Proposed Rule: Patent Cases: Fee Revisions (2007 FY)

32285
Proposed Rules Federal Register

Vol. 71, No. 107
Monday, June 5, 2006
This section of the FEDERAL REGISTER • Federal eRulemaking Portal: http:// Customers may wish to refer to our
contains notices to the public of the proposed www.regulations.gov. Follow the official Web site at http://
issuance of rules and regulations. The instructions for submitting comments. www.uspto.gov for the most current fee
purpose of these notices is to give interested • E-mail: amounts.
persons an opportunity to participate in the Tamara.McClure@uspto.gov. Include
rule making prior to the adoption of the final Background
RIN number 0651–AB81 in the subject
rules.
line of the message. Statutory Provisions
• Fax: (571) 273–6500, marked to the Patent fees are authorized by 35
DEPARTMENT OF COMMERCE attention of Tamara McClure. U.S.C. 41, 119, 120, 132(b) and 376. For
• Mail: Mail Stop 16, Director of the
fees paid under 35 U.S.C. 41(a) and (b)
Patent and Trademark Office U.S. Patent and Trademark Office, P.O.
and 132(b), independent inventors,
Box 1450, Alexandria, VA 22313–1450,
small business concerns, and nonprofit
37 CFR Parts 1 and 41 marked to the attention of Tamara
organizations who meet the
McClure.
requirements of 35 U.S.C. 41(h)(1) are
[Docket No. PTO–C–2006–0015] Instructions: All submissions received
entitled to a fifty-percent reduction.
must include the agency name and
Section 41(f) of title 35, United States
Regulatory Information Number (RIN)
RIN 0651–AB81 Code, provides that fees established
for this rule making. For additional
under 35 U.S.C. 41(a) and (b) may be
Revision of Patent Fees for Fiscal Year information on the rule making process,
adjusted on October 1, 1992, and every
2007 see the heading of the SUPPLEMENTARY
year thereafter, to reflect fluctuations in
INFORMATION section of this document.
AGENCY: United States Patent and the CPI over the previous twelve
FOR FURTHER INFORMATION CONTACT: months.
Trademark Office, Commerce. Tamara McClure by e-mail at Section 41(d) of title 35, United States
ACTION: Proposed rule. Tamara.McClure@uspto.gov, by Code, authorizes the Director to
telephone at (571) 272–6345, or by fax establish fees for all other processing,
SUMMARY: The United States Patent and at (571) 273–6500.
Trademark Office (referred to as ‘‘we’’, services, or materials related to patents
SUPPLEMENTARY INFORMATION: This to recover the average cost of providing
‘‘us’’, or ‘‘our’’ in this document) is
proposed rule would adjust our fees in these services or materials, except for
proposing to adjust certain patent fee
accordance with the applicable the fees for recording a document
amounts to reflect fluctuations in the
provisions of title 35, United States affecting title, for each photocopy, for
Consumer Price Index (CPI). Also, we
Code, as amended by the Consolidated each black and white copy of a patent,
are proposing to adjust, by a
Appropriations Act, 2005 (Consolidated and for standard library service.
corresponding amount, a few patent fees
Appropriations Act) (Pub. L. 108–447). Section 41(g) of title 35, United States
that track the affected fees. The Director
This proposed rule would also adjust, Code, provides that new fee amounts
is authorized to adjust these fees
by a corresponding amount, a few established by the Director under
annually by the CPI to recover the
patent fees (37 CFR 1.17(e), (r), (s), and section 41 may take effect thirty days
higher costs associated with doing
(t)) that track statutory fees (either 37 after notice in the Federal Register and
business.
CFR 1.16(a) or 1.17(m)). the Official Gazette of the United States
We are proposing to adjust the patent
We are proposing to adjust the patent Patent and Trademark Office.
fees under the Consolidated
fees under the Consolidated
Appropriations Act, 2005 (Consolidated Fee Adjustment Level
Appropriations Act, which revised
Appropriations Act), which revised The patent statutory fees established
certain patent fees, and provided for a
certain patent fees, and provided for a by 35 U.S.C. 41(a) and (b) are proposed
search fee and examination fee that are
search fee and examination fee that are to be adjusted on October 1, 2006, to
separate from the filing fee, during fiscal
separate from the filing fee, during fiscal reflect fluctuations occurring during the
years 2005 and 2006. Legislation has
years 2005 and 2006. Legislation has twelve-month period from October 1,
been introduced in the Congress that
been introduced in the Congress that 2005, through September 30, 2006, in
would extend the fee revisions in the
would extend the fee revisions in the the Consumer Price Index for All Urban
Consolidated Appropriations Act. If any
Consolidated Appropriations Act. If, for Consumers (CPI–U). The Office of
legislation is enacted that extends the
any period during fiscal year 2007, the Management and Budget has advised us
fee revisions in the Consolidated
fee revisions in the Consolidated that in calculating these fluctuations, we
Appropriations Act, then Option 1 of
Appropriations Act are not in effect, should use CPI–U data as determined by
this proposed rule notice would apply.
