23642 Federal Register / Vol. 66, No. 90 / Wednesday, May 9, 2001 / Proposed Rules

further environmental documentation.

This proposal will change an existing

special drawbridge operating regulation

promulgated by a Coast Guard Bridge

Administration Program action. A

‘‘Categorical Exclusion Determination’’

is available in the docket where

indicated under ADDRESSES.

List of Subjects in 33 CFR Part 117

Bridges.

For the reasons set out in the

preamble, the Coast Guard proposes to

amend Part 117 of Title 33, Code of

Federal Regulations, as follows:

PART 117—DRAWBRIDGE

OPERATION REGULATIONS

1. The authority citation for Part 117

continues to read as follows:

Authority: 33 U.S.C. 499; 49 CFR 1.46; 33

CFR 1.05–1(g); section 117.255 also issued

under the authority of Pub. L. 102–587, 106

Stat. 5039.

2. Section 117.301 is added to read as

follows:

§ 117.301 Massalina Bayou.

The draw of the Tarpon Dock bascule

span bridge, Massalina Bayou, mile 0.0

at Panama City, shall open on signal;

except that from 9 p.m. until 11 p.m. on

July 4, each year, the draw need not

open for the passage of vessels. The

draw will open at any time for a vessel

in distress.

Dated: April 13, 2001.

Paul J. Pluta,

Rear Admiral, U.S. Coast Guard, Commander,

Eighth Coast Guard District.

[FR Doc. 01–11714 Filed 5–8–01; 8:45 am]

BILLING CODE 4910–15–P

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Parts 1 and 2

[Docket No. 991105297–1085–02]

RIN 0651–AB01

Revision of Patent and Trademark

Fees for Fiscal Year 2002

AGENCY: United States Patent and

Trademark Office, Commerce.

ACTION: Notice of proposed rulemaking.

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 and a trademark fee amount 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. Our Director is authorized

to adjust these fees annually by the CPI

to recover the higher costs associated

with doing business. In addition, we are

proposing to change the maintenance

fee correspondence address to better

serve our customers, and amend a fee to

reflect current business practice. These

proposed amendments would keep our

fees aligned with the CPI and streamline

administrative matters.

DATES: Comments must be submitted on

or before June 12, 2001.

ADDRESSES: Comments may be

submitted by e-mail addressed to

matthew.lee@uspto.gov. Comments may

also be submitted by mail addressed to:

Office of Finance, Crystal Park One,

Suite 802, Washington, DC, 20231, or by

fax to (703) 305–8007, marked to the

attention of Matthew Lee.

FOR FURTHER INFORMATION CONTACT:

Matthew Lee by e-mail at

matthew.lee@uspto.gov, by telephone at

(703) 305–8051, or by fax at (703) 305–

8007.

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, Fiscal Year 2000

(which incorporated the Intellectual

Property and Communications Omnibus

Reform Act of 1999) (Public Law 106–

113); and section 1113 of title 15,

United States Code. 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)).

In addition, this proposed rule would

change the maintenance fee

correspondence address. The address

change for maintenance fee payments

would benefit our customers by

allowing the payments to be processed

within 24 hours of receipt, rather than

the current time frame of three to five

days. Likewise, the funds would be

deposited more quickly with the United

States Treasury. The address change for

other communications related to

maintenance fees would permit us to

respond in a timelier manner.

Maintenance fee correspondence

received at the Box M Fee’’ address

would be forwarded to the appropriate

address in § 1.1(d) for an indefinite

period of time.

Background

Statutory Provisions

Patent fees are authorized by 35

U.S.C. 41 and 35 U.S.C. 376. For fees

paid under 35 U.S.C. 41 (a) and (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.

Subsection 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.

Subsection 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 library services.

Section 376 of title 35, United States

Code, authorizes the Director to set fees

for patent applications filed under the

Patent Cooperation Treaty (PCT).

Subsection 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.

Section 1113 of title 15, United States

Code, authorizes the Director to

establish fees for the filing and

processing of an application for the

registration of a trademark or other

mark, and for all other services and

materials relating to trademarks and

other marks.

Subsection 1113(a) of title 15, United

States Code, allows trademark fees to be

adjusted once each year to reflect, in the

aggregate, any fluctuations during the

preceding twelve months in the CPI.

Subsection 1113(a) also allows new

trademark fee amounts to 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, 2001, to

reflect any fluctuations occurring during

the previous twelve months in the

Consumer Price Index for all urban

consumers (CPI–U). In calculating these

fluctuations, the Office of Management

and Budget (OMB) has determined that

we should use CPI–U data as

determined by the Secretary of Labor. In

accordance with previous fee-setting

methodology, we use the

Administration’s projected CPI–U for

Federal Register / Vol. 66, No. 90 / Wednesday, May 9, 2001 / Proposed Rules 23643

the twelve-month period ending

September 30, 2001, which is 3.6

percent. Based on this projection, patent

statutory fees are proposed to be

adjusted by 3.6 percent. Before the final

fee amounts are published, the fees may

be adjusted slightly based on updated

data available from 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.

