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 October 2, 2012 US PATENT AND TRADEMARK OFFICE Print Table of Contents 1383 OG 1 

OFFICIAL GAZETTE of the UNITED STATES PATENT AND TRADEMARK OFFICE

October 2, 2012 Volume 1383 Number 1

CONTENTS

 Patent and Trademark Office NoticesPage 
Patent Cooperation Treaty (PCT) Information1383 OG 2
Notice of Maintenance Fees Payable1383 OG 5
Notice of Expiration of Patents Due to Failure to Pay Maintenance Fee1383 OG 6
Patents Reinstated Due to the Acceptance of a Late Maintenance Fee from 09/03/20121383 OG 30
Reissue Applications Filed1383 OG 31
Requests for Ex Parte Reexamination Filed1383 OG 32
Requests for Inter Partes Reexamination Filed1383 OG 33
Notice of Expiration of Trademark Registrations Due to Failure to Renew1383 OG 35
Service by Publication1383 OG 40
37 CFR 1.47 Notice by Publication1383 OG 42
Registration to Practice1383 OG 44
Notice of Petition for Reinstatement1383 OG 46
Status of Public Records Division1383 OG 47
CPI Adjustment of Patent Fees for Fiscal Year 20121383 OG 49
Setting and Adjusting Patent Fees1383 OG 65
Errata1383 OG 167
Erratum1383 OG 170
Certificates of Correction1383 OG 171
Summary of Final Decisions Issued by the Trademark Trial and Appeal Board1383 OG 174

Mailing and Hand Carry Addresses for Mail to the United States Patent and Trademark Office
Reference Collections of U.S. Patents Available for Public Use in Patent and Trademark Resource Centers
Patent Technology Centers



COPIES OF PATENTS are furnished by the Patent and Trademark Office at $3.00 each; PLANT PATENTS in color, $15.00 each; copies of TRADEMARKS at $3.00 each. Address orders to the Commissioner of Patents and Trademarks, P.O. Box 1450, Alexandria, VA., 22313-1450, or click here for online ordering.


Printing by U.S.P.T.O. in electronic form is authorized by 35 U.S.C. § 10(a)3


Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 2 

Patent Cooperation Treaty (PCT) Information
                  Patent Cooperation Treaty (PCT) Information

   For information concerning PCT member countries, see the notice
appearing in the Official Gazette at 1382 O.G. 61, on September 11, 2012.

   For information on subject matter under Rule 39 that a particular
International Searching Authority will not search, see Annex D of the PCT
Applicants' Guide.

European Patent Office as Searching and Examining Authority

   The European Patent Office (EPO) may act as the International Searching
Authority (ISA) or the International Preliminary Examining Authority (IPEA)
for an international application filed with the United States Receiving
Office or the International Bureau (IB) as Receiving Office where at least
one of the applicants is either a national or resident of the United States
of America. However, the use of the EPO is restricted. The EPO will not act
as an ISA for applications with one or more claims directed to a business
method. For the definition of what the EPO considers to be precluded
subject matter in the field of business methods, see PCT Applicants's
Guide, Annexes D(EP), E(EP) and the Official Notices (PCT Gazette) dated
May 6, 2010, page 94
(http://www.wipo.int/pct/en/official_notices/index.html). The EPO will act
as an IPEA only if it also acted as the ISA.

   The search fee of the European Patent Office was increased, effective
April 1, 2012, and was announced in the Official Gazette at 1377 O.G. 5, on
April 3, 2012.

Korean Intellectual Property Office as Searching and Examining Authority

The Korean Intellectual Property Office may act as the ISA or the IPEA for
an international application filed with the United States Receiving Office
or the International Bureau (IB) as Receiving Office where at least one of
the applicants is either a national or resident of the United States of
America. The announcement appears in the Official Gazette at 1302 O.G.
1261 on January 17, 2006.

   The search fee of the Korean Intellectual Property Office was decreased,
effective January 1, 2012, and was announced in the Official Gazette at
1373 O.G. 177, on December 27, 2011.

Australian Patent Office as Searching and Examining Authority

   The Australian Patent Office (IP Australia) may act as the ISA or the
IPEA for an international application filed with the United States
Receiving Office or the International Bureau (IB) as Receiving Office where
at least one of the applicants is either a national or resident of the
United States of America. The announcement appears in the Offical Gazette
at 1337 O.G. 265, on December 23, 2008. However, the use of IP Australia is
restricted. IP Australia will not act as an ISA for applications with one
or more claims directed to the fields of business methods or mechanical
engineering or analogous fields of technology as defined by specified areas
of the International Patent Classification System, as indicated in the
Official Gazette at 1337 O.G. 261 on December 23, 2008, in Annex A to the
agreement between the USPTO and IP Australia, IP Australia will act as an
IPEA only if it also acted as the ISA.

   The search fee of IP Australia was increased, effective July 1, 2012,
and was announced in the Official Gazette at 1380 O.G. 5, on July 3, 2012.

The Federal Service on Intellectual Property, Patents & Trademarks of
Russia as Searching and Examining Authority

   The Federal Service on Intellectual Property, Patents & Trademarks of
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 3 

Russia (Rospatent) may act as the ISA or the IPEA for an international
application filed with the United States Receiving Office or the
International Bureau (IB) as Receiving Office where at least one of the
applicants is either a national or resident of the United States of
America. The announcement appears in the Official Gazette at 1378 O.G. 162,
on May 8, 2012.

   The search fee of Rospatent was increased, effective June 1, 2012, and
was announced in the Official Gazette at 1378 O.G. 162, on May 8, 2012.

Fees

   The transmittal fee for the USPTO was changed to include a basic portion
and a non-electronic filing fee portion, effective November 15, 2011, and
was announced in the Federal Register on November 15, 2011. Search fees for
the USPTO were changed, effective January 12, 2009, and were announced in
the Federal Register on November 12, 2008. The fee for filing a request for
the restoration of the right of priority was established, effective
November 9, 2007, and was announced in the Federal Register on September
10, 2007.

   International filing fees were decreased, effective January 1, 2012,
and were announced in the Official Gazette at 1373 O.G. 177, on December
27, 2011.

   The schedule of PCT fees (in U.S. dollars), as of July 1, 2012, is as
follows:

International Application (PCT Chapter I) fees:

   Transmittal fee
      Basic Portion                                                 $240.00
      Non-electronic filing fee portion for international
       applications (other than plant applications) filed
       on or after 15 November 2011 other than by the
       Office electronic filing system (other than a
       small entity)                                                $400.00
      Non-electronic filing fee portion for international
       applications (other than plant applications) filed
       on or after 15 November 2011 other than by the
       Office electronic filing system (small entity)               $200.00

   Search fee

      U.S. Patent and Trademark Office (USPTO) as
      International Searching Authority (ISA)
         - Search fee                                             $2,080.00
         - Supplemental search fee, per additional
            invention (payable only upon invitation)              $2,080.00
      European Patent Office as ISA                               $2,426.00
      Korean Intellectual Property Office as ISA                  $1,101.00
      IP Australia as ISA                                         $2,254.00
      Federal Service on Intellectual Property, Patents &
         Trademarks of Russia (Rospatent) as ISA                    $453.00

   International fees

      International filing fee                                    $1,453.00
      International filing fee-filed in paper
         with PCT EASY zip file or
         electronically without PCT EASY zip file                 $1,344.00
      International filing fee-filed
         electronically with PCT EASY zip files                   $1,234.00
      Supplemental fee for each page over 30                         $16.00

   Restoration of Priority
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 4 


      Filing a request for the restoration of the
      right of priority under § 1.452                             $1,410.00

   International Application (PCT Chapter II) fees associated
   with filing a Demand for Preliminary Examination:

      Handling fee                                                  $219.00
      Handling fee-90% reduction, if applicants meet criteria
      specified at:
        http://www.wipo.int/pct/en/fees/fee_reduction.pdf            $21.90
      Preliminary examination fee
         USPTO as International Preliminary
         Examining Authority (IPEA)
            - USPTO was ISA in PCT Chapter I                        $600.00
            - USPTO was not ISA in PCT Chapter I                    $750.00
            - Additional preliminary examination fee,
              per additional invention
              (payable only upon invitation)                        $600.00

   U.S. National Stage fees (for international applications entering
the U.S. national phase under 35 U.S.C. 371) can be found on the USPTO's
Web site (www.uspto.gov).

July 26, 2012                                           ANDREW H. HIRSHFELD
                                                    Deputy Commissioner for
                                                  Patent Examination Policy
                                  United States Patent and Trademark Office
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 5 

Notice of Maintenance Fees Payable
                   Notice of Maintenance Fees Payable

   Title 37 Code of Federal Regulations (CFR), Section 1.362(d) provides
that maintenance fees may be paid without surcharge for the six-month
period beginning 3, 7, and 11 years after the date of issue of patents
based on applications filed on or after Dec. 12, 1980. An additional
six-month grace period is provided by 35 U.S.C. 41(b) and 37 CFR 1.362(e)
for payment of the maintenance fee with the surcharge set forth in 37 CFR
1.20(h), as amended effective Dec. 16, 1991. If the maintenance fee is
not paid in the patent requiring such payment the patent will expire on
the 4th, 8th, or 12th anniversary of the grant.

   Attention is drawn to the patents that were issued on September 22, 2009
for which maintenance fees due at 3 years and six months may now be paid
The patents have patent numbers within the following ranges:

        Utility Patents 7,591,023 through 7,594,277
        Reissue Patents based on the above identified patents.

   Attention is drawn to the patents that were issued on September 20, 2005
for which maintenance fees due at 7 years and six months may now be paid
The patents have patent numbers within the following ranges:

        Utility Patents 6,944,882 through 6,948,186
        Reissue Patents based on the above identified patents.

   Attention is drawn to the patents that were issued on September 18, 2001
for which maintenance fees due at 11 years and six months may now be paid.
The patents have patent numbers within the following ranges:

        Utility Patents 6,289,515 through 6,292,944
        Reissue Patents based on the above identified patents.

   No maintenance fees are required for design or plant patents.

   Payments of maintenance fees in patents may be submitted electronically
over the Internet at www.uspto.gov. Click on the "Site Index" link at the
top of the homepage (www.uspto.gov), and then scroll down and click on the
"Maintenance Fees" link for more information.

   Payments of maintenance fees in patents not submitted electronically
over the Internet should be mailed to "United States Patent and Trademark
Office, P.O. Box 979070, St. Louis, MO 63197-9000".

   Correspondence related to maintenance fees other than payments of
maintenance fees in patents is not to be mailed to P.O. Box 979070,
St. Louis, MO 63197-9000, but must be mailed to "Mail Stop M
Correspondence, Director of the U.S. Patent and Trademark Office, P.O.
Box 1450, Alexandria, VA 22313-1450".

   Patent owners must establish small entity status according to 37 CFR
1.27 if they have not done so and if they wish to pay the small entity
amount.