then the fee adjustment would apply to If, for any period during fiscal year the Secretary of Labor. In accordance
the former fee amounts that were in 2007, the fee revisions in the with previous fee-setting methodology,
place on October 1, 2004, to December Consolidated Appropriations Act are we base this fee adjustment on the
cprice-sewell on PROD1PC66 with PROPOSALS
7, 2004, prior to the enactment of the not in effect, then Option 2 of this Administration’s projected CPI–U for
Consolidated Appropriations Act. proposed rule notice would apply and the twelve-month period ending
DATES: Comments must be submitted on the fee adjustment would apply to the September 30, 2006, which is 3.5
or before July 5, 2006. former fee amounts that were in place percent. Based on this projected CPI–U,
ADDRESSES: You may submit comments, on October 1, 2004, to December 7, patent statutory fees are proposed to be
identified by RIN number 0651–AB81, 2004, prior to the enactment of the adjusted by 3.5 percent. Before the final
by any of the following methods: Consolidated Appropriations Act. fee amounts are published, the fee
VerDate Aug<31>2005 14:50 Jun 02, 2006 Jkt 208001 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\05JNP1.SGM 05JNP1
32286 Federal Register / Vol. 71, No. 107 / Monday, June 5, 2006 / Proposed Rules
amounts may be adjusted based on of Mailing or Transmission under Patent Cooperation Treaty. The basic
actual fluctuations in the CPI–U § 1.8(a)(1). national fee for an international
published by the Secretary of Labor. Patent-related correspondence application entering the national stage is
Certain patent processing fees delivered by the ‘‘Express Mail Post due not later than the expiration of 20
established under 35 U.S.C. 41(d), 119, Office to Addressee’’ service of the months from the priority date in the
120, 132(b), 376, and Public Law 103– USPS is considered filed or received in international application (or 30 months
465 (the Uruguay Round Agreements our office on the date of deposit with from the priority date if the United
Act) are proposed to be adjusted to the USPS. See 37 CFR 1.10(a)(1). The States was elected prior to the
reflect fluctuations in the CPI. date of deposit with the USPS is shown expiration of 19 months from the
The fee amounts were rounded by by the ‘‘date-in’’ on the ‘‘Express Mail’’ priority date). The amount of the basic
applying standard arithmetic rules so mailing label or other official USPS national fee that is required to be paid
that the amounts rounded will be notation. would be the basic national fee in effect
convenient to the user. Fees for other b. The Filing Fee for Patent on the date the full fee is received.
than a small entity of $100 or more were Applications Filed Under 35 U.S.C. 111 A Certificate of Mailing or
rounded to the nearest $10. Fees of less and 37 CFR 1.53 Transmission under § 1.8(a)(1) cannot
than $100 were rounded to an even be used for international patent
number so that any comparable small Section 111 of title 35, United States applications. See 37 CFR 1.8(a)(2).
entity fee will be a whole number. Code, provides for the filing of a patent
application with the USPTO. If the Patent-related correspondence
Procedures for Determining the Correct filing fee for an application filed under delivered by the ‘‘Express Mail Post
Fee Amount Owed 35 U.S.C. 111 is received when the Office to Addressee’’ service of the
application is filed, the filing fee USPS is considered filed or received in
The following subsections detail the our office on the date of deposit with
procedures for determining the fees required would be the filing fee in effect
on the filing date assigned to the the USPS. See 37 CFR 1.10(a)(1). The
owed during the transition to the new date of deposit with the USPS is shown
fee schedule. Fees owed may be affected application. If the USPTO receives the
filing fee on a date later than the filing by the ‘‘date-in’’ on the ‘‘Express Mail’’
by proper use of a Certificate of Mailing mailing label or other official USPS
or Transmission under § 1.8(a)(1), or use date assigned to the application, the
filing fee required would be the higher notation.
of ‘‘Express Mail Post Office to
Addressee’’ under § 1.10(a). of: Discussion of Specific Rules
Use of a Certificate of Mailing or (1) The filing fee in effect on the filing
date assigned to the application; or Option 1
Transmission is not authorized for items
(2) The filing fee in effect on the date Legislation has been introduced in the
that are specifically excluded from the
the USPTO receives the filing fee. Congress that would extend the fee
provisions of § 1.8. Items for which a The filing fee includes the basic fee,
Certificate of Mailing or Transmission revisions in the Consolidated
excess claims fees (if any), and the Appropriations Act. If any legislation is
under § 1.8 are not authorized include, multiple dependent claim fee (if any),
for example, filing of Continued enacted that extends the fee revisions in
for claims present on filing (unless the the Consolidated Appropriations Act,
Prosecution Applications (CPAs) under excess or multiple dependent claims are
§ 1.53(d) and other national and then Option 1 of this proposed rule
canceled before the filing fee is paid). Of notice would apply. To ensure clarity in
international applications for patents. course, if the basic filing fee is received
See 37 CFR 1.8(a)(2). the implementation of the proposed
on a date later than the filing date new fees, a discussion of specific
Patent-related correspondence assigned to the application filed under
delivered by the ‘‘Express Mail Post sections is set forth below.
