA small business size standards set forth in 13 CFR 121.201,
this size standard is not industry-specific. Specifically, the USPTO
definition of small business concern for Regulatory Flexibility Act
purposes is a business or other concern that: (1) meets the SBA's
definition of a "business concern or concern" set forth in 13 CFR 121.105;
and (2) meets the size standards set forth in 13 CFR 121.802 for the
purpose of paying reduced patent fees, namely an entity: (a) whose number
of employees, including affiliates, does not exceed 500 persons; and (b)
which has not assigned, granted, conveyed, or licensed (and is under no
obligation to do so) any rights in the invention to any person who made it
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and could not be classified as an independent inventor, or to any concern
which would not qualify as a non-profit organization or a small business
concern under this definition. See Business Size Standard for Purposes of
United States Patent and Trademark Office Regulatory Flexibility Analysis
for Patent-Related Regulations, 71 FR at 67112 (November 20, 2006), 1313
Off. Gaz. Pat. Office at 63 (December 12, 2006).
The changes in this proposed rule will apply to any small entity that
files a patent application, or has a pending patent application or
unexpired patent. The changes in this proposed rule will specifically
apply when an applicant or patentee pays an application filing or national
stage entry fee, search fee, examination fee, extension of time fee,
notice of appeal fee, appeal brief fee, request for an oral hearing fee,
petition to revive fee, issue fee, or patent maintenance fee.
The USPTO has been advised that a number of small entity applicants and
patentees do not claim small entity status for various reasons. See
Business Size Standard for Purposes of United States Patent and Trademark
Office Regulatory Flexibility Analysis for Patent-Related Regulations, 71
FR at 67110 (November 20, 2006), 1313 Off. Gaz. Pat. Office at 61 (December
12, 2006). Therefore, the USPTO is also considering all other entities
paying patent fees as well.
4. Description of the projected reporting, recordkeeping and other
compliance requirements of the proposed rules, including an estimate of the
classes of small entities which will be subject to the requirement and the
type of professional skills necessary for preparation of the report or
record: This notice does not propose any reporting, recordkeeping and
other compliance requirements. This notice proposes only to adjust patent
fees (as discussed previously) to reflect changes in the CPI.
5. Description of any significant alternatives to the proposed rules
which accomplish the stated objectives of applicable statutes and which
minimize any significant economic impact of the proposed rules on small
entities: The alternative of not adjusting patent fees would have a lesser
economic impact on small entities, but would not accomplish the stated
objectives of applicable statutes. The USPTO is proposing to adjust the
patent fees to ensure proper funding for effective operations. The patent
fee CPI adjustment is a routine adjustment that has generally occurred on
an annual basis to recover the higher costs of USPTO operations that occur
due to the increase in the price of products and services and to recover
the estimated cost to the USPTO for processing activities and services and
materials relating to patents and trademarks, respectively, including
proportionate shares of the administrative costs of the USPTO. The lack of
proper funding for effective operations would result in a significant
increase in patent pendency levels.
6. Identification, to the extent practicable, of all relevant Federal
rules which may duplicate, overlap or conflict with the proposed rules:
The USPTO is the sole agency of the United States Government responsible
for administering the provisions of title 35, United States Code,
pertaining to examination and granting patents. Therefore, no other
Federal, state, or local entity shares jurisdiction over the examination
and granting of patents.
Other countries, however, have their own patent laws, and an entity
desiring a patent in a particular country must make an application for
patent in that country, in accordance with the applicable law. Although
the potential for overlap exists internationally, this cannot be avoided
except by treaty (such as the Paris Convention for the Protection of
Industrial Property, or the Patent Cooperation Treaty (PCT)).
Nevertheless, the USPTO believes that there are no other duplicative or
overlapping rules.
B. Executive Order 13132 (Federalism): This rule making does not contain
policies with federalism implications sufficient to warrant preparation of
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a Federalism Assessment under Executive Order 13132 (Aug. 4, 1999).
C. Executive Order 12866 (Regulatory Planning and Review): This rule
making has been determined to be significant for purposes of Executive
Order 12866 (Sept. 30, 1993), as amended by Executive Order 13258 (Feb. 26,
2002), and Executive Order 13422 (Jan. 18, 2007).
D. Executive Order 13563 (Improving Regulation and Regulatory Review): The
Office has complied with Executive Order 13563 (Jan. 8, 2011).
Specifically, the Office has: (1) used the best available techniques to
quantify costs and benefits, and has considered values such as equity,
fairness and distributive impacts; (2) provided the public with a
meaningful opportunity to participate in the regulatory process, including
soliciting the views of those likely affected, by issuing this notice of
proposed rule making and providing on-line access to the rule making
docket; (3) attempted to promote coordination, simplification and
harmonization across government agencies and identified goals designed to
promote innovation; (4) considered approaches that reduce burdens and
maintain flexibility and freedom of choice for the public; and (5) ensured
the objectivity of scientific and technological information and processes,
to the extent applicable.
E. Executive Order 13175 (Tribal Consultation): This rule making 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).
F. Executive Order 13211 (Energy Effects): This rule making is not a
significant energy action under Executive Order 13211 because this rule
making 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).
G. Executive Order 12988 (Civil Justice Reform): This rule making 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).
H. Executive Order 13045 (Protection of Children): This rule making is not
an economically significant rule and does not concern an environmental risk
to health or safety that may disproportionately affect children under
Executive Order 13045 (Apr. 21, 1997).
I. Executive Order 12630 (Taking of Private Property): This rule making
will not effect a taking of private property or otherwise have taking
implications under Executive Order 12630 (Mar. 15, 1988).
J. 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 USPTO will submit a
report containing the final rule and other required information to the U.S.
Senate, the U.S. House of Representatives and the Comptroller General of
the Government Accountability Office. The changes proposed in this notice
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 rule making is not likely to result in a "major rule" as
defined in 5 U.S.C. 804(2).
K. Unfunded Mandates Reform Act of 1995: The changes proposed in this
notice 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
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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.
L. National Environmental Policy Act: This rule making will not have any
effect on the quality of environment and is thus categorically excluded
from review under the National Environmental Policy Act of 1969. See 42
U.S.C. 4321 et seq.
M. 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 inapplicable because this rule making does
not contain provisions which involve the use of technical standards.
N. Paperwork Reduction Act: This proposed rule involves information
collection requirements which 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 approved by OMB. The Office is not resubmitting information
collection requests to OMB for its review and approval at this time because
the changes proposed in this notice revise the fees for existing
information collection requirements under OMB control numbers 0651-0016,
0651-0021, 0651-0024,0651-0031, 0651-0032, 0651-0033, 0651-0063 and
0651-0064. The USPTO will submit to OMB fee revision changes for the OMB
control numbers 0651-0016, 0651-0021, 0651-0024, 0651-0031, 0651-0032,
0651-0033, 0651-0063 and 0651-0064 if the changes proposed in this notice
are adopted.
An agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it 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 record keeping requirements, Small
Businesses.
37 CFR Part 41
Administrative practice and procedure, Inventions and patents, Lawyers.
DAVID J. KAPPOS
Under Secretary of Commerce for Intellectual Property and
Director of the United States Patent and Trademark Office
[1368 OG 100]