   The current amounts of the maintenance fees due at 3 years and six
months, 7 years and six months, and 11 years and six months are set forth
in the most recently amended provisions in 37 CFR 1.20(e)-(g). To obtain
the current maintenance fee amounts, please call the USPTO Contact Center
at (800)-786-9199 or see the current USPTO fee schedule posted on the USPTO
Internet web site. At the top of the USPTO homepage at www.uspto.gov, click
on the "Site Index" link and then scroll down and click on the "Fees,
USPTO" link to find the current USPTO fee schedule.
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 6 

Notice of Expiration of Patents Due to Failure to Pay Maintenance Fee
                        Notice of Expiration of Patents
                     Due to Failure to Pay Maintenance Fee

   35 U.S.C. 41 and 37 CFR 1.362(g) provide that if the required
maintenance fee and any applicable surcharge are not paid in a patent
requiring such payment, the patent will expire at the end of the 4th, 8th
or 12th anniversary of the grant of the patent depending on the first
maintenance fee which was not paid.
   According to the records of the Office, the patents listed below have
expired due to failure to pay the required maintenance fee and any
applicable surcharge.

                   PATENTS WHICH EXPIRED ON August 15, 2012
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                           Issue
Number                             Number                              Date

6,101,628                        09/267,961                        08/15/00
6,101,631                        09/324,041                        08/15/00
6,101,635                        09/346,644                        08/15/00
6,101,636                        08/757,295                        08/15/00
6,101,638                        09/305,159                        08/15/00
6,101,660                        09/226,860                        08/15/00
6,101,661                        09/037,379                        08/15/00
6,101,671                        09/226,897                        08/15/00
6,101,680                        09/143,885                        08/15/00
6,101,688                        08/891,703                        08/15/00
6,101,693                        08/874,956                        08/15/00
6,101,694                        08/848,432                        08/15/00
6,101,696                        09/186,838                        08/15/00
6,101,702                        09/025,739                        08/15/00
6,101,707                        09/260,179                        08/15/00
6,101,708                        08/859,258                        08/15/00
6,101,718                        08/913,154                        08/15/00
6,101,729                        09/076,341                        08/15/00
6,101,735                        09/064,412                        08/15/00
6,101,738                        09/122,734                        08/15/00
6,101,755                        09/004,888                        08/15/00
6,101,756                        09/369,877                        08/15/00
6,101,763                        09/201,659                        08/15/00
6,101,774                        09/154,906                        08/15/00
6,101,777                        09/088,086                        08/15/00
6,101,780                        09/020,623                        08/15/00
6,101,783                        09/167,697                        08/15/00
6,101,788                        09/090,889                        08/15/00
6,101,789                        09/243,961                        08/15/00
6,101,795                        09/076,160                        08/15/00
6,101,799                        09/268,782                        08/15/00
6,101,800                        09/178,773                        08/15/00
6,101,801                        08/965,370                        08/15/00
6,101,803                        09/273,505                        08/15/00
6,101,813                        09/055,937                        08/15/00
6,101,818                        08/967,632                        08/15/00
6,101,822                        09/388,302                        08/15/00
6,101,829                        09/399,482                        08/15/00
6,101,831                        09/128,894                        08/15/00
6,101,840                        09/071,166                        08/15/00
6,101,846                        08/795,752                        08/15/00
6,101,850                        09/167,583                        08/15/00
6,101,851                        08/931,373                        08/15/00
6,101,855                        09/149,469                        08/15/00
6,101,872                        09/036,732                        08/15/00
6,101,873                        08/649,203                        08/15/00
6,101,874                        09/077,235                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 7 

6,101,876                        09/103,791                        08/15/00
6,101,880                        09/047,776                        08/15/00
6,101,885                        09/094,065                        08/15/00
6,101,890                        09/218,622                        08/15/00
6,101,896                        09/231,393                        08/15/00
6,101,897                        09/384,957                        08/15/00
6,101,919                        09/054,058                        08/15/00
6,101,924                        09/379,535                        08/15/00
6,101,930                        09/154,438                        08/15/00
6,101,932                        09/186,509                        08/15/00
6,101,934                        09/228,210                        08/15/00
6,101,937                        09/289,080                        08/15/00
6,101,938                        09/312,151                        08/15/00
6,101,941                        09/277,788                        08/15/00
6,101,944                        09/165,605                        08/15/00
6,101,945                        09/124,552                        08/15/00
6,101,946                        09/191,935                        08/15/00
6,101,947                        09/010,823                        08/15/00
6,101,949                        09/071,780                        08/15/00
6,101,953                        08/976,743                        08/15/00
6,101,955                        09/204,150                        08/15/00
6,101,964                        09/233,853                        08/15/00
6,101,968                        09/131,154                        08/15/00
6,101,978                        08/686,309                        08/15/00
6,101,979                        09/301,308                        08/15/00
6,101,981                        09/149,178                        08/15/00
6,101,994                        09/224,911                        08/15/00
6,101,995                        09/282,433                        08/15/00
6,102,003                        09/273,515                        08/15/00
6,102,005                        09/020,357                        08/15/00
6,102,009                        09/157,955                        08/15/00
6,102,010                        09/061,063                        08/15/00
6,102,011                        09/188,162                        08/15/00
6,102,013                        09/368,356                        08/15/00
6,102,014                        09/163,027                        08/15/00
6,102,030                        09/438,501                        08/15/00
6,102,034                        08/983,121                        08/15/00
6,102,043                        09/373,417                        08/15/00
6,102,046                        09/089,012                        08/15/00
6,102,048                        09/298,083                        08/15/00
6,102,057                        09/247,109                        08/15/00
6,102,062                        09/237,467                        08/15/00
6,102,064                        09/151,186                        08/15/00
6,102,084                        09/038,804                        08/15/00
6,102,085                        09/188,860                        08/15/00
6,102,089                        09/260,444                        08/15/00
6,102,091                        08/897,988                        08/15/00
6,102,092                        09/098,395                        08/15/00
6,102,097                        09/420,743                        08/15/00
6,102,112                        09/027,830                        08/15/00
6,102,117                        09/083,304                        08/15/00
6,102,120                        09/098,280                        08/15/00
6,102,124                        09/345,228                        08/15/00
6,102,135                        09/044,380                        08/15/00
6,102,137                        09/032,669                        08/15/00
6,102,138                        09/135,914                        08/15/00
6,102,144                        09/082,874                        08/15/00
6,102,145                        09/120,345                        08/15/00
6,102,153                        09/318,858                        08/15/00
6,102,156                        09/115,046                        08/15/00
6,102,157                        09/356,516                        08/15/00
6,102,158                        09/196,300                        08/15/00
6,102,168                        09/177,656                        08/15/00
6,102,170                        09/074,728                        08/15/00
6,102,171                        09/090,020                        08/15/00
6,102,174                        09/315,559                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 8 

6,102,181                        09/188,424                        08/15/00
6,102,182                        09/260,526                        08/15/00
6,102,187                        08/992,554                        08/15/00
6,102,188                        09/141,620                        08/15/00
6,102,189                        09/271,937                        08/15/00
6,102,197                        09/171,714                        08/15/00
6,102,200                        09/389,571                        08/15/00
6,102,230                        08/939,433                        08/15/00
6,102,233                        09/081,368                        08/15/00
6,102,235                        09/457,052                        08/15/00
6,102,236                        09/341,917                        08/15/00
6,102,242                        09/029,506                        08/15/00
6,102,247                        09/126,014                        08/15/00
6,102,249                        09/026,931                        08/15/00
6,102,256                        09/470,978                        08/15/00
6,102,257                        09/132,703                        08/15/00
6,102,258                        09/074,267                        08/15/00
6,102,260                        09/120,616                        08/15/00
6,102,261                        09/097,416                        08/15/00
6,102,265                        09/025,280                        08/15/00
6,102,266                        08/826,599                        08/15/00
6,102,273                        09/120,314                        08/15/00
6,102,281                        08/969,486                        08/15/00
6,102,289                        08/671,472                        08/15/00
6,102,290                        09/113,685                        08/15/00
6,102,293                        08/924,849                        08/15/00
6,102,294                        08/506,574                        08/15/00
6,102,300                        09/303,858                        08/15/00
6,102,302                        09/343,638                        08/15/00
6,102,303                        09/088,127                        08/15/00
6,102,317                        09/024,022                        08/15/00
6,102,318                        09/450,005                        08/15/00
6,102,335                        09/074,772                        08/15/00
6,102,338                        08/919,193                        08/15/00
6,102,341                        09/223,933                        08/15/00
6,102,351                        09/263,070                        08/15/00
6,102,357                        09/250,807                        08/15/00
6,102,360                        09/132,070                        08/15/00
6,102,369                        09/249,977                        08/15/00
6,102,371                        08/728,892                        08/15/00
6,102,382                        08/819,449                        08/15/00
6,102,387                        08/812,661                        08/15/00
6,102,389                        08/960,450                        08/15/00
6,102,390                        09/316,009                        08/15/00
6,102,391                        09/079,916                        08/15/00
6,102,393                        09/376,187                        08/15/00
6,102,398                        09/148,897                        08/15/00
6,102,403                        09/233,034                        08/15/00
6,102,411                        09/134,269                        08/15/00
6,102,423                        09/059,008                        08/15/00
6,102,427                        08/986,093                        08/15/00
6,102,428                        09/452,555                        08/15/00
6,102,447                        09/221,791                        08/15/00
6,102,448                        09/022,200                        08/15/00
6,102,462                        09/211,884                        08/15/00
6,102,465                        09/172,773                        08/15/00
6,102,472                        09/125,819                        08/15/00
6,102,488                        09/031,396                        08/15/00
6,102,493                        09/112,311                        08/15/00
6,102,499                        09/126,623                        08/15/00
6,102,501                        09/384,050                        08/15/00
6,102,503                        09/356,358                        08/15/00
6,102,508                        08/721,815                        08/15/00
6,102,517                        08/894,669                        08/15/00
6,102,520                        08/375,174                        08/15/00
6,102,527                        09/081,185                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 9 