35 U.S.C. 111, a surcharge as set forth
Office to Addressee’’ service of the in § 1.16(e) would also be required. 37 CFR 1.16 National Application
United States Postal Service (USPS) is A Certificate of Mailing or Filing, Search, and Examination Fees
considered filed or received in our Transmission under § 1.8(a)(1) cannot
office on the date of deposit with the be used for national (including a Section 1.16, paragraphs (a) through
USPS. See 37 CFR 1.10(a)(1). The date continued prosecution application (e), (h) through (j), (o), and (q) through
of deposit with the USPS is shown by (CPA) under § 1.53(d)) and international (s), if revised as proposed, would adjust
the ‘‘date-in’’ on the ‘‘Express Mail’’ patent applications. See 37 CFR fees established therein to reflect
mailing label or other official USPS 1.8(a)(2). fluctuations in the CPI.
notation. Patent-related correspondence 37 CFR 1.17 Patent Application and
a. The Post Issuance Fee for Patents delivered by the ‘‘Express Mail Post Reexamination Processing Fees
Under 35 U.S.C. 41(b) Office to Addressee’’ service of the
USPS is considered filed or received in Section 1.17, paragraphs (a)(2)
Section 41(b) of title 35, United States our office on the date of deposit with through (a)(5), (e), (l), (m), (r), and (s),
Code, provides for maintenance fees. the USPS. See 37 CFR 1.10(a)(1). The if revised as proposed, would adjust fees
Any maintenance fee amount that is date of deposit with the USPS is shown established therein to reflect
paid on or after the effective date of the by the ‘‘date-in’’ on the ‘‘Express Mail’’ fluctuations in the CPI. In addition, we
proposed fee adjustment would be mailing label or other official USPS are proposing to adjust paragraph (t) to
subject to the new fees then in effect. notation. track the statutory fee under paragraph
If a Certificate of Mailing or (m).
Transmission was used, and was proper c. The Fees for International Patent
Applications Entering the National 37 CFR 1.18 Patent Post Allowance
under § 1.8(a)(1), the fee required would
Stage Under 35 U.S.C. 371 and 37 CFR (Including Issue) Fees
be the lower of:
(1) The fee in effect on the date the 1.494 or 1.495 Section 1.18, paragraphs (a) through
USPTO receives the fee; or Section 371 of title 35, United States (c), if revised as proposed, would adjust
(2) The fee in effect on the date of Code, provides for the national stage fees established therein to reflect
mailing indicated on a proper Certificate filing of a patent application under the fluctuations in the CPI.
Federal Register / Vol. 71, No. 107 / Monday, June 5, 2006 / Proposed Rules 32287
37 CFR 1.20 Post Issuance Fees would adjust fees established therein to Consolidated Appropriations Act. If this
Section 1.20, paragraphs (c)(3), (c)(4), reflect fluctuations in the CPI. legislation is not enacted, Option 2 of
and (e) through (g), if revised as this proposed rule would apply.
Other Considerations
proposed, would adjust fees established The fee increases would range from a
Paperwork Reduction Act: This rule minimum of $2 to a maximum of $130
therein to reflect fluctuations in the CPI. involves information collection under Option 1 of the proposed rule,
37 CFR 1.492 National Stage Fees requirements that are subject to review and a minimum of $4 to a maximum of
by the Office of Management and $120 under Option 2 of the proposed
Section 1.492, paragraphs (a), (c)(2),
Budget (OMB) under the Paperwork rule.
(d) through (f), and (j), if revised as
Reduction Act of 1995 (44 U.S.C. 3501 Under 35 U.S.C. 41(h)(1) small
proposed, would adjust fees established
et seq.). The collections of information entities are accorded a fifty-percent
therein to reflect fluctuations in the CPI.
involved in this proposed rule have
reduction in most patent fees.
37 CFR 41.20 Fees been reviewed and previously approved
Consequently, the small entity fee
Section 41.20, paragraphs (b)(1) by the OMB under the following control
increases would range from a minimum
through (b)(3), if revised as proposed, numbers: 0651–0016, 0651–0021, 0651–
of $1 to a maximum of $65 under
would adjust fees established therein to 0031, 0651–0032, and 0651–0033. The
Option 1 of the proposed rule, and a
reflect fluctuations in the CPI. Office is not resubmitting information
minimum of $2 to a maximum of $60
collection requests to the OMB for its
Option 2 under Option 2 of the proposed rule.
review and approval because the
The sole exception under this proposed
Legislation has been introduced in the changes in this rule do not affect the
rule package is the fee set forth under
Congress that would extend the fee information collection requirements
associated with the information 37 CFR 1.17(t), which does not qualify
revisions in the Consolidated for a small entity fee reduction. The fee
Appropriations Act. If, for any period collections under these OMB control
numbers. increase for 37 CFR 1.17(t) would be
during fiscal year 2007, the fee revisions $180 under Option 1 of the proposed
Notwithstanding any other provision
in the Consolidated Appropriations Act rule, or $50 under Option 2 of the
of law, no person is required to respond
are not in effect, then Option 2 of this proposed rule.
to nor shall a person be subject to a
proposed rule notice would apply. To Accordingly, the proposed rule does
penalty for failure to comply with a
ensure clarity in the implementation of not have a significant economic impact
collection of information subject to the
the proposed new fees, a discussion of on a substantial number of small
requirements of the Paperwork
specific sections is set forth below. entities.
Reduction Act unless that collection of
37 CFR 1.16 National Application information displays a currently valid List of Subjects
Filing Fees OMB control number.
Regulatory Flexibility Act: For the 37 CFR Part 1
Section 1.16, paragraphs (a), (b), (d),
reasons set forth herein, the Deputy Administrative practice and
(f) through (i), and (k), if revised as
General Counsel for General Law of the procedure, Biologics, Courts, Freedom
proposed, would adjust fees established
United States Patent and Trademark of information, Inventions and patents,
therein to reflect fluctuations in the CPI.
