Source: https://www.federalregister.gov/documents/2002/05/07/02-11270/revision-of-patent-and-trademark-fees-for-fiscal-year-2003
Timestamp: 2017-08-17 07:25:20
Document Index: 632795466

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Federal Register :: Revision of Patent and Trademark Fees for Fiscal Year 2003
Revision of Patent and Trademark Fees for Fiscal Year 2003
A Proposed Rule by the Patent and Trademark Office on 05/07/2002
Comments must be submitted on or before June 6, 2002.
67 FR 30634
30634-30637 (4 pages)
0651-AB51
02-11270
Fee Adjustment Level
37 CFR 1.16 National Application Filing Fees
37 CFR 1.17 Patent Application and Reexamination Processing Fees
37 CFR 1.18 Patent Post Allowance (Including Issue) Fees
37 CFR 1.20 Post Issuance Fees
37 CFR 1.492 National Stage Fees
37 CFR 2.6 Trademark Fees
https://www.federalregister.gov/d/02-11270 https://www.federalregister.gov/d/02-11270
The United States Patent and Trademark Office (referred to as “we”, “us”, or “our” in this notice) 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. The Director is authorized to adjust these fees annually by the CPI to recover the higher costs associated with doing business.
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.
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)). Start Printed Page 30635
In addition to this proposed rule, we have also prepared another notice of proposed rulemaking, to seek comment on a $50 per-class surcharge on the trademark application fee and the fee for filing certain other trademark-related documents where: (1) A Trademark Electronic Application System (TEAS) form is available for that document and (2) the document is filed on paper. That notice of proposed rulemaking deals with the current trademark application fee, not the CPI adjusted fee, and proposes that the current fee of $325 be used for the filing of a TEAS application. A paper application filed under the same fee schedule would be $375.
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), 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 library services.
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.
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.
Section 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.
Section 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.
The patent statutory fees established by 35 U.S.C. 41(a) and (b) are proposed to be adjusted on October 1, 2002, to reflect any fluctuations occurring during the previous twelve months 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 proposed fee adjustment on the Administration's projected CPI-U for the twelve-month period ending September 30, 2002, which is 2.4 percent. Based on this projection, patent statutory fees are proposed to be adjusted by 2.4 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.
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.
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.
Section 1.16, paragraphs (a), (b), (d), and (f) through (i), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
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.
Section 1.18, paragraphs (a) through (c), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
Section 1.20, paragraphs (e) through (g), if revised as proposed, would adjust fees established therein to reflect fluctuations in the CPI.
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.
Section 2.6, paragraph (a)(1), if revised as proposed, would adjust the fee established therein to reflect fluctuations in the CPI.
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 Start Printed Page 30636policies 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. We received roughly 98,000 patent applications (approximately 30 percent of total patent applications) last year from small entities. Since the average small entity fee would increase by less than $10.00, with a minimum increase of $1.00 and a maximum increase of $35.00, there will not be a significant economic impact on a substantial number of small entities due to this proposed rule change.
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.
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), (b), (d), and (f) through (i) 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))—$380.00
By other than a small entity—$760.00
(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))—$43.00
By other than a small entity—$86.00
(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))—$145.00
By other than a small entity—$290.00
(f) Basic fee for filing each design application:
By a small entity (§ 1.27(a))—$170.00
By other than a small entity—$340.00
(g) Basic fee for filing each plant application, except provisional applications:
By a small entity (§ 1.27(a))—$260.00
By other than a small entity—$520.00
(h) Basic fee for filing each reissue application:
(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:
3. 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:
By a small entity (§ 1.27(a))—$205.00
By other than a small entity—$410.00
By a small entity (§ 1.27(a))—$470.00
By other than a small entity—$940.00
By a small entity (§ 1.27(a))—$735.00
By other than a small entity—$1,470.00
By a small entity (§ 1.27(a))—$1,000.00
By other than a small entity—$2,000.00
(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))—$165.00
By other than a small entity—$330.00
(c) In addition to the fee for filing a notice of appeal, for filing a brief in support of an appeal:
(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)—$145.00
By other than a small entity—$290.00(e)
To request continued examination pursuant to § 1.114:
(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))—$655.00
By other than a small entity—$1,310.00
(r) For entry of a submission after final rejection under § 1.129(a):
(s) For each additional invention requested to be examined under § 1.129(b):
(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): $1,310.00.
4. 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:
(b) Issue fee for issuing a design patent:
By a small entity (§ 1.27(a))—$235.00
By other than a small entity—$470.00
(c) Issue fee for issuing a plant patent:
By a small entity (§ 1.27(a))—$315.00
By other than a small entity—$630.00
5. Section 1.20 is proposed to be amended by revising paragraphs (e) through (g) to read as follows:
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))—$450.00
By other than a small entity—$900.00
(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))—$1,035.00
By other than a small entity—$2,070.00
(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 (§ 1.27(a))—$1,585.00
By other than a small entity—$3,170.00
6. 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))—$365.00
By other than a small entity—$730.00
(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:
(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))—$530.00
By other than a small entity—$1,060.00
(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 (§ 1.27(a))—$455.00
By other than a small entity—$910.00
(b) In addition to the basic national fee, for filing or later presentation of each independent claim in excess of 3:
(d) In addition to the basic national fee, if the application contains, or is amended to contain, a multiple dependent claim(s), per application:
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.
(1) For filing an application, per class—$340.00
[FR Doc. 02-11270 Filed 5-6-02; 8:45 am]
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