6,102,533                        08/919,348                        08/15/00
6,102,542                        09/256,655                        08/15/00
6,102,551                        09/172,930                        08/15/00
6,102,574                        09/248,634                        08/15/00
6,102,580                        09/286,398                        08/15/00
6,102,587                        09/099,509                        08/15/00
6,102,592                        09/013,064                        08/15/00
6,102,599                        09/212,803                        08/15/00
6,102,602                        09/387,267                        08/15/00
6,102,625                        09/091,212                        08/15/00
6,102,627                        09/147,118                        08/15/00
6,102,636                        09/089,183                        08/15/00
6,102,672                        08/926,881                        08/15/00
6,102,689                        09/201,418                        08/15/00
6,102,696                        09/302,526                        08/15/00
6,102,701                        09/234,588                        08/15/00
6,102,705                        09/247,124                        08/15/00
6,102,708                        09/168,657                        08/15/00
6,102,713                        09/275,322                        08/15/00
6,102,719                        09/114,444                        08/15/00
6,102,722                        09/221,093                        08/15/00
6,102,735                        09/223,037                        08/15/00
6,102,743                        09/120,168                        08/15/00
6,102,744                        09/085,451                        08/15/00
6,102,757                        09/117,999                        08/15/00
6,102,760                        09/209,850                        08/15/00
6,102,763                        09/214,528                        08/15/00
6,102,765                        09/133,811                        08/15/00
6,102,786                        09/234,633                        08/15/00
6,102,794                        09/315,959                        08/15/00
6,102,795                        09/104,574                        08/15/00
6,102,799                        09/009,141                        08/15/00
6,102,809                        08/948,629                        08/15/00
6,102,822                        09/150,210                        08/15/00
6,102,825                        09/268,709                        08/15/00
6,102,827                        09/301,468                        08/15/00
6,102,829                        09/077,162                        08/15/00
6,102,831                        09/056,668                        08/15/00
6,102,835                        09/015,554                        08/15/00
6,102,838                        09/189,944                        08/15/00
6,102,845                        08/192,894                        08/15/00
6,102,846                        09/031,245                        08/15/00
6,102,871                        09/197,439                        08/15/00
6,102,879                        09/224,699                        08/15/00
6,102,880                        09/408,901                        08/15/00
6,102,889                        09/086,624                        08/15/00
6,102,893                        08/945,858                        08/15/00
6,102,894                        09/307,846                        08/15/00
6,102,896                        09/392,293                        08/15/00
6,102,919                        08/681,827                        08/15/00
6,102,924                        09/375,757                        08/15/00
6,102,928                        09/232,988                        08/15/00
6,102,943                        09/013,674                        08/15/00
6,102,947                        09/007,021                        08/15/00
6,102,954                        08/804,675                        08/15/00
6,102,972                        09/302,749                        08/15/00
6,102,975                        09/410,746                        08/15/00
6,102,979                        09/143,055                        08/15/00
6,102,986                        09/230,156                        08/15/00
6,102,990                        09/134,580                        08/15/00
6,102,992                        09/191,496                        08/15/00
6,102,993                        09/365,913                        08/15/00
6,102,995                        09/035,898                        08/15/00
6,102,997                        09/087,183                        08/15/00
6,103,004                        08/945,513                        08/15/00
6,103,005                        09/202,440                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 10 

6,103,028                        09/252,302                        08/15/00
6,103,051                        09/169,959                        08/15/00
6,103,065                        09/281,400                        08/15/00
6,103,066                        09/085,423                        08/15/00
6,103,070                        08/856,423                        08/15/00
6,103,075                        09/179,004                        08/15/00
6,103,078                        09/390,740                        08/15/00
6,103,087                        09/157,250                        08/15/00
6,103,089                        09/196,918                        08/15/00
6,103,099                        09/148,282                        08/15/00
6,103,103                        09/250,643                        08/15/00
6,103,111                        09/333,576                        08/15/00
6,103,112                        09/295,474                        08/15/00
6,103,115                        09/268,860                        08/15/00
6,103,116                        09/164,798                        08/15/00
6,103,118                        08/860,005                        08/15/00
6,103,122                        08/903,101                        08/15/00
6,103,125                        09/117,057                        08/15/00
6,103,127                        09/030,537                        08/15/00
6,103,133                        09/042,738                        08/15/00
6,103,134                        09/224,011                        08/15/00
6,103,143                        09/225,803                        08/15/00
6,103,150                        09/038,316                        08/15/00
6,103,155                        09/229,048                        08/15/00
6,103,156                        08/877,410                        08/15/00
6,103,162                        09/091,679                        08/15/00
6,103,163                        09/024,426                        08/15/00
6,103,167                        08/907,893                        08/15/00
6,103,174                        09/133,263                        08/15/00
6,103,184                        09/394,515                        08/15/00
6,103,185                        09/316,384                        08/15/00
6,103,186                        09/195,136                        08/15/00
6,103,187                        09/198,498                        08/15/00
6,103,189                        09/037,639                        08/15/00
6,103,203                        08/912,031                        08/15/00
6,103,204                        08/989,180                        08/15/00
6,103,206                        09/187,884                        08/15/00
6,103,212                        09/358,550                        08/15/00
6,103,217                        08/901,220                        08/15/00
6,103,218                        08/839,150                        08/15/00
6,103,224                        08/426,570                        08/15/00
6,103,225                        09/270,301                        08/15/00
6,103,226                        08/290,028                        08/15/00
6,103,236                        08/981,416                        08/15/00
6,103,262                        08/187,568                        08/15/00
6,103,269                        09/260,261                        08/15/00
6,103,270                        09/307,585                        08/15/00
6,103,276                        09/258,885                        08/15/00
6,103,282                        09/185,540                        08/15/00
6,103,288                        09/341,521                        08/15/00
6,103,293                        09/103,804                        08/15/00
6,103,296                        09/064,485                        08/15/00
6,103,297                        09/216,988                        08/15/00
6,103,306                        09/245,338                        08/15/00
6,103,308                        09/065,266                        08/15/00
6,103,311                        09/109,187                        08/15/00
6,103,312                        09/166,228                        08/15/00
6,103,316                        09/118,590                        08/15/00
6,103,321                        09/212,381                        08/15/00
6,103,329                        09/315,873                        08/15/00
6,103,330                        09/075,846                        08/15/00
6,103,332                        08/647,918                        08/15/00
6,103,334                        09/145,186                        08/15/00
6,103,345                        09/006,220                        08/15/00
6,103,348                        09/000,329                        08/15/00
6,103,350                        08/870,971                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 11 

6,103,361                        09/144,766                        08/15/00
6,103,364                        08/885,558                        08/15/00
6,103,366                        08/825,333                        08/15/00
6,103,372                        09/212,124                        08/15/00
6,103,378                        09/198,296                        08/15/00
6,103,380                        09/089,263                        08/15/00
6,103,387                        08/849,545                        08/15/00
6,103,394                        09/029,716                        08/15/00
6,103,397                        09/037,663                        08/15/00
6,103,399                        08/913,232                        08/15/00
6,103,405                        09/017,662                        08/15/00
6,103,407                        09/165,902                        08/15/00
6,103,412                        09/076,101                        08/15/00
6,103,416                        09/037,030                        08/15/00
6,103,421                        08/939,104                        08/15/00
6,103,424                        09/038,133                        08/15/00
6,103,431                        09/273,491                        08/15/00
6,103,435                        09/312,714                        08/15/00
6,103,448                        09/149,953                        08/15/00
6,103,450                        09/276,735                        08/15/00
6,103,452                        09/256,999                        08/15/00
6,103,458                        08/903,701                        08/15/00
6,103,461                        09/140,799                        08/15/00
6,103,468                        08/944,974                        08/15/00
6,103,472                        09/026,959                        08/15/00
6,103,474                        09/183,619                        08/15/00
6,103,496                        09/087,727                        08/15/00
6,103,500                        08/854,764                        08/15/00
6,103,503                        09/107,352                        08/15/00
6,103,507                        09/386,048                        08/15/00
6,103,513                        08/721,986                        08/15/00
6,103,518                        09/263,304                        08/15/00
6,103,539                        09/178,567                        08/15/00
6,103,542                        08/937,433                        08/15/00
6,103,578                        09/283,751                        08/15/00
6,103,579                        08/960,875                        08/15/00
6,103,600                        09/159,645                        08/15/00
6,103,618                        09/346,943                        08/15/00
6,103,620                        08/950,801                        08/15/00
6,103,635                        08/959,197                        08/15/00
6,103,640                        09/149,171                        08/15/00
6,103,641                        09/058,115                        08/15/00
6,103,649                        09/343,160                        08/15/00
6,103,658                        09/177,099                        08/15/00
6,103,670                        09/292,825                        08/15/00
6,103,681                        09/180,542                        08/15/00
6,103,689                        08/298,941                        08/15/00
6,103,690                        09/204,392                        08/15/00
6,103,692                        08/814,836                        08/15/00
6,103,697                        08/836,480                        08/15/00
6,103,701                        08/470,027                        08/15/00
6,103,702                        09/317,678                        08/15/00
6,103,708                        09/307,691                        08/15/00
6,103,716                        09/101,567                        08/15/00
6,103,718                        09/341,135                        08/15/00
6,103,721                        09/455,096                        08/15/00
6,103,727                        09/435,401                        08/15/00
6,103,730                        08/486,264                        08/15/00
6,103,733                        09/150,270                        08/15/00
6,103,734                        08/666,533                        08/15/00
6,103,744                        09/394,448                        08/15/00
6,103,749                        09/290,346                        08/15/00
6,103,751                        09/102,417                        08/15/00
6,103,754                        09/264,713                        08/15/00
6,103,757                        09/390,295                        08/15/00
6,103,762                        09/242,130                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 12 

6,103,765                        08/890,445                        08/15/00
6,103,769                        09/125,085                        08/15/00
6,103,770                        08/860,468                        08/15/00
6,103,771                        09/045,285                        08/15/00
6,103,773                        09/014,175                        08/15/00
6,103,778                        09/162,491                        08/15/00
6,103,780                        09/061,557                        08/15/00
6,103,781                        09/271,567                        08/15/00
6,103,786                        09/028,941                        08/15/00
6,103,799                        09/009,099                        08/15/00
6,103,805                        09/100,889                        08/15/00
6,103,809                        09/195,335                        08/15/00
6,103,816                        07/968,807                        08/15/00
6,103,819                        09/334,515                        08/15/00
6,103,823                        09/025,205                        08/15/00
6,103,830                        08/930,697                        08/15/00
6,103,834                        09/172,737                        08/15/00
6,103,836                        09/311,721                        08/15/00
6,103,837                        08/973,588                        08/15/00
6,103,842                        09/072,492                        08/15/00
6,103,843                        08/740,406                        08/15/00
6,103,869                        09/082,039                        08/15/00
6,103,871                        08/916,989                        08/15/00
6,103,881                        09/015,729                        08/15/00
6,103,884                        08/623,335                        08/15/00
6,103,885                        08/530,127                        08/15/00
6,103,887                        09/210,889                        08/15/00
6,103,888                        09/322,911                        08/15/00
6,103,889                        09/172,019                        08/15/00
6,103,891                        09/249,528                        08/15/00
6,103,899                        09/185,831                        08/15/00
6,103,906                        09/038,977                        08/15/00
6,103,912                        08/040,844                        08/15/00
6,103,918                        09/222,871                        08/15/00
6,103,920                        08/899,032                        08/15/00
6,103,926                        09/266,879                        08/15/00
6,103,927                        08/835,938                        08/15/00
6,103,930                        09/157,277                        08/15/00
6,103,936                        08/819,619                        08/15/00
6,103,937                        09/214,101                        08/15/00
6,103,947                        09/218,321                        08/15/00
6,103,953                        09/127,212                        08/15/00
6,103,963                        09/013,256                        08/15/00
6,103,973                        09/219,924                        08/15/00
6,103,974                        08/893,877                        08/15/00
6,103,976                        09/019,057                        08/15/00
6,103,979                        08/815,131                        08/15/00
6,103,996                        09/283,869                        08/15/00
6,104,017                        09/355,929                        08/15/00
6,104,018                        09/336,047                        08/15/00
6,104,019                        09/060,961                        08/15/00
6,104,030                        08/821,532                        08/15/00
6,104,033                        09/094,872                        08/15/00
6,104,034                        09/112,953                        08/15/00
6,104,041                        09/087,570                        08/15/00
6,104,057                        09/138,891                        08/15/00
6,104,059                        09/229,993                        08/15/00
6,104,075                        09/047,441                        08/15/00
6,104,083                        08/936,419                        08/15/00
6,104,090                        09/097,844                        08/15/00
6,104,091                        09/053,988                        08/15/00
6,104,092                        09/052,937                        08/15/00
6,104,097                        09/262,450                        08/15/00
6,104,102                        09/365,221                        08/15/00
6,104,103                        09/301,745                        08/15/00
6,104,106                        08/889,276                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 13 