Office has certified to the Chief Counsel Reporting and recordkeeping
37 CFR 1.17 Patent Application and for Advocacy, Small Business requirements, Small businesses.
Reexamination Processing Fees Administration, that the proposed rule
change will not have a significant 37 CFR Part 41
Section 1.17, paragraphs (a)(2)
through (a)(5), (e), (m), and (r) through economic impact on a substantial
Administrative practice and
(t), if revised as proposed, would adjust number of small entities (Regulatory
procedure, Inventions and patents,
fees established therein to reflect Flexibility Act, 5 U.S.C. 605(b)).
Lawyers.
By statute, the USPTO’s Director is
fluctuations in the CPI. For the reasons set forth in the
expressly authorized to adjust fees
37 CFR 1.18 Patent Post Allowance annually to reflect fluctuations in the preamble, we are proposing to amend
(Including Issue) Fees Consumer Price Index (CPI). See 35 title 37 of the Code of Federal
U.S.C. 41(f) (certain fees ‘‘may be Regulations, parts 1 and 41 as set forth
Section 1.18, paragraphs (a) through below.
(c), if revised as proposed, would adjust adjusted by the Director on October 1,
fees established therein to reflect 1992, and every year thereafter, to Option 1
fluctuations in the CPI. reflect any fluctuations occurring during
the previous 12 months in the The amendments in Option 1 would
37 CFR 1.20 Post Issuance Fees Consumer Price Index as determined by be used if legislation is enacted to
Section 1.20, paragraphs (e) through the Secretary of Labor’’). The proposed extend the fee revisions in the
(g), if revised as proposed, would adjust rule increases fees to reflect the change Consolidated Appropriations Act.
fees established therein to reflect in the CPI as authorized by 35 U.S.C.
41(f). Legislation has been introduced in PART 1—RULES OF PRACTICE IN
fluctuations in the CPI. PATENT CASES
the Congress that would extend the fee
37 CFR 1.492 National Stage Fees revisions in the Consolidated 1. The authority citation for 37 CFR
Section 1.492, paragraphs (a)(1) Appropriations Act, 2005 (Consolidated part 1 would continue to read as
through (a)(3), (a)(5), (b) and (d), if Appropriations Act) (Pub. L. 108–447).
follows:
revised as proposed, would adjust fees If the legislation is enacted, Option 1 of
the proposed rule would apply. If this Authority: 35 U.S.C. 2(b)(2), unless
established therein to reflect otherwise noted.
fluctuations in the CPI. legislation is not enacted, the fee
adjustment would apply to the former 2. Section 1.16 is proposed to be
37 CFR 41.20 Fees fee amounts that were in place on amended by revising paragraphs (a)
Section 41.20, paragraphs (b)(1) October 1, 2004, to December 7, 2004, through (e), (h) through (j), (o), and (q)
through (b)(3), if revised as proposed, prior to the enactment of the through (s) to read as follows:
§ 1.16 National application filing, search provisional application, for filing or * * * * *

and examination fees. later presentation at any other time of (e) To request continued examination
(a) Basic fee for filing each application each claim (whether dependent or pursuant to § 1.114:
under 35 U.S.C. 111 for an original independent) in excess of 20 (note that By a small entity (§ 1.27(a)) ........ $410.00
patent, except design, plant, or § 1.75(c) indicates how multiple By other than a small entity ....... 820.00
provisional applications: dependent claims are considered for fee * * * * *
(1) For an application filed on or after calculation purposes): (l) For filing a petition for the revival
December 8, 2004: By a small entity (§ 1.27(a)) ........ $26.00 of an unavoidably abandoned
By a small entity (§ 1.27(a)) if By other than a small entity ....... 52.00 application under 35 U.S.C. 111, 133,
the application is submitted in 364, or 371, for the unavoidably delayed
(j) In addition to the basic filing fee in
compliance with the Office payment of the issue fee under 35 U.S.C.
electronic filing system an application, other than a provisional
151, or for the revival of an unavoidably
(§ 1.27(b)(2)) ............................. $75.00 application, that contains, or is
By a small entity (§ 1.27(a)) ........ 155.00 amended to contain, a multiple terminated reexamination proceeding
By other than a small entity ....... 310.00 dependent claim, per application: under 35 U.S.C. 133 (§ 1.137(a)):
By a small entity (§ 1.27(a)) ........ $185.00 By a small entity (§ 1.27(a)) ........ $260.00
(2) For an application filed before By other than a small entity ....... 520.00
December 8, 2004: By other than a small entity ....... 370.00
* * * * * (m) For filing a petition for the revival
By a small entity (§ 1.27(a)) ........ $410.00
By other than a small entity ....... 820.00 (o) Examination fee for each of an unintentionally abandoned
application filed under 35 U.S.C. 111 on application, for the unintentionally
(b) Basic fee for filing each delayed payment of the fee for issuing
application for an original design or after December 8, 2004, for an
original patent, except design, plant, or a patent, or for the revival of an
patent: unintentionally terminated
(1) For an application filed on or after provisional applications:
reexamination proceeding under 35
December 8, 2004: By a small entity (§ 1.27(a)) ........ $105.00
By other than a small entity ....... 210.00
U.S.C. 41(a)(7) (§ 1.137(b)):
By a small entity (§ 1.27(a)) ........ $105.00 By a small entity (§ 1.27(a)) ........ $775.00
By other than a small entity ....... 210.00 (q) Examination fee for each By other than a small entity ....... 1,550.00
(2) For an application filed before application filed on or after December 8,
2004, for an original plant patent: * * * * *
December 8, 2004: (r) For entry of a submission after