A trademark processing fee

established under 15 U.S.C. 1113 is

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 would 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 would be a whole number.

General Procedures

Any fee amount that is paid on or

after the effective date of the proposed

fee increase 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 our office 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 § 1.8. Items for which a

Certificate of Mailing or Transmission

under § 1.8 are not authorized include,

for example, for filing of Continued

Prosecution Applications (CPAs) under

§ 1.53(d) and other national and

international applications for patents.

See 37 CFR 1.8(a)(2).

Under 37 CFR 1.10(a), any

correspondence delivered by the

‘‘Express Mail Post Office to Addressee’’

service of the United States Postal

Service (USPS) is considered filed or

received in our office on the date of

deposit with the USPS. The date of

deposit with the USPS is shown by the

‘‘date-in’’ on the ‘‘Express Mail’’ mailing

label or other official USPS notation.

To ensure clarity in the

implementation of the new fees, a

discussion of specific sections is set

forth below.

Discussion of Specific Rules

37 CFR 1.1 Addresses for

Correspondence With the United States

Patent and Trademark Office

Section 1.1, paragraphs (a) and (d), if

revised as proposed, would change the

maintenance fee correspondence

address.

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), (b) through (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 1.21 Miscellaneous Fees and

Charges

Section 1.21, paragraph (o), if revised

as proposed, would be removed and

reserved to reflect current business

practice. We no longer use or provide

access to the Automated Patent System.

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 2.6 Trademark Fees

Section 2.6, paragraph (a)(1), if

revised as proposed, would adjust the

fee established therein to reflect

fluctuations in the CPI.

Other Considerations

This proposed rule contains no

information collection requirements

within the meaning of the Paperwork

Reduction Act of 1995, 44 U.S.C. 3501

et seq. This proposed rule has been

determined to be not significant for

purposes of Executive Order 12866.

This proposed rule does not contain

policies with Federalism implications

sufficient to warrant preparation of a

Federalism Assessment under Executive

Order 13132 (August 4, 1999).

The Assistant General Counsel for

Legislation and Regulation of the

Department of Commerce has certified

to the Chief Counsel for Advocacy,

Small Business Administration, that the

proposed rule change would not have a

significant economic impact on a

substantial number of small entities

(Regulatory Flexibility Act, 5 U.S.C.

605(b)). The proposed rule change

increases fees to reflect the change in

the CPI as authorized by 35 U.S.C. 41(f).

Further, the principal impact of the

major patent fees has already been taken

into account in 35 U.S.C. 41(h)(1),

which provides small entities with a

fifty-percent reduction in the major

patent fees. The USPTO received

approximately 92,000 patent

applications last year from small

entities. Since the average small entity

fee would increase by less than $14.00,

with a minimum increase of $2.00 and

a maximum increase of $55.00, there

will not be a significant economic

impact on a substantial number of small

entities due to this proposed rule

change.

A comparison of existing and

proposed fee amounts is included as an

appendix to this notice of proposed

rulemaking.

Lists of Subjects

37 CFR Part 1

Administrative practice and

procedure, Inventions and patents,

Reporting and recordkeeping

requirements, Small businesses.

37 CFR Part 2

Administrative practice and

procedure, Courts, Lawyers,

Trademarks.

For the reasons set forth in the

preamble, we are proposing to amend

title 37 of the Code of Federal

Regulations, Parts 1 and 2, as set forth

below.

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 1.1 is proposed to be

amended by revising paragraphs (a)

introductory text and (d) to read as

follows:

§ 1.1 Addresses for correspondence with

the Patent and Trademark Office.

(a) Except for paragraph (a)(3)(i) and

(ii), and (d)(1) of this section, all

23644 Federal Register / Vol. 66, No. 90 / Wednesday, May 9, 2001 / Proposed Rules

correspondence intended for the United

States Patent and Trademark Office

must be addressed to either

‘‘Commissioner of Patents and

Trademarks, Washington, DC 20231’’ or

to specific areas within the Office as set

out in paragraphs (a)(1), (2) and (3)(iii)

of this section. When appropriate,

correspondence should also be marked

for the attention of a particular office or

individual.

* * * * *

(d) Maintenance fee correspondence.

(1) Payments of maintenance fees in

patents shall be mailed to: United States

Patent and Trademark Office, P.O. Box

371611, Pittsburgh, PA 15250–1611.

(2) Other communications related to

maintenance fees should be additionally

marked ‘‘Box M Correspondence.’’