6,104,114                        09/114,007                        08/15/00
6,104,118                        09/262,864                        08/15/00
6,104,119                        09/335,989                        08/15/00
6,104,127                        09/046,670                        08/15/00
6,104,132                        08/814,642                        08/15/00
6,104,133                        09/073,456                        08/15/00
6,104,137                        09/119,235                        08/15/00
6,104,156                        09/328,135                        08/15/00
6,104,173                        09/362,626                        08/15/00
6,104,177                        09/284,150                        08/15/00
6,104,183                        08/809,243                        08/15/00
6,104,192                        09/304,741                        08/15/00
6,104,204                        09/076,665                        08/15/00
6,104,215                        09/139,956                        08/15/00
6,104,218                        08/993,022                        08/15/00
6,104,221                        09/019,518                        08/15/00
6,104,222                        08/992,641                        08/15/00
6,104,223                        09/016,556                        08/15/00
6,104,235                        07/861,144                        08/15/00
6,104,237                        09/291,998                        08/15/00
6,104,248                        09/282,289                        08/15/00
6,104,259                        09/255,051                        08/15/00
6,104,261                        09/081,806                        08/15/00
6,104,262                        09/167,075                        08/15/00
6,104,263                        08/864,293                        08/15/00
6,104,264                        09/019,133                        08/15/00
6,104,267                        09/198,015                        08/15/00
6,104,270                        09/194,392                        08/15/00
6,104,278                        09/075,845                        08/15/00
6,104,292                        09/262,461                        08/15/00
6,104,297                        09/234,428                        08/15/00
6,104,307                        09/156,125                        08/15/00
6,104,313                        09/371,517                        08/15/00
6,104,320                        09/012,527                        08/15/00
6,104,326                        09/136,734                        08/15/00
6,104,329                        09/098,160                        08/15/00
6,104,356                        08/704,008                        08/15/00
6,104,369                        08/191,723                        08/15/00
6,104,378                        08/716,162                        08/15/00
6,104,386                        09/026,568                        08/15/00
6,104,392                        09/190,757                        08/15/00
6,104,403                        09/060,830                        08/15/00
6,104,408                        09/035,784                        08/15/00
6,104,409                        09/060,300                        08/15/00
6,104,412                        08/912,863                        08/15/00
6,104,419                        09/083,965                        08/15/00
6,104,426                        09/157,582                        08/15/00
6,104,435                        08/737,796                        08/15/00
6,104,438                        09/051,001                        08/15/00
6,104,439                        08/547,011                        08/15/00
6,104,445                        09/176,931                        08/15/00
6,104,448                        09/465,192                        08/15/00
6,104,453                        09/159,250                        08/15/00
6,104,458                        09/178,891                        08/15/00
6,104,459                        09/029,913                        08/15/00
6,104,473                        09/172,072                        08/15/00
6,104,477                        09/219,612                        08/15/00
6,104,481                        09/184,075                        08/15/00
6,104,489                        09/155,664                        08/15/00
6,104,495                        09/086,111                        08/15/00
6,104,496                        08/937,394                        08/15/00
6,104,501                        08/926,032                        08/15/00
6,104,508                        09/176,933                        08/15/00
6,104,509                        08/955,108                        08/15/00
6,104,513                        09/035,373                        08/15/00
6,104,518                        09/432,829                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 14 

6,104,524                        09/229,176                        08/15/00
6,104,527                        09/026,657                        08/15/00
6,104,533                        09/154,116                        08/15/00
6,104,536                        09/156,148                        08/15/00
6,104,538                        08/886,290                        08/15/00
6,104,549                        09/299,637                        08/15/00
6,104,554                        09/336,315                        08/15/00
6,104,559                        08/934,801                        08/15/00
6,104,567                        08/975,669                        08/15/00
6,104,576                        09/058,675                        08/15/00
6,104,580                        09/372,334                        08/15/00
6,104,585                        09/225,838                        08/15/00
6,104,591                        09/036,436                        08/15/00
6,104,592                        09/383,869                        08/15/00
6,104,597                        09/087,063                        08/15/00
6,104,600                        09/241,287                        08/15/00
6,104,607                        08/968,789                        08/15/00
6,104,620                        09/333,117                        08/15/00
6,104,631                        08/991,966                        08/15/00
6,104,634                        09/087,415                        08/15/00
6,104,635                        09/143,447                        08/15/00
6,104,639                        08/998,281                        08/15/00
6,104,640                        09/195,201                        08/15/00
6,104,641                        09/228,980                        08/15/00
6,104,647                        09/363,000                        08/15/00
6,104,648                        09/400,848                        08/15/00
6,104,655                        09/286,664                        08/15/00
6,104,668                        09/366,284                        08/15/00
6,104,674                        09/270,970                        08/15/00
6,104,677                        09/046,665                        08/15/00
6,104,680                        09/044,720                        08/15/00
6,104,681                        09/042,082                        08/15/00
6,104,693                        09/045,380                        08/15/00
6,104,707                        08/818,817                        08/15/00
6,104,713                        09/079,147                        08/15/00
6,104,724                        08/961,932                        08/15/00
6,104,727                        09/212,857                        08/15/00
6,104,736                        09/037,760                        08/15/00
6,104,737                        09/089,568                        08/15/00
6,104,738                        08/894,763                        08/15/00
6,104,746                        08/925,319                        08/15/00
6,104,748                        08/662,215                        08/15/00
6,104,762                        09/212,262                        08/15/00
6,104,765                        08/930,877                        08/15/00
6,104,770                        09/004,857                        08/15/00
6,104,778                        08/951,652                        08/15/00
6,104,779                        09/084,945                        08/15/00
6,104,783                        08/640,566                        08/15/00
6,104,793                        08/847,589                        08/15/00
6,104,805                        09/102,938                        08/15/00
6,104,806                        09/143,315                        08/15/00
6,104,811                        08/911,690                        08/15/00
6,104,828                        08/216,842                        08/15/00
6,104,836                        08/975,768                        08/15/00
6,104,837                        08/880,038                        08/15/00
6,104,841                        08/564,809                        08/15/00
6,104,845                        08/973,911                        08/15/00
6,104,851                        09/065,686                        08/15/00
6,104,853                        09/019,696                        08/15/00
6,104,863                        07/910,491                        08/15/00
6,104,864                        08/840,302                        08/15/00
6,104,897                        09/341,456                        08/15/00
6,104,898                        09/373,981                        08/15/00
6,104,905                        09/286,836                        08/15/00
6,104,921                        08/949,829                        08/15/00
6,104,924                        08/679,589                        08/15/00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 15 

6,104,954                        08/886,049                        08/15/00
6,104,964                        09/018,444                        08/15/00
6,104,972                        09/176,770                        08/15/00
6,104,974                        09/029,508                        08/15/00
6,104,976                        09/144,083                        08/15/00
6,105,003                        08/508,082                        08/15/00
6,105,007                        09/305,622                        08/15/00
6,105,015                        08/802,573                        08/15/00
6,105,022                        09/028,513                        08/15/00
6,105,028                        08/882,882                        08/15/00
6,105,044                        09/353,262                        08/15/00
6,105,058                        09/027,005                        08/15/00
6,105,083                        08/879,981                        08/15/00
6,105,087                        09/095,467                        08/15/00
6,105,088                        09/112,428                        08/15/00
6,105,110                        09/436,932                        08/15/00
6,105,121                        08/926,250                        08/15/00
6,105,140                        09/021,185                        08/15/00
6,105,159                        08/973,444                        08/15/00

                   PATENTS WHICH EXPIRED ON August 10, 2012
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                           Issue
Number                             Number                              Date

6,772,448                        10/317,065                        08/10/04
6,772,451                        10/232,658                        08/10/04
6,772,452                        10/430,618                        08/10/04
6,772,453                        09/762,000                        08/10/04
6,772,454                        10/401,917                        08/10/04
6,772,459                        10/381,080                        08/10/04
6,772,461                        09/865,168                        08/10/04
6,772,465                        09/819,412                        08/10/04
6,772,466                        10/076,762                        08/10/04
6,772,467                        10/018,465                        08/10/04
6,772,471                        09/831,026                        08/10/04
6,772,478                        10/188,228                        08/10/04
6,772,481                        10/181,916                        08/10/04
6,772,484                        09/963,801                        08/10/04
6,772,485                        10/283,576                        08/10/04
6,772,496                        10/148,453                        08/10/04
6,772,499                        09/097,295                        08/10/04
6,772,507                        09/949,819                        08/10/04
6,772,514                        09/878,265                        08/10/04
6,772,515                        09/960,919                        08/10/04
6,772,518                        10/051,374                        08/10/04
6,772,519                        10/282,332                        08/10/04
6,772,520                        10/676,441                        08/10/04
6,772,522                        10/635,547                        08/10/04
6,772,525                        10/320,476                        08/10/04
6,772,529                        09/907,879                        08/10/04
6,772,530                        10/272,346                        08/10/04
6,772,531                        09/721,880                        08/10/04
6,772,533                        10/469,936                        08/10/04
6,772,541                        10/130,457                        08/10/04
6,772,542                        10/059,524                        08/10/04
6,772,544                        10/390,589                        08/10/04
6,772,545                        10/282,842                        08/10/04
6,772,547                        09/822,120                        08/10/04
6,772,551                        09/584,173                        08/10/04
6,772,552                        10/348,353                        08/10/04
6,772,554                        10/385,702                        08/10/04
6,772,567                        10/144,373                        08/10/04
6,772,577                        10/299,238                        08/10/04
6,772,582                        10/219,317                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 16 