By a small entity (§ 1.27(a)) ........ $180.00 By a small entity (§ 1.27(a)) ........ $85.00 final rejection under § 1.129(a):
By other than a small entity ....... 360.00 By other than a small entity ....... 170.00
(c) Basic fee for filing each application (r) Examination fee for each By other than a small entity ....... 820.00
for an original plant patent: application filed on or after December 8, (s) For each additional invention
(1) For an application filed on or after 2004, for the reissue of a patent: requested to be examined under
December 8, 2004: By a small entity (§ 1.27(a)) ........ $310.00 § 1.129(b):
By a small entity (§ 1.27(a)) ........ $105.00 By other than a small entity ....... 620.00
By other than a small entity ....... 210.00 (s) Application size fee for any By other than a small entity ....... 820.00
(2) For an application filed before application under 35 U.S.C. 111 filed on (t) For the acceptance of an
December 8, 2004: or after December 8, 2004, the unintentionally delayed claim for
specification and drawings of which priority under 35 U.S.C. 119, 120, 121,
By other than a small entity ....... 570.00 exceed 100 sheets of paper, for each or 365(a) or (c)
additional 50 sheets or fraction thereof (§§ 1.55 and 1.78) ........................ $1,550.00
(d) Basic fee for filing each (see § 1.52(f) for applications submitted
provisional application: in whole or in part on an electronic * * * * *
By a small entity (§ 1.27(a)) ........ $105.00 medium): 4. Section 1.18 is proposed to be
amended by revising paragraphs (a)
(e) Basic fee for filing each application By other than a small entity ....... 260.00 through (c) to read as follows:
for the reissue of a patent: 3. Section 1.17 is proposed to be § 1.18 Patent post allowance (including
(1) For an application filed on or after amended by revising paragraphs (a)(2) issue) fees.
December 8, 2004: through (a)(5), (e), (l), (m), and (r) (a) Issue fee for issuing each original
By a small entity (§ 1.27(a)) ........ $155.00 through (t) to read as follows: patent, except a design or plant patent,
By other than a small entity ....... 310.00 or for issuing each reissue patent:
§ 1.17 Patent application and
(2) For an application filed before reexamination processing fees.
December 8, 2004: By other than a small entity ....... 1,450.00
(a) * * *
(2) For reply within second month: (b) Issue fee for issuing an original
By other than a small entity ....... 820.00 design patent:
* * * * * By other than a small entity ....... 460.00 By a small entity (§ 1.27(a)) ........ $415.00
(h) In addition to the basic filing fee By other than a small entity ....... 830.00
in an application, other than a (3) For reply within third month:
(c) Issue fee for issuing an original
provisional application, for filing or By a small entity (§ 1.27(a)) ........ $525.00 plant patent:
By other than a small entity ....... 1,050.00

later presentation at any other time of By a small entity (§ 1.27(a)) ........ $570.00
each claim in independent form in (4) For reply within fourth month: By other than a small entity ....... 1,140.00
excess of 3: By a small entity (§ 1.27(a)) ........ $820.00 * * * * *
By a small entity (§ 1.27(a)) ........ $105.00 By other than a small entity ....... 1,640.00 5. Section 1.20 is proposed to be
By other than a small entity ....... 210.00 (5) For reply within fifth month: amended by revising paragraphs (c)(3),
(i) In addition to the basic filing fee By a small entity (§ 1.27(a)) ........ $1,115.00 (c)(4), and (e) through (g) to read as
in an application, other than a By other than a small entity ....... 2,230.00 follows:
§ 1.20 Post issuance fees. By other than a small entity ....... 310.00 By other than a small entity ....... 520.00
* * * * * * * * * * (3) For filing a request for an oral
(c) * * * (c) * * * hearing before the Board in an appeal
(3) For filing with a request for (2) In all situations not provided for under 35 U.S.C. 134:
reexamination or later presentation at in paragraph (c)(1) of this section: By a small entity (§ 1.27(a) of
any other time of each claim in By a small entity (§ 1.27(a)) ........ $105.00 this title) ................................... $520.00
independent form in excess of 3 and By other than a small entity ....... 210.00 By other than a small entity ....... 1,040.00
also in excess of the number of claims
(d) In addition to the basic national Option 2
in independent form in the patent under
fee, for filing or on a later presentation The amendments in Option 2 would
reexamination:
at any other time of each claim in be used if legislation is not enacted and
By a small entity (§ 1.27(a)) ........ $105.00 independent form in excess of 3:
By other than a small entity ....... 210.00 the fee adjustments would apply to the
By a small entity (§ 1.27(a)) ........ $105.00 former fee amounts that were in place
(4) For filing with a request for By other than a small entity ....... 210.00 prior to the enactment of the
reexamination or later presentation at (e) In addition to the basic national Consolidated Appropriations Act.
any other time of each claim (whether fee, for filing or on later presentation at
dependent or independent) in excess of any other time of each claim (whether PART 1—RULES OF PRACTICE IN
20 and also in excess of the number of dependent or independent) in excess of PATENT CASES
claims in the patent under 20 (note that § 1.75(c) indicates how
reexamination (note that § 1.75(c) 1. The authority citation for 37 CFR
multiple dependent claims are part 1 would continue to read as
indicates how multiple dependent considered for fee calculation purposes):
claims are considered for fee calculation follows:
purposes): By other than a small entity ....... 52.00
Authority: 35 U.S.C. 2, unless otherwise
By a small entity (§ 1.27(a)) ........ $26.00 noted.