* * * * *

3. Section 1.16 is proposed to be

amended by revising paragraphs (a), (b),

(d), (f) through (i), and (k) to read as

follows:

§ 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 (§ 1.27(a)): $370.00

By other than a small entity: $740.00

(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 (§ 1.27(a)): $42.00

By other than a small entity: $84.00

* * * * *

(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 (§ 1.27(a)): $140.00

By other than a small entity: $280.00

* * * * *

(f) Basic fee for filing each design

application:

By a small entity (§ 1.27(a)): $165.00

By other than a small entity: $330.00

(g) Basic fee for filing each plant

application, except provisional

applications:

By a small entity (§ 1.27(a)): $255.00

By other than a small entity: $510.00

(h) Basic fee for filing each reissue

application:

By a small entity (§ 1.27(a)): $370.00

By other than a small entity: $740.00

(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 (§ 1.27(a)): $42.00

By other than a small entity: $84.00

* * * * *

(k) Basic fee for filing each

provisional application:

By a small entity (§ 1.27(a)): $80.00

By other than a small entity: $160.00

* * * * *

4. Section 1.17 is proposed to be

amended by revising paragraphs (a)(2)

through (a)(5), (b) through (e), (m), and

(r) through (t) to read as follows:

§ 1.17 Patent application and

reexamination processing fees.

(a) * * *

(1) * * *

(2) For reply within second month:

By a small entity (§ 1.27(a)): $200.00

By other than a small entity: $400.00

(3) For reply within third month:

By a small entity (§ 1.27(a)): $460.00

By other than a small entity: $920.00

(4) For reply within fourth month:

By a small entity (§ 1.27(a)): $720.00

By other than a small entity: $1,440.00

(5) For reply within fifth month:

By a small entity (§ 1.27(a)): $980.00

By other than a small entity: $1,960.00

(b) For filing a notice of appeal from

the examiner to the Board of Patent

Appeals and Interferences:

By a small entity (§ 1.27(a)): $160.00

By other than a small entity: $320.00

(c) In addition to the fee for filing a

notice of appeal, for filing a brief in

support of an appeal:

By a small entity (§ 1.27(a)): $160.00

By other than a small entity: $320.00

(d) For filing a request for an oral

hearing before the Board of Patent

Appeals and Interferences in an appeal

under 35 U.S.C. 134:

By a small entity (§ 1.27(a)): $140.00

By other than a small entity: $280.00

(e) To request continued examination

pursuant to § 1.114:

By a small entity (§ 1.27(a)): $370.00

By other than a small entity: $740.00

* * * * *

(m) For filing a petition for 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) (§ 1.137(b)):

By a small entity (§ 1.27(a)): $640.00

By other than a small entity: $1,280.00

* * * * *

(r) For entry of a submission after

final rejection under § 1.129(a):

By a small entity (§ 1.27(a)): $370.00

By other than a small entity: $740.00

(s) For each additional invention

requested to be examined under

§ 1.129(b):

By a small entity (§ 1.27(a)): $370.00

By other than a small entity: $740.00

(t) For the acceptance of an

unintentionally delayed claim for

priority under 35 U.S.C. 119, 120, 121,

or 365(a) or (c) (§§ 1.55 and 1.78):

$1,280.00

5. Section 1.18 is proposed to be

amended by revising paragraphs (a)

through (c) to read as follows:

§ 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 (§ 1.27(a)): $640.00

By other than a small entity: $1,280.00

(b) Issue fee for issuing a design

patent:

By a small entity (§ 1.27(a)): $230.00

By other than a small entity: $460.00

(c) Issue fee for issuing a plant patent:

By a small entity (§ 1.27(a)): $310.00

By other than a small entity: $620.00

* * * * *

6. Section 1.20 is proposed to be

amended by revising paragraphs (e)

through (g) to read as follows:

§ 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 (§ 1.27(a)): $440.00

By other than a small entity: $880.00

(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 (§ 1.27(a)): $1,010.00

By other than a small entity: $2,020.00

(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

Federal Register / Vol. 66, No. 90 / Wednesday, May 9, 2001 / Proposed Rules 23645

eleven years and six months after the

original grant:

By a small entity (§ 1.27(a)): $1,550.00

By other than a small entity: $3,100.00

* * * * *

§ 1.21 [Amended]

7. Section 1.21 is proposed to be

amended by removing and reserving

paragraph (o).

8. Section 1.492 is proposed to be

amended by revising paragraphs (a)(1)

through (a)(3), (a)(5), (b), and (d) to read

as follows:

§ 1.492 National stage fees.