6,772,584                        10/173,601                        08/10/04
6,772,586                        10/310,945                        08/10/04
6,772,587                        10/138,698                        08/10/04
6,772,590                        10/220,469                        08/10/04
6,772,593                        09/850,643                        08/10/04
6,772,598                        10/427,456                        08/10/04
6,772,602                        10/207,633                        08/10/04
6,772,603                        10/618,372                        08/10/04
6,772,608                        09/720,955                        08/10/04
6,772,617                        10/350,863                        08/10/04
6,772,621                        10/286,709                        08/10/04
6,772,625                        10/307,514                        08/10/04
6,772,635                        10/090,808                        08/10/04
6,772,638                        10/015,982                        08/10/04
6,772,642                        09/939,404                        08/10/04
6,772,657                        09/867,387                        08/10/04
6,772,658                        10/177,975                        08/10/04
6,772,664                        10/315,280                        08/10/04
6,772,666                        10/040,003                        08/10/04
6,772,670                        10/182,326                        08/10/04
6,772,671                        10/289,567                        08/10/04
6,772,679                        10/418,277                        08/10/04
6,772,687                        10/157,710                        08/10/04
6,772,688                        10/116,947                        08/10/04
6,772,691                        10/230,557                        08/10/04
6,772,699                        10/437,724                        08/10/04
6,772,701                        10/363,927                        08/10/04
6,772,703                        10/619,355                        08/10/04
6,772,705                        10/253,987                        08/10/04
6,772,727                        10/171,670                        08/10/04
6,772,728                        10/619,194                        08/10/04
6,772,731                        10/409,098                        08/10/04
6,772,734                        10/169,379                        08/10/04
6,772,735                        10/088,581                        08/10/04
6,772,747                        10/234,537                        08/10/04
6,772,754                        10/314,666                        08/10/04
6,772,755                        10/085,805                        08/10/04
6,772,761                        10/224,060                        08/10/04
6,772,778                        10/261,774                        08/10/04
6,772,781                        09/764,424                        08/10/04
6,772,784                        10/365,930                        08/10/04
6,772,785                        10/045,891                        08/10/04
6,772,789                        10/124,921                        08/10/04
6,772,790                        10/090,463                        08/10/04
6,772,797                        10/213,895                        08/10/04
6,772,806                        10/361,617                        08/10/04
6,772,810                        09/844,850                        08/10/04
6,772,812                        10/396,643                        08/10/04
6,772,813                        10/328,231                        08/10/04
6,772,816                        10/108,442                        08/10/04
6,772,823                        10/078,696                        08/10/04
6,772,825                        10/287,317                        08/10/04
6,772,826                        09/710,140                        08/10/04
6,772,828                        10/374,987                        08/10/04
6,772,829                        10/146,881                        08/10/04
6,772,831                        10/357,100                        08/10/04
6,772,843                        10/012,229                        08/10/04
6,772,855                        09/973,808                        08/10/04
6,772,856                        10/167,459                        08/10/04
6,772,861                        09/911,222                        08/10/04
6,772,863                        10/274,905                        08/10/04
6,772,872                        10/701,365                        08/10/04
6,772,874                        10/352,434                        08/10/04
6,772,875                        09/982,584                        08/10/04
6,772,877                        10/064,706                        08/10/04
6,772,880                        10/263,585                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 17 

6,772,882                        10/251,173                        08/10/04
6,772,887                        10/024,104                        08/10/04
6,772,891                        10/337,022                        08/10/04
6,772,896                        10/101,414                        08/10/04
6,772,902                        10/600,739                        08/10/04
6,772,903                        10/158,483                        08/10/04
6,772,909                        10/195,552                        08/10/04
6,772,910                        10/130,817                        08/10/04
6,772,915                        10/072,142                        08/10/04
6,772,923                        10/108,775                        08/10/04
6,772,925                        10/056,863                        08/10/04
6,772,934                        10/269,345                        08/10/04
6,772,936                        10/239,322                        08/10/04
6,772,937                        09/840,073                        08/10/04
6,772,938                        10/156,892                        08/10/04
6,772,940                        10/064,447                        08/10/04
6,772,945                        09/973,253                        08/10/04
6,772,947                        10/429,053                        08/10/04
6,772,949                        10/116,682                        08/10/04
6,772,969                        10/194,846                        08/10/04
6,772,970                        09/758,677                        08/10/04
6,772,971                        09/711,268                        08/10/04
6,772,996                        10/655,868                        08/10/04
6,773,001                        10/395,341                        08/10/04
6,773,006                        10/004,044                        08/10/04
6,773,008                        10/258,189                        08/10/04
6,773,011                        10/400,900                        08/10/04
6,773,013                        10/702,309                        08/10/04
6,773,015                        10/342,869                        08/10/04
6,773,020                        09/835,638                        08/10/04
6,773,021                        10/007,324                        08/10/04
6,773,023                        10/273,342                        08/10/04
6,773,025                        10/306,106                        08/10/04
6,773,028                        10/092,555                        08/10/04
6,773,034                        09/410,291                        08/10/04
6,773,039                        10/000,800                        08/10/04
6,773,042                        10/131,586                        08/10/04
6,773,045                        10/313,179                        08/10/04
6,773,052                        10/683,795                        08/10/04
6,773,054                        10/671,093                        08/10/04
6,773,057                        10/664,441                        08/10/04
6,773,062                        10/268,125                        08/10/04
6,773,065                        10/137,240                        08/10/04
6,773,066                        10/245,847                        08/10/04
6,773,069                        10/111,973                        08/10/04
6,773,071                        10/131,587                        08/10/04
6,773,077                        09/902,547                        08/10/04
6,773,091                        10/307,681                        08/10/04
6,773,094                        10/348,630                        08/10/04
6,773,098                        10/256,039                        08/10/04
6,773,110                        10/622,219                        08/10/04
6,773,116                        10/153,258                        08/10/04
6,773,119                        10/454,108                        08/10/04
6,773,123                        10/154,101                        08/10/04
6,773,137                        10/338,969                        08/10/04
6,773,138                        10/260,912                        08/10/04
6,773,144                        10/224,462                        08/10/04
6,773,147                        10/334,913                        08/10/04
6,773,150                        10/350,682                        08/10/04
6,773,154                        10/224,710                        08/10/04
6,773,155                        10/342,845                        08/10/04
6,773,157                        10/349,339                        08/10/04
6,773,160                        09/847,857                        08/10/04
6,773,167                        09/960,555                        08/10/04
6,773,168                        10/182,781                        08/10/04
6,773,170                        10/069,456                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 18 

6,773,179                        10/211,815                        08/10/04
6,773,180                        10/404,066                        08/10/04
6,773,185                        10/609,580                        08/10/04
6,773,192                        10/715,355                        08/10/04
6,773,194                        10/167,784                        08/10/04
6,773,196                        10/019,736                        08/10/04
6,773,197                        10/215,461                        08/10/04
6,773,206                        10/094,904                        08/10/04
6,773,211                        10/147,712                        08/10/04
6,773,217                        10/208,454                        08/10/04
6,773,218                        10/361,260                        08/10/04
6,773,226                        10/245,125                        08/10/04
6,773,233                        10/297,316                        08/10/04
6,773,234                        10/273,969                        08/10/04
6,773,235                        10/169,411                        08/10/04
6,773,236                        10/222,030                        08/10/04
6,773,244                        10/363,819                        08/10/04
6,773,254                        10/245,136                        08/10/04
6,773,255                        09/854,604                        08/10/04
6,773,257                        10/006,222                        08/10/04
6,773,259                        10/634,726                        08/10/04
6,773,262                        10/691,893                        08/10/04
6,773,265                        10/300,863                        08/10/04
6,773,266                        10/175,392                        08/10/04
6,773,273                        10/324,952                        08/10/04
6,773,274                        09/940,949                        08/10/04
6,773,276                        10/071,426                        08/10/04
6,773,284                        10/353,122                        08/10/04
6,773,286                        10/665,843                        08/10/04
6,773,287                        10/704,874                        08/10/04
6,773,288                        10/116,300                        08/10/04
6,773,289                        10/720,238                        08/10/04
6,773,297                        10/301,963                        08/10/04
6,773,305                        10/394,940                        08/10/04
6,773,306                        10/345,083                        08/10/04
6,773,308                        10/331,759                        08/10/04
6,773,309                        10/449,616                        08/10/04
6,773,310                        10/172,063                        08/10/04
6,773,313                        09/971,919                        08/10/04
6,773,324                        10/366,151                        08/10/04
6,773,326                        10/139,632                        08/10/04
6,773,328                        10/417,601                        08/10/04
6,773,335                        10/116,327                        08/10/04
6,773,340                        10/379,905                        08/10/04
6,773,341                        10/165,752                        08/10/04
6,773,349                        10/208,013                        08/10/04
6,773,353                        10/071,776                        08/10/04
6,773,355                        10/297,920                        08/10/04
6,773,361                        10/420,409                        08/10/04
6,773,365                        10/238,060                        08/10/04
6,773,368                        09/701,152                        08/10/04
6,773,370                        10/319,950                        08/10/04
6,773,371                        10/283,021                        08/10/04
6,773,374                        10/294,588                        08/10/04
6,773,378                        09/737,209                        08/10/04
6,773,379                        09/897,504                        08/10/04
6,773,382                        10/310,213                        08/10/04
6,773,398                        10/290,190                        08/10/04
6,773,405                        09/927,179                        08/10/04
6,773,411                        10/424,898                        08/10/04
6,773,422                        09/815,139                        08/10/04
6,773,428                        09/853,223                        08/10/04
6,773,431                        09/791,504                        08/10/04
6,773,458                        08/356,787                        08/10/04
6,773,470                        10/230,204                        08/10/04
6,773,478                        10/115,769                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 19 