By other than a small entity ....... 52.00 (f) In addition to the basic national 2. Section 1.16 is proposed to be
fee, if the application contains, or is amended by revising paragraphs (a), (b),
* * * * * amended to contain, a multiple
(e) For maintaining an original or (d), (f) through (i), and (k) to read as
dependent claim, per application: follows:
reissue patent, except a design or plant By a small entity (§ 1.27(a)) ........ $185.00
patent, based on an application filed on By other than a small entity ....... 370.00 § 1.16 National application filing fees.
or after December 12, 1980, in force (a) Basic fee for filing each application
beyond four years, the fee being due by * * * * *
(j) Application size fee for any for an original patent, except
three years and six months after the provisional, design, or plant
original grant: international application for which the
basic national fee was not paid before applications:
December 8, 2004, the specification and By a small entity (§ 1.27(a)) ........ $410.00
drawings of which exceed 100 sheets of By other than a small entity ....... 820.00
(f) For maintaining an original or paper, for each additional 50 sheets or (b) In addition to the basic filing fee
reissue patent, except a design or plant fraction thereof (see § 1.52(f) for in an original application, except
patent, based on an application filed on applications submitted in whole or in provisional applications, for filing or
or after December 12, 1980, in force part on an electronic medium): later presentation of each independent
beyond eight years, the fee being due by By a small entity (§ 1.27(a)) ........ $130.00 claim in excess of 3:
seven years and six months after the By other than a small entity ....... 260.00 By a small entity (§ 1.27(a)) ........ $46.00
original grant: By other than a small entity ....... 92.00
By a small entity (§ 1.27(a)) ........ $1,190.00 PART 41—PRACTICE BEFORE THE
By other than a small entity ....... 2,380.00 BOARD OF PATENT APPEALS AND * * * * *
INTERFERENCES (d) In addition to the basic filing fee
(g) For maintaining an original or in an original application, except
reissue patent, except a design or plant 1. The authority citation for 37 CFR provisional applications, if the
patent, based on an application filed on part 41 would continue to read as application contains, or is amended to
or after December 12, 1980, in force follows: contain, a multiple dependent claim(s),
beyond twelve years, the fee being due Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, per application:
by eleven years and six months after the 23, 32, 41, 134, 135, unless otherwise noted. By a small entity (§ 1.27(a)) ........ $155.00
original grant: By other than a small entity ....... 310.00
2. Section 41.20 is proposed to be
By a small entity (§ 1.27(a)) ........ $1,965.00 (f) Basic fee for filing each design
amended by revising paragraphs (b)(1)
through (b)(3) to read as follows: application:
* * * * * By a small entity (§ 1.27(a)) ........ $180.00
6. Section 1.492 is proposed to be § 41.20 Fees. By other than a small entity ....... 360.00
amended by revising paragraphs (a), * * * * *
(g) Basic fee for filing each plant
(c)(2), (d) through (f), and (j) to read as (b) * * *
(1) For filing a notice of appeal from application, except provisional
follows: applications:
the examiner to the Board:
§ 1.492 National stage fees. By a small entity (§ 1.27(a) of By a small entity (§ 1.27(a)) ........ $285.00

* * * * * this title) ................................... $260.00
(a) The basic national fee for an By other than a small entity ....... 520.00 (h) Basic fee for filing each reissue
international application entering the (2) In addition to the fee for filing a application:
national stage under 35 U.S.C. 371 if the notice of appeal, for filing a brief in By a small entity (§ 1.27(a)) ........ $410.00
basic national fee was not paid before support of an appeal: By other than a small entity ....... 820.00
December 8, 2004: By a small entity (§ 1.27(a) of (i) In addition to the basic filing fee
By a small entity (§ 1.27(a)) ........ $155.00 this title) ................................... $260.00 in a reissue application, for filing or
later presentation of each independent 4. Section 1.18 is proposed to be (2) Where no international
claim which is in excess of the number amended by revising paragraphs (a) preliminary examination fee as set forth
of independent claims in the original through (c) to read as follows: in § 1.482 has been paid to the United
patent: States Patent and Trademark Office, but
§ 1.18 Patent post allowance (including an international search fee as set forth
By a small entity (§ 1.27(a)) ........ $46.00 issue) fees.