* * * * *

(a) The basic national fee:

(1) Where an international

preliminary examination fee as set forth

in § 1.482 has been paid on the

international application to the United

States Patent and Trademark Office:

By a small entity (§ 1.27(a)): $355.00

By other than a small entity: $710.00

(2) Where no international

preliminary examination fee as set forth

in § 1.482 has been paid to the United

States Patent and Trademark Office, but

an international search fee as set forth

in § 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 (§ 1.27(a)): $370.00

By other than a small entity: $740.00

(3)Where no international preliminary

examination fee as set forth in § 1.482 has

been paid and no international search fee as

set forth in § 1.445(a)(2) has been paid on the

international application to the United States

Patent and Trademark Office:

By a small entity (§ 1.27(a)): $520.00

By other than a small entity: $1,040.00

(4) * * *

(5) Where a search report on the

international application has been

prepared by the European Patent Office

or the Japanese Patent Office:

By a small entity (§ 1.27(a)): $445.00

By other than a small entity: $890.00

(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 (§ 1.27(a)): $42.00

By other than a small entity: $84.00

* * * * *

(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 (§ 1.27(a)): $140.00

By other than a small entity: $280.00

* * * * *

PART 2—RULES OF PRACTICE IN

TRADEMARK CASES

1. The authority citation for 37 CFR

Part 2 would continue to read as

follows:

Authority: 15 U.S.C. 1123; 35 U.S.C. 6,

unless otherwise noted.

2. Section 2.6 is proposed to be

amended by revising paragraph (a)(1) to

read as follows:

§ 2.6 Trademark fees.

* * * * *

(a) * * *

(1) For filing an application, per class:

$340.00

* * * * *

Dated: April 27, 2001.

Nicholas P. Godici.

Acting Under Secretary of Commerce for

Intellectual Property and Acting Director of

the United States Patent and Trademark

Office.

[FR Doc. 01–11591 Filed 5–8–01; 8:45 am]

BILLING CODE 3510–16–P

ENVIRONMENTAL PROTECTION

AGENCY

40 CFR Part 52

[KY–112–9933(b); FRL–6975–6]

Approval and Promulgation of Air

Quality Implementation Plans;

Kentucky: Approval of American

Greetings Corporation Source-Specific

State Implementation Plan Revision

AGENCY: Environmental Protection

Agency (EPA).

ACTION: Proposed rule.

SUMMARY: On March 30, 1999, the

Commonwealth of Kentucky submitted,

through the Natural Resources and

Environmental Protection Cabinet, a

source specific revision to the Kentucky

State Implementation Plan (SIP). This

source specific SIP revision allows

American Greetings Corporation to have

an alternative averaging period of 30

days for compliance determination. In

the final rules section of this Federal

Register, the EPA is approving the

revision as a direct final rule without

prior proposal because the EPA views

this as a noncontroversial revision

amendment and anticipates no adverse

comments. A detailed rationale for the

approval is set forth in the direct final

rule. If no adverse comments are

received in response to that direct final

rule no further activity is contemplated

in relation to this proposed rule. If EPA

receives adverse comments, the direct

final rule will be withdrawn and all

public comments will be addressed in a

subsequent final rule based on this

proposed rule. The EPA will not

institute a second comment period on

this document. Any parties interested in

commenting should do so at this time.

DATES: To be considered, comments

must be received by June 8, 2001.

ADDRESSES: Written comments on this

action should be addressed to Randy

Terry at the Environmental Protection

Agency, Region 4 Air Planning Branch,

61 Forsyth Street, SW, Atlanta, Georgia

30303–8960.

Copies of documents relative to this

action are available for public

inspection during normal business

hours at the following locations. The

interested persons wanting to examine

these documents should make an

appointment with the appropriate office

at least 24 hours before the visiting day

and reference file KY 112–01–9933. The

Region 4 office may have additional

background documents not available at

the other locations.

U.S. Environmental Protection Agency;

Region 4 Air Planning Branch; 61

Forsyth Street, SW; Atlanta, Georgia

30303–8960

Commonwealth of Kentucky; Division

for Air Quality; 803 Schenkel Lane;

Frankfort, KY 40601–1403.

FOR FURTHER INFORMATION CONTACT:

Randy Terry, Regulatory Planning

Section, Air Planning Branch, Air,

Pesticides & Toxics Management

Division, Region 4 Environmental

Protection Agency, 61 Forsyth Street

SW, Atlanta, Georgia 30303–8960. The

telephone number is (404) 562–9032.

SUPPLEMENTARY INFORMATION: For

additional information see the direct

final rule which is published in the

rules section of this Federal Register.

Dated: April 20, 2001.

A. Stanley Meiburg,

Acting Regional Administrator, Region 4.

[FR Doc. 01–11525 Filed 5–8–01; 8:45 am]

BILLING CODE 6560–50–P

ENVIRONMENTAL PROTECTION

AGENCY

40 CFR Part 52

[DC049–2026b; FRL–6973–6]

Approval and Promulgation of Air

Quality Implementation Plans; District

of Columbia; Oxygenated Gasoline

Program

AGENCY: Environmental Protection

Agency (EPA).

ACTION: Proposed rule.