6,773,479                        10/050,109                        08/10/04
6,773,490                        09/848,896                        08/10/04
6,773,499                        10/394,000                        08/10/04
6,773,508                        10/159,111                        08/10/04
6,773,509                        10/345,966                        08/10/04
6,773,515                        10/050,644                        08/10/04
6,773,516                        09/988,578                        08/10/04
6,773,519                        10/309,221                        08/10/04
6,773,521                        10/117,516                        08/10/04
6,773,522                        09/555,402                        08/10/04
6,773,524                        10/081,276                        08/10/04
6,773,528                        10/322,449                        08/10/04
6,773,535                        10/376,629                        08/10/04
6,773,537                        10/004,727                        08/10/04
6,773,538                        10/314,073                        08/10/04
6,773,539                        09/996,155                        08/10/04
6,773,545                        10/337,626                        08/10/04
6,773,549                        10/070,839                        08/10/04
6,773,555                        10/048,489                        08/10/04
6,773,556                        10/131,139                        08/10/04
6,773,565                        09/884,340                        08/10/04
6,773,574                        10/182,789                        08/10/04
6,773,578                        09/729,215                        08/10/04
6,773,581                        09/982,986                        08/10/04
6,773,585                        09/889,029                        08/10/04
6,773,586                        09/965,673                        08/10/04
6,773,587                        10/234,623                        08/10/04
6,773,590                        10/058,157                        08/10/04
6,773,591                        09/984,225                        08/10/04
6,773,593                        10/087,692                        08/10/04
6,773,596                        10/343,518                        08/10/04
6,773,598                        10/209,028                        08/10/04
6,773,606                        09/921,208                        08/10/04
6,773,620                        10/448,000                        08/10/04
6,773,621                        10/221,403                        08/10/04
6,773,625                        10/227,960                        08/10/04
6,773,627                        10/728,155                        08/10/04
6,773,635                        09/793,368                        08/10/04
6,773,638                        09/932,071                        08/10/04
6,773,646                        10/624,072                        08/10/04
6,773,649                        09/785,390                        08/10/04
6,773,650                        09/812,595                        08/10/04
6,773,651                        09/522,413                        08/10/04
6,773,660                        10/261,416                        08/10/04
6,773,675                        09/767,046                        08/10/04
6,773,676                        09/884,792                        08/10/04
6,773,683                        10/041,519                        08/10/04
6,773,691                        10/196,028                        08/10/04
6,773,696                        10/280,844                        08/10/04
6,773,697                        10/314,216                        08/10/04
6,773,698                        10/458,422                        08/10/04
6,773,701                        09/962,625                        08/10/04
6,773,703                        09/493,887                        08/10/04
6,773,704                        09/697,613                        08/10/04
6,773,715                        09/830,357                        08/10/04
6,773,719                        09/924,222                        08/10/04
6,773,725                        09/914,964                        08/10/04
6,773,743                        10/452,435                        08/10/04
6,773,745                        10/219,020                        08/10/04
6,773,749                        09/765,919                        08/10/04
6,773,755                        09/980,749                        08/10/04
6,773,756                        10/101,779                        08/10/04
6,773,760                        10/423,935                        08/10/04
6,773,762                        09/573,418                        08/10/04
6,773,765                        09/433,858                        08/10/04
6,773,770                        09/342,052                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 20 

6,773,772                        10/099,432                        08/10/04
6,773,774                        10/213,903                        08/10/04
6,773,785                        09/868,908                        08/10/04
6,773,790                        09/214,022                        08/10/04
6,773,800                        10/073,270                        08/10/04
6,773,802                        10/182,646                        08/10/04
6,773,803                        10/204,151                        08/10/04
6,773,809                        09/707,882                        08/10/04
6,773,819                        10/281,955                        08/10/04
6,773,823                        09/829,401                        08/10/04
6,773,831                        10/078,666                        08/10/04
6,773,833                        09/809,527                        08/10/04
6,773,843                        10/093,934                        08/10/04
6,773,849                        09/983,389                        08/10/04
6,773,864                        10/335,476                        08/10/04
6,773,865                        10/414,572                        08/10/04
6,773,871                        10/272,246                        08/10/04
6,773,872                        10/034,756                        08/10/04
6,773,873                        10/105,704                        08/10/04
6,773,876                        10/059,003                        08/10/04
6,773,889                        10/193,451                        08/10/04
6,773,894                        09/575,496                        08/10/04
6,773,898                        10/238,436                        08/10/04
6,773,899                        09/929,918                        08/10/04
6,773,901                        10/083,616                        08/10/04
6,773,903                        09/983,356                        08/10/04
6,773,905                        10/320,874                        08/10/04
6,773,906                        10/430,797                        08/10/04
6,773,909                        10/085,029                        08/10/04
6,773,918                        09/520,538                        08/10/04
6,773,920                        09/937,837                        08/10/04
6,773,925                        09/767,704                        08/10/04
6,773,941                        10/055,377                        08/10/04
6,773,942                        10/465,761                        08/10/04
6,773,977                        09/715,748                        08/10/04
6,773,983                        10/159,261                        08/10/04
6,773,991                        10/412,587                        08/10/04
6,774,021                        10/456,487                        08/10/04
6,774,027                        10/385,931                        08/10/04
6,774,036                        10/440,612                        08/10/04
6,774,040                        10/243,790                        08/10/04
6,774,043                        09/915,396                        08/10/04
6,774,052                        10/174,889                        08/10/04
6,774,078                        10/421,077                        08/10/04
6,774,088                        10/086,377                        08/10/04
6,774,098                        10/337,896                        08/10/04
6,774,099                        09/889,632                        08/10/04
6,774,105                        09/592,685                        08/10/04
6,774,106                        09/854,864                        08/10/04
6,774,109                        08/961,968                        08/10/04
6,774,115                        10/454,865                        08/10/04
6,774,118                        08/524,206                        08/10/04
6,774,123                        09/362,337                        08/10/04
6,774,136                        10/149,449                        08/10/04
6,774,143                        10/240,645                        08/10/04
6,774,149                        10/705,526                        08/10/04
6,774,152                        09/944,709                        08/10/04
6,774,154                        10/118,548                        08/10/04
6,774,158                        10/102,093                        08/10/04
6,774,159                        10/210,893                        08/10/04
6,774,160                        09/683,880                        08/10/04
6,774,161                        10/354,479                        08/10/04
6,774,163                        10/412,505                        08/10/04
6,774,165                        09/621,857                        08/10/04
6,774,173                        10/188,887                        08/10/04
6,774,175                        09/809,007                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 21 

6,774,192                        10/012,083                        08/10/04
6,774,193                        10/196,798                        08/10/04
6,774,194                        10/184,679                        08/10/04
6,774,200                        10/084,456                        08/10/04
6,774,202                        10/204,225                        08/10/04
6,774,204                        10/254,298                        08/10/04
6,774,207                        10/256,179                        08/10/04
6,774,210                        09/582,296                        08/10/04
6,774,215                        09/093,771                        08/10/04
6,774,223                        09/895,652                        08/10/04
6,774,228                        07/577,072                        08/10/04
6,774,235                        10/067,383                        08/10/04
6,774,238                        10/602,094                        08/10/04
6,774,241                        10/454,050                        08/10/04
6,774,245                        10/332,079                        08/10/04
6,774,248                        10/320,207                        08/10/04
6,774,253                        09/762,125                        08/10/04
6,774,256                        10/105,550                        08/10/04
6,774,262                        09/659,821                        08/10/04
6,774,263                        09/169,028                        08/10/04
6,774,264                        10/313,560                        08/10/04
6,774,265                        10/743,728                        08/10/04
6,774,266                        10/299,996                        08/10/04
6,774,271                        09/807,186                        08/10/04
6,774,274                        10/011,680                        08/10/04
6,774,294                        10/201,283                        08/10/04
6,774,295                        10/219,112                        08/10/04
6,774,296                        10/225,831                        08/10/04
6,774,300                        10/057,223                        08/10/04
6,774,319                        10/105,801                        08/10/04
6,774,320                        09/996,725                        08/10/04
6,774,322                        10/169,320                        08/10/04
6,774,324                        10/317,597                        08/10/04
6,774,325                        10/414,130                        08/10/04
6,774,327                        10/671,188                        08/10/04
6,774,329                        10/691,437                        08/10/04
6,774,330                        09/818,127                        08/10/04
6,774,346                        10/612,624                        08/10/04
6,774,368                        10/093,584                        08/10/04
6,774,372                        10/018,904                        08/10/04
6,774,376                        10/157,941                        08/10/04
6,774,379                        10/661,702                        08/10/04
6,774,381                        09/908,808                        08/10/04
6,774,391                        10/111,803                        08/10/04
6,774,403                        10/361,183                        08/10/04
6,774,422                        10/372,051                        08/10/04
6,774,429                        09/921,911                        08/10/04
6,774,433                        10/330,851                        08/10/04
6,774,435                        09/448,482                        08/10/04
6,774,442                        09/908,618                        08/10/04
6,774,449                        09/664,555                        08/10/04
6,774,478                        10/331,865                        08/10/04
6,774,490                        10/395,231                        08/10/04
6,774,500                        09/626,146                        08/10/04
6,774,506                        10/118,374                        08/10/04
6,774,520                        10/072,482                        08/10/04
6,774,530                        10/165,111                        08/10/04
6,774,533                        10/221,151                        08/10/04
6,774,534                        10/445,064                        08/10/04
6,774,536                        09/907,614                        08/10/04
6,774,539                        10/252,886                        08/10/04
6,774,540                        10/126,801                        08/10/04
6,774,551                        10/341,600                        08/10/04
6,774,553                        09/982,984                        08/10/04
6,774,555                        10/138,124                        08/10/04
6,774,560                        09/664,942                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 22 

6,774,566                        10/191,054                        08/10/04
6,774,575                        09/914,050                        08/10/04
6,774,579                        10/380,202                        08/10/04
6,774,585                        10/168,603                        08/10/04
6,774,586                        10/283,265                        08/10/04
6,774,588                        10/054,846                        08/10/04
6,774,591                        10/227,443                        08/10/04
6,774,596                        09/959,874                        08/10/04
6,774,597                        10/318,452                        08/10/04
6,774,600                        10/288,164                        08/10/04
6,774,601                        10/166,903                        08/10/04
6,774,608                        10/246,451                        08/10/04
6,774,609                        10/192,778                        08/10/04
6,774,613                        09/980,122                        08/10/04
6,774,615                        10/056,865                        08/10/04
6,774,620                        10/373,919                        08/10/04
6,774,635                        10/387,402                        08/10/04
6,774,642                        10/228,817                        08/10/04
6,774,654                        10/316,828                        08/10/04
6,774,657                        09/730,750                        08/10/04
6,774,661                        10/391,887                        08/10/04
6,774,695                        09/976,052                        08/10/04
6,774,700                        10/651,675                        08/10/04
6,774,714                        09/974,892                        08/10/04
6,774,722                        10/273,072                        08/10/04
6,774,724                        10/301,021                        08/10/04
6,774,743                        10/114,711                        08/10/04
6,774,756                        10/126,881                        08/10/04
6,774,764                        09/791,382                        08/10/04
6,774,769                        10/152,583                        08/10/04
6,774,778                        10/232,693                        08/10/04
6,774,779                        10/255,061                        08/10/04
6,774,780                        10/088,883                        08/10/04
6,774,793                        10/182,717                        08/10/04
6,774,801                        10/292,538                        08/10/04
6,774,802                        10/103,159                        08/10/04
6,774,834                        10/345,222                        08/10/04
6,774,847                        10/085,537                        08/10/04
6,774,856                        10/198,800                        08/10/04
6,774,862                        10/286,804                        08/10/04
6,774,869                        09/748,761                        08/10/04
6,774,871                        10/209,051                        08/10/04
6,774,874                        09/930,837                        08/10/04
6,774,886                        09/875,592                        08/10/04
6,774,887                        09/934,710                        08/10/04
6,774,893                        10/234,591                        08/10/04
6,774,914                        09/658,940                        08/10/04
6,774,946                        09/362,404                        08/10/04
6,774,947                        09/794,600                        08/10/04
6,774,948                        09/689,777                        08/10/04
6,774,949                        09/974,480                        08/10/04
6,774,959                        10/196,931                        08/10/04
6,774,961                        10/023,032                        08/10/04
6,774,964                        10/035,032                        08/10/04
6,774,977                        10/088,788                        08/10/04
6,774,981                        09/658,615                        08/10/04
6,774,982                        09/986,323                        08/10/04
6,774,993                        09/825,048                        08/10/04
6,774,996                        10/171,570                        08/10/04
6,775,002                        09/938,232                        08/10/04
6,775,009                        09/917,276                        08/10/04
6,775,018                        09/712,289                        08/10/04
6,775,033                        09/427,183                        08/10/04
6,775,035                        09/641,975                        08/10/04
6,775,038                        10/340,974                        08/10/04
6,775,043                        09/811,834                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 23 