By other than a small entity ....... 92.00 in § 1.445(a)(2) has been paid on the
(a) Issue fee for issuing each original international application to the United
* * * * * or reissue patent, except a design or States Patent and Trademark Office as
(k) Basic fee for filing each plant patent: an International Searching Authority:
provisional application: By a small entity (§ 1.27(a)) ........ $710.00 By a small entity (§ 1.27(a)) ........ $410.00
By a small entity (§ 1.27(a)) ........ $85.00 By other than a small entity ....... 1,420.00 By other than a small entity ....... 820.00
(b) Issue fee for issuing a design (3) Where no international
* * * * * patent: preliminary examination fee as set forth
3. Section 1.17 is proposed to be By a small entity (§ 1.27(a)) ........ $255.00 in § 1.482 has been paid and no
amended by revising paragraphs (a)(2) By other than a small entity ....... 510.00 international search fee as set forth in
through (a)(5), (e), (m), and (r) through (c) Issue fee for issuing a plant patent: § 1.445(a)(2) has been paid on the
(t) to read as follows: By a small entity (§ 1.27(a)) ........ $340.00 international application to the United
§ 1.17 Patent application and By other than a small entity ....... 680.00 States Patent and Trademark Office:
reexamination processing fees. * * * * * By a small entity (§ 1.27(a)) ........ $575.00
5. Section 1.20 is proposed to be By other than a small entity ....... 1,150.00
(a) * * *
(2) For reply within second month: amended by revising paragraphs (e) (4) * * *
By a small entity (§ 1.27(a)) ........ $220.00 through (g) to read as follows: (5) Where a search report on the
By other than a small entity ....... 440.00 international application has been
§ 1.20 Post issuance fees. prepared by the European Patent Office
(3) For reply within third month: * * * * * or the Japan Patent Office:
By a small entity (§ 1.27(a)) ........ $505.00 (e) For maintaining an original or By a small entity (§ 1.27(a)) ........ $490.00
By other than a small entity ....... 1,010.00 reissue patent, except a design or plant By other than a small entity ....... 980.00
patent, based on an application filed on
(4) For reply within fourth month: (b) In addition to the basic national
or after December 12, 1980, in force
By a small entity (§ 1.27(a)) ........ $790.00 beyond four years; the fee is due by fee, for filing or later presentation of
three years and six months after the each independent claim in excess of 3:
(5) For reply within fifth month: original grant: By a small entity (§ 1.27(a)) ........ $46.00
By a small entity (§ 1.27(a)) ........ $1,075.00 By a small entity (§ 1.27(a)) ........ $485.00
By other than a small entity ....... 2,150.00 By other than a small entity ....... 970.00 * * * * *
(f) For maintaining an original or (d) In addition to the basic national
* * * * *
reissue patent, except a design or plant fee, if the application contains, or is
(e) To request continued examination amended to contain, a multiple
pursuant to § 1.114: patent, based on an application filed on
or after December 12, 1980, in force dependent claim(s), per application:
beyond eight years; the fee is due by By a small entity (§ 1.27(a)) ........ $155.00
seven years and six months after the By other than a small entity ....... 310.00
* * * * * original grant:
(m) For filing a petition for the revival PART 41—PRACTICE BEFORE THE
By a small entity (§ 1.27(a)) ........ $1,115.00 BOARD OF PATENT APPEALS AND
of an unintentionally abandoned By other than a small entity ....... 2,230.00
application, for the unintentionally INTERFERENCES
delayed payment of the fee for issuing (g) For maintaining an original or
reissue patent, except a design or plant 1. The authority citation for 37 CFR
a patent, or for the revival of an part 41 would continue to read as
unintentionally terminated patent, based on an application filed on
or after December 12, 1980, in force follows:
reexamination proceeding under 35
U.S.C. 41(a)(7) (§ 1.137(b)): beyond twelve years; the fee is due by Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21,
eleven years and six months after the 23, 32, 41, 134, 135, unless otherwise noted.
original grant: 2. Section 41.20 is proposed to be
By a small entity (§ 1.27(a)) ........ $1,720.00 amended by revising paragraphs (b)(1)
* * * * * By other than a small entity ....... 3,440.00 through (b)(3) to read as follows:
(r) For entry of a submission after
final rejection under § 1.129(a): * * * * * § 41.20 Fees.
6. Section 1.492 is amended by
By a small entity (§ 1.27(a)) ........ $410.00 revising paragraphs (a)(1) through (a)(3), * * * * *
By other than a small entity ....... 820.00 (b) Appeal Fees.
(a)(5), (b) and (d) to read as follows:
(1) For filing a notice of appeal from
(s) For each additional invention the examiner to the Board:
§ 1.492 National stage fees.
requested to be examined under
* * * * * By a small entity (§ 1.27(a) of
§ 1.129(b):
(a) * * * this title) ................................... $175.00
By a small entity (§ 1.27(a)) ........ $410.00 By other than a small entity ....... 350.00
(1) Where an international
preliminary examination fee as set forth (2) In addition to the fee for filing a
(t) For the acceptance of an in § 1.482 has been paid on the notice of appeal, for filing a brief in
unintentionally delayed claim for international application to the United support of an appeal:
priority under 35 U.S.C. 119, 120, 121, States Patent and Trademark Office: By a small entity (§ 1.27(a) of
or 365(a) or (c): By a small entity (§ 1.27(a)) ........ $390.00 this title) ................................... $175.00
(§§ 1.55 and 1.78) ........................ $1,420.00 By other than a small entity ....... 780.00 By other than a small entity ....... 350.00
(3) For filing a request for an oral 4. Hand Delivery or Courier. Deliver appointment with the office at least 24
hearing before the Board in an appeal your comments to: Michael Jay, hours in advance.
under 35 U.S.C. 134: Environmental Protection Agency, Air FOR FURTHER INFORMATION CONTACT:
By a small entity (§ 1.27(a) of Planning and Development Branch, 901 Michael Jay at (913) 551–7460 or by e-
this title) ................................... $155.00 North 5th Street, Kansas City, Kansas mail at jay.michael@epa.gov.
By other than a small entity ....... 310.00 66101.
SUPPLEMENTARY INFORMATION:
Instructions: Direct your comments to
Dated: May 30, 2006. Throughout this document whenever
Docket ID No. EPA–R07–OAR–2006–
Jon W. Dudas, 0467. EPA’s policy is that all comments ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean
Under Secretary of Commerce for Intellectual received will be included in the public EPA.