6,775,050                        10/437,290                        08/10/04
6,775,053                        10/076,720                        08/10/04
6,775,058                        10/123,663                        08/10/04
6,775,063                        10/191,550                        08/10/04
6,775,070                        10/266,623                        08/10/04
6,775,075                        10/606,054                        08/10/04
6,775,079                        10/209,499                        08/10/04
6,775,080                        09/774,200                        08/10/04
6,775,082                        09/836,196                        08/10/04
6,775,084                        09/503,453                        08/10/04
6,775,085                        10/024,602                        08/10/04
6,775,095                        09/944,621                        08/10/04
6,775,096                        10/224,902                        08/10/04
6,775,132                        10/330,405                        08/10/04
6,775,134                        10/327,161                        08/10/04
6,775,138                        10/315,688                        08/10/04
6,775,143                        10/207,478                        08/10/04
6,775,144                        10/305,702                        08/10/04
6,775,151                        10/310,297                        08/10/04
6,775,157                        10/602,162                        08/10/04
6,775,161                        10/030,025                        08/10/04
6,775,182                        10/439,738                        08/10/04
6,775,205                        08/971,647                        08/10/04
6,775,208                        09/654,909                        08/10/04
6,775,210                        09/534,195                        08/10/04
6,775,213                        10/372,297                        08/10/04
6,775,219                        10/457,758                        08/10/04
6,775,221                        09/695,665                        08/10/04
6,775,222                        09/841,054                        08/10/04
6,775,223                        10/051,476                        08/10/04
6,775,228                        09/577,698                        08/10/04
6,775,229                        09/588,634                        08/10/04
6,775,237                        09/912,086                        08/10/04
6,775,239                        09/626,334                        08/10/04
6,775,263                        09/507,826                        08/10/04
6,775,279                        10/270,645                        08/10/04
6,775,287                        09/568,592                        08/10/04
6,775,304                        09/711,500                        08/10/04
6,775,306                        10/261,718                        08/10/04
6,775,311                        10/241,838                        08/10/04
6,775,317                        09/506,535                        08/10/04
6,775,323                        09/513,295                        08/10/04
6,775,331                        09/660,656                        08/10/04
6,775,351                        09/754,663                        08/10/04
6,775,353                        10/283,431                        08/10/04
6,775,364                        10/108,587                        08/10/04
6,775,380                        09/993,610                        08/10/04
6,775,383                        09/681,196                        08/10/04
6,775,385                        09/668,029                        08/10/04
6,775,396                        09/809,064                        08/10/04
6,775,399                        09/715,889                        08/10/04
6,775,406                        10/280,770                        08/10/04
6,775,418                        09/701,094                        08/10/04
6,775,440                        09/843,002                        08/10/04
6,775,445                        10/295,865                        08/10/04
6,775,466                        09/513,093                        08/10/04
6,775,470                        10/271,812                        08/10/04
6,775,471                        10/332,119                        08/10/04
6,775,485                        10/457,162                        08/10/04
6,775,507                        09/988,628                        08/10/04
6,775,518                        10/056,872                        08/10/04
6,775,522                        09/767,928                        08/10/04
6,775,532                        09/793,502                        08/10/04
6,775,533                        09/916,697                        08/10/04
6,775,535                        10/066,385                        08/10/04
6,775,558                        09/438,153                        08/10/04
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 24 

6,775,564                        09/367,425                        08/10/04
6,775,568                        09/832,880                        08/10/04
6,775,582                        10/014,145                        08/10/04
6,775,585                        10/263,417                        08/10/04
6,775,587                        10/129,047                        08/10/04
6,775,588                        10/617,157                        08/10/04
6,775,594                        10/050,340                        08/10/04
6,775,596                        10/238,109                        08/10/04
6,775,599                        10/192,838                        08/10/04
6,775,601                        10/214,048                        08/10/04
6,775,602                        10/190,987                        08/10/04
6,775,619                        10/186,088                        08/10/04
6,775,620                        10/417,449                        08/10/04
6,775,634                        10/112,943                        08/10/04
6,775,636                        09/966,744                        08/10/04
6,775,637                        10/439,819                        08/10/04
6,775,639                        09/831,445                        08/10/04
6,775,646                        09/511,930                        08/10/04
6,775,654                        09/387,156                        08/10/04
6,775,663                        09/890,365                        08/10/04
6,775,684                        09/586,596                        08/10/04
6,775,704                        09/750,956                        08/10/04
6,775,714                        09/744,114                        08/10/04
6,775,726                        09/941,455                        08/10/04
6,775,740                        09/645,406                        08/10/04
6,775,754                        09/967,410                        08/10/04
6,775,775                        09/492,083                        08/10/04
6,775,780                        09/527,385                        08/10/04
6,775,800                        09/742,248                        08/10/04
6,775,837                        09/717,994                        08/10/04
6,775,839                        10/099,112                        08/10/04

                   PATENTS WHICH EXPIRED ON August 12, 2012
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                           Issue
Number                             Number                              Date

7,409,726                        11/356,883                        08/12/08
7,409,728                        11/451,531                        08/12/08
7,409,729                        11/356,882                        08/12/08
7,409,731                        11/372,772                        08/12/08
7,409,733                        11/840,353                        08/12/08
7,409,741                        10/603,902                        08/12/08
7,409,745                        11/200,436                        08/12/08
7,409,748                        11/274,982                        08/12/08
7,409,751                        11/309,220                        08/12/08
7,409,770                        11/484,405                        08/12/08
7,409,773                        11/582,537                        08/12/08
7,409,778                        11/350,677                        08/12/08
7,409,783                        11/271,822                        08/12/08
7,409,786                        11/143,111                        08/12/08
7,409,787                        11/189,554                        08/12/08
7,409,793                        11/710,505                        08/12/08
7,409,797                        10/677,197                        08/12/08
7,409,806                        10/957,995                        08/12/08
7,409,807                        11/811,803                        08/12/08
7,409,818                        11/572,205                        08/12/08
7,409,821                        11/288,233                        08/12/08
7,409,826                        11/216,633                        08/12/08
7,409,843                        11/144,404                        08/12/08
7,409,854                        11/252,633                        08/12/08
7,409,861                        11/610,951                        08/12/08
7,409,864                        11/417,765                        08/12/08
7,409,876                        11/170,726                        08/12/08
7,409,877                        11/508,392                        08/12/08
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 25 

7,409,878                        11/102,493                        08/12/08
7,409,883                        10/550,321                        08/12/08
7,409,893                        11/277,632                        08/12/08
7,409,894                        11/829,227                        08/12/08
7,409,895                        11/786,096                        08/12/08
7,409,898                        11/364,884                        08/12/08
7,409,904                        10/874,752                        08/12/08
7,409,915                        11/516,437                        08/12/08
7,409,916                        11/189,992                        08/12/08
7,409,922                        11/506,113                        08/12/08
7,409,923                        11/316,650                        08/12/08
7,409,935                        11/171,656                        08/12/08
7,409,947                        11/606,945                        08/12/08
7,409,951                        11/514,441                        08/12/08
7,409,957                        11/038,153                        08/12/08
7,409,962                        10/929,788                        08/12/08
7,409,968                        11/586,703                        08/12/08
7,409,972                        10/500,618                        08/12/08
7,409,973                        11/211,843                        08/12/08
7,409,983                        11/164,327                        08/12/08
7,409,986                        10/829,224                        08/12/08
7,409,990                        11/162,448                        08/12/08
7,409,995                        10/842,342                        08/12/08
7,410,000                        11/134,013                        08/12/08
7,410,005                        11/496,259                        08/12/08
7,410,008                        11/142,966                        08/12/08
7,410,014                        11/166,312                        08/12/08
7,410,018                        10/096,684                        08/12/08
7,410,019                        11/149,746                        08/12/08
7,410,024                        11/083,044                        08/12/08
7,410,048                        10/538,055                        08/12/08
7,410,053                        11/263,088                        08/12/08
7,410,054                        10/808,966                        08/12/08
7,410,062                        11/035,045                        08/12/08
7,410,073                        10/758,594                        08/12/08
7,410,076                        10/841,091                        08/12/08
7,410,077                        11/185,358                        08/12/08
7,410,080                        10/606,627                        08/12/08
7,410,084                        09/944,009                        08/12/08
7,410,091                        10/858,334                        08/12/08
7,410,105                        09/950,841                        08/12/08
7,410,117                        10/538,969                        08/12/08
7,410,121                        10/571,399                        08/12/08
7,410,125                        10/908,278                        08/12/08
7,410,133                        11/646,186                        08/12/08
7,410,135                        11/377,968                        08/12/08
7,410,137                        10/643,177                        08/12/08
7,410,140                        10/641,603                        08/12/08
7,410,141                        10/974,043                        08/12/08
7,410,143                        11/366,593                        08/12/08
7,410,153                        11/968,176                        08/12/08
7,410,155                        11/190,569                        08/12/08
7,410,170                        11/426,420                        08/12/08
7,410,177                        11/002,558                        08/12/08
7,410,180                        11/723,217                        08/12/08
7,410,181                        11/203,143                        08/12/08
7,410,183                        11/305,078                        08/12/08
7,410,193                        11/402,103                        08/12/08
7,410,194                        11/316,762                        08/12/08
7,410,200                        11/747,731                        08/12/08
7,410,204                        11/214,216                        08/12/08
7,410,214                        10/705,708                        08/12/08
7,410,215                        11/078,574                        08/12/08
7,410,227                        11/184,145                        08/12/08
7,410,242                        11/228,899                        08/12/08
7,410,243                        10/922,872                        08/12/08
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 26 