Property and Director of the United States docket without change and may be I. Background
Patent and Trademark Office. made available online at http:// A. What Is EPA’s NOX SIP Call?
[FR Doc. E6–8682 Filed 6–2–06; 8:45 am] www.regulations.gov, including any B. What Was Our Response to Court
BILLING CODE 3510–16–P personal information provided, unless Decisions on the NOX SIP Call That
Affected Missouri?
the comment includes information C. What Requirements Must Missouri
claimed to be Confidential Business Meet?
ENVIRONMENTAL PROTECTION Information (CBI) or other information D. What Is EPA’s NOX Budget Trading
AGENCY whose disclosure is restricted by statute. Program?
Do not submit information that you E. How Does the NOX SIP Call Rule Relate
40 CFR Part 52 consider to be CBI or otherwise to the Existing Statewide NOX Rule?
protected through http:// F. How Does the NOX SIP Call Rule Relate
[EPA–R07–OAR–2006–0467; FRL–8179–8] to the Clean Air Interstate Rule?
www.regulations.gov or e-mail. The
http://www.regulations.gov Web site is II. Summary of State Submittal
Approval and Promulgation of A. When Did Missouri Develop and Submit
Implementation Plans; State of an ‘‘anonymous access’’ system, which
the NOX Emission Control Plan to EPA?
Missouri means EPA will not know your identity B. What Are the Basic Components of the
or contact information unless you State’s Plan?
AGENCY: Environmental Protection provide it in the body of your comment. C. What Do the Rules Require?
Agency (EPA). If you send an e-mail comment directly 1. What Are the Requirements of the EGU
ACTION: Proposed rule. to EPA without going through http:// and Non-EGU Rule?
www.regulations.gov, your e-mail 2. What Are the Requirements of the
SUMMARY: On November 3, 2005, Cement Kiln Rule?
address will be automatically captured
Missouri submitted a plan to control and included as part of the comment 3. What Are the Requirements of the Large
emissions of nitrogen oxides (NOX) for that is placed in the public docket and Stationary Internal Combustion Engine
the eastern one-third of the state. The made available on the Internet. If you Rule?
plan consists of three rules, a budget D. How Does Missouri Address Its NOX SIP
submit an electronic comment, EPA Call Budget?
demonstration, and supporting recommends that you include your
documentation. The plan will 1. What NOX Budget Did EPA Determine
name and other contact information in for the State?
contribute to attainment and the body of your comment and with any 2. What Changes Did the State Request to
maintenance of the 8-hour ozone disk or CD–ROM you submit. If EPA the NOX Budget and Are Those Changes
standard in several downwind areas. cannot read your comment due to Approvable?
Missouri’s plan, which focuses on large technical difficulties and cannot contact 3. How Does Missouri Demonstrate That It
electric generating units, large industrial you for clarification, EPA may not be Is Meeting the Budget?
boilers, large stationary internal able to consider your comment. E. What Guidance Did EPA Use To
combustion engines, and large cement Electronic files should avoid the use of Evaluate Missouri’s NOX Control
kilns, was developed to meet the Program?
special characters, any form of III. Proposed Action
requirements of EPA’s April 21, 2004, encryption, and be free of any defects or
Phase II NOX State Implementation Plan viruses. IV. Statutory and Executive Order Reviews
(SIP) Call. EPA is proposing to approve Docket. All documents in the I. Background
the plan as a SIP revision fulfilling the electronic docket are listed in the
NOX SIP Call requirements. The initial A. What Is EPA’s NOX SIP Call?
http://www.regulations.gov index.
period for compliance under the plan Although listed in the index, some By notice dated October 27, 1998 (63
will begin in 2007, and the emission information is not publicly available, FR 57356), we took final action to
monitoring and reporting requirements e.g., CBI or other information whose prohibit specified amounts of emissions
for sources holding allowances under disclosure is restricted by statute. of one of the main precursors of
the plan began on May 1, 2006. Certain other material, such as groundlevel ozone, NOX, in order to
DATES: Comments must be received on copyrighted material, will be publicly reduce ozone transport across state
or before July 5, 2006. available only in hard copy. Publicly boundaries in the eastern half of the
ADDRESSES: Submit your comments, available docket materials are available United States. Based on extensive air
identified by Docket ID No. EPA–R07– either electronically in http:// quality modeling and analyses, we
OAR–2006–0467, by one of the www.regulations.gov or in hard copy at found that sources in 22 states and the
following methods: the Environmental Protection Agency, District of Columbia (DC) emit NOX in
1. http://www.regulations.gov: Follow Air Planning and Development Branch, amounts that significantly contribute to
the on-line instructions for submitting 901 North 5th Street, Kansas City, nonattainment of the 1-hour and 8-hour
comments. Kansas. EPA requests that you contact ozone national ambient air quality
2. E-mail: jay.michael@epa.gov. the person listed in the FOR FURTHER standards (NAAQS) in downwind
3. Mail: Michael Jay, Environmental INFORMATION CONTACT section to states. We set forth requirements for
Protection Agency, Air Planning and schedule your inspection. The each of the affected upwind states to
Development Branch, 901 North 5th interested persons wanting to examine submit SIP revisions prohibiting those
Street, Kansas City, Kansas 66101. these documents should make an amounts of NOX emissions during the

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§ 1.16 National application filing, search provisional application, for filing or * * * * *

By other than a small entity ....... 1,050.00

By other than a small entity ....... 570.00

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