7,410,247                        11/036,278                        08/12/08
7,410,250                        10/922,882                        08/12/08
7,410,251                        10/991,185                        08/12/08
7,410,255                        11/686,361                        08/12/08
7,410,256                        11/386,155                        08/12/08
7,410,270                        11/675,457                        08/12/08
7,410,272                        11/607,259                        08/12/08
7,410,273                        11/653,300                        08/12/08
7,410,297                        11/675,952                        08/12/08
7,410,301                        11/017,621                        08/12/08
7,410,305                        11/230,822                        08/12/08
7,410,308                        11/805,742                        08/12/08
7,410,318                        11/494,336                        08/12/08
7,410,325                        11/150,541                        08/12/08
7,410,333                        11/587,679                        08/12/08
7,410,339                        10/526,703                        08/12/08
7,410,349                        10/973,965                        08/12/08
7,410,366                        11/510,201                        08/12/08
7,410,376                        11/714,443                        08/12/08
7,410,377                        10/793,730                        08/12/08
7,410,381                        11/426,330                        08/12/08
7,410,387                        11/538,723                        08/12/08
7,410,391                        11/786,227                        08/12/08
7,410,395                        11/209,495                        08/12/08
7,410,406                        11/401,775                        08/12/08
7,410,415                        11/161,801                        08/12/08
7,410,417                        11/430,533                        08/12/08
7,410,439                        10/892,284                        08/12/08
7,410,448                        11/461,528                        08/12/08
7,410,449                        11/497,323                        08/12/08
7,410,450                        11/340,331                        08/12/08
7,410,451                        10/993,581                        08/12/08
7,410,463                        11/034,833                        08/12/08
7,410,472                        11/360,824                        08/12/08
7,410,479                        10/500,347                        08/12/08
7,410,498                        10/312,712                        08/12/08
7,410,504                        10/543,495                        08/12/08
7,410,505                        10/728,954                        08/12/08
7,410,514                        10/310,031                        08/12/08
7,410,519                        11/204,912                        08/12/08
7,410,520                        11/615,573                        08/12/08
7,410,527                        11/127,579                        08/12/08
7,410,541                        11/280,972                        08/12/08
7,410,551                        09/688,961                        08/12/08
7,410,557                        10/524,229                        08/12/08
7,410,559                        10/479,245                        08/12/08
7,410,565                        11/015,156                        08/12/08
7,410,574                        11/219,222                        08/12/08
7,410,576                        11/582,310                        08/12/08
7,410,588                        11/858,278                        08/12/08
7,410,592                        09/759,179                        08/12/08
7,410,595                        11/879,071                        08/12/08
7,410,598                        11/281,002                        08/12/08
7,410,608                        11/901,772                        08/12/08
7,410,612                        10/727,397                        08/12/08
7,410,614                        10/899,264                        08/12/08
7,410,642                        11/405,355                        08/12/08
7,410,643                        11/651,497                        08/12/08
7,410,645                        10/477,592                        08/12/08
7,410,648                        10/495,643                        08/12/08
7,410,654                        11/045,096                        08/12/08
7,410,659                        11/165,151                        08/12/08
7,410,667                        11/294,330                        08/12/08
7,410,675                        10/275,512                        08/12/08
7,410,680                        10/569,928                        08/12/08
7,410,682                        10/613,981                        08/12/08
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 27 

7,410,685                        10/437,198                        08/12/08
7,410,700                        10/371,754                        08/12/08
7,410,720                        11/205,717                        08/12/08
7,410,721                        10/509,747                        08/12/08
7,410,730                        10/951,840                        08/12/08
7,410,751                        11/045,791                        08/12/08
7,410,771                        11/404,405                        08/12/08
7,410,786                        11/681,453                        08/12/08
7,410,789                        11/366,315                        08/12/08
7,410,797                        10/458,102                        08/12/08
7,410,801                        10/515,150                        08/12/08
7,410,806                        11/209,185                        08/12/08
7,410,814                        11/254,248                        08/12/08
7,410,829                        11/826,468                        08/12/08
7,410,843                        11/428,911                        08/12/08
7,410,880                        11/020,554                        08/12/08
7,410,883                        11/159,889                        08/12/08
7,410,905                        10/854,668                        08/12/08
7,410,940                        11/977,633                        08/12/08
7,410,953                        09/971,475                        08/12/08
7,410,960                        10/468,935                        08/12/08
7,410,961                        10/586,765                        08/12/08
7,410,963                        10/582,131                        08/12/08
7,410,966                        10/524,204                        08/12/08
7,410,972                        10/499,102                        08/12/08
7,410,973                        10/521,540                        08/12/08
7,410,974                        10/567,660                        08/12/08
7,410,975                        10/872,196                        08/12/08
7,410,977                        11/578,755                        08/12/08
7,410,982                        10/532,765                        08/12/08
7,410,984                        10/524,028                        08/12/08
7,410,986                        10/433,377                        08/12/08
7,410,993                        10/524,081                        08/12/08
7,410,994                        11/391,655                        08/12/08
7,410,995                        09/134,421                        08/12/08
7,410,996                        10/533,328                        08/12/08
7,410,997                        10/727,644                        08/12/08
7,411,005                        10/366,634                        08/12/08
7,411,027                        10/588,509                        08/12/08
7,411,028                        10/509,060                        08/12/08
7,411,035                        11/284,625                        08/12/08
7,411,036                        11/284,598                        08/12/08
7,411,039                        10/685,368                        08/12/08
7,411,046                        11/496,457                        08/12/08
7,411,053                        11/420,307                        08/12/08
7,411,061                        11/020,408                        08/12/08
7,411,062                        11/614,456                        08/12/08
7,411,064                        11/354,459                        08/12/08
7,411,067                        10/462,945                        08/12/08
7,411,069                        10/831,423                        08/12/08
7,411,074                        10/528,974                        08/12/08
7,411,076                        10/488,254                        08/12/08
7,411,077                        10/549,062                        08/12/08
7,411,083                        10/947,711                        08/12/08
7,411,091                        10/580,367                        08/12/08
7,411,093                        11/302,067                        08/12/08
7,411,094                        11/571,625                        08/12/08
7,411,096                        10/564,985                        08/12/08
7,411,098                        10/596,335                        08/12/08
7,411,102                        11/460,643                        08/12/08
7,411,108                        10/823,186                        08/12/08
7,411,146                        11/686,022                        08/12/08
7,411,161                        10/950,215                        08/12/08
7,411,164                        11/122,544                        08/12/08
7,411,189                        11/454,987                        08/12/08
7,411,195                        10/891,139                        08/12/08
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 28 

7,411,233                        10/229,955                        08/12/08
7,411,236                        11/486,104                        08/12/08
7,411,261                        10/773,312                        08/12/08
7,411,271                        11/624,694                        08/12/08
7,411,308                        11/361,490                        08/12/08
7,411,311                        10/597,301                        08/12/08
7,411,319                        10/881,066                        08/12/08
7,411,321                        11/979,428                        08/12/08
7,411,322                        11/294,952                        08/12/08
7,411,325                        11/255,430                        08/12/08
7,411,336                        11/294,690                        08/12/08
7,411,342                        09/937,275                        08/12/08
7,411,346                        11/133,179                        08/12/08
7,411,347                        11/272,083                        08/12/08
7,411,348                        11/275,150                        08/12/08
7,411,358                        11/521,111                        08/12/08
7,411,362                        10/986,312                        08/12/08
7,411,366                        11/559,132                        08/12/08
7,411,368                        11/559,139                        08/12/08
7,411,383                        11/233,710                        08/12/08
7,411,394                        11/418,708                        08/12/08
7,411,400                        10/707,521                        08/12/08
7,411,402                        11/205,884                        08/12/08
7,411,416                        11/117,611                        08/12/08
7,411,445                        11/380,633                        08/12/08
7,411,447                        11/331,095                        08/12/08
7,411,455                        11/328,671                        08/12/08
7,411,480                        10/594,390                        08/12/08
7,411,482                        11/362,888                        08/12/08
7,411,487                        10/542,765                        08/12/08
7,411,496                        11/251,020                        08/12/08
7,411,502                        11/380,729                        08/12/08
7,411,514                        11/260,235                        08/12/08
7,411,516                        11/278,011                        08/12/08
7,411,518                        11/307,405                        08/12/08
7,411,525                        11/500,971                        08/12/08
7,411,558                        11/650,762                        08/12/08
7,411,559                        10/880,290                        08/12/08
7,411,565                        10/868,382                        08/12/08
7,411,566                        11/349,557                        08/12/08
7,411,579                        10/938,725                        08/12/08
7,411,616                        11/102,153                        08/12/08
7,411,628                        11/120,443                        08/12/08
7,411,630                        11/026,805                        08/12/08
7,411,659                        11/273,329                        08/12/08
7,411,660                        11/477,631                        08/12/08
7,411,666                        11/639,458                        08/12/08
7,411,671                        11/522,502                        08/12/08
7,411,673                        10/658,363                        08/12/08
7,411,685                        11/288,447                        08/12/08
7,411,688                        11/384,082                        08/12/08
7,411,703                        10/421,379                        08/12/08
7,411,708                        10/962,202                        08/12/08
7,411,725                        11/605,451                        08/12/08
7,411,734                        11/272,228                        08/12/08
7,411,747                        11/609,339                        08/12/08
7,411,748                        11/098,435                        08/12/08
7,411,750                        11/478,631                        08/12/08
7,411,764                        11/238,998                        08/12/08
7,411,771                        10/583,478                        08/12/08
7,411,783                        11/414,201                        08/12/08
7,411,786                        11/309,118                        08/12/08
7,411,810                        11/669,156                        08/12/08
7,411,814                        10/529,684                        08/12/08
7,411,879                        11/177,137                        08/12/08
7,411,893                        11/678,923                        08/12/08
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 29 

7,411,899                        10/078,277                        08/12/08
7,411,918                        11/584,942                        08/12/08
7,411,931                        10/790,831                        08/12/08
7,411,936                        09/731,329                        08/12/08
7,411,950                        11/092,468                        08/12/08
7,411,951                        11/093,656                        08/12/08
7,411,961                        10/298,425                        08/12/08
7,411,997                        10/473,310                        08/12/08
7,411,999                        11/066,674                        08/12/08
7,412,001                        10/270,334                        08/12/08
7,412,022                        10/373,112                        08/12/08
7,412,032                        10/599,042                        08/12/08
7,412,064                        10/391,637                        08/12/08
7,412,068                        11/678,340                        08/12/08
7,412,073                        11/197,613                        08/12/08
7,412,085                        11/375,658                        08/12/08
7,412,089                        11/438,687                        08/12/08
7,412,104                        11/343,908                        08/12/08
7,412,121                        11/335,110                        08/12/08
7,412,125                        11/281,931                        08/12/08
7,412,128                        11/739,589                        08/12/08
7,412,132                        11/229,849                        08/12/08
7,412,133                        11/319,688                        08/12/08
7,412,137                        11/682,575                        08/12/08
7,412,140                        10/786,821                        08/12/08
7,412,151                        09/348,891                        08/12/08
7,412,160                        11/324,469                        08/12/08
7,412,166                        10/426,911                        08/12/08
7,412,176                        10/920,183                        08/12/08
7,412,194                        11/410,193                        08/12/08
7,412,206                        10/306,173                        08/12/08
7,412,208                        10/094,741                        08/12/08
7,412,220                        11/114,547                        08/12/08
7,412,237                        10/528,020                        08/12/08
7,412,243                        10/457,365                        08/12/08
7,412,259                        11/062,984                        08/12/08
7,412,274                        11/322,581                        08/12/08
7,412,279                        10/209,416                        08/12/08
7,412,283                        10/865,985                        08/12/08
7,412,296                        10/766,043                        08/12/08
7,412,312                        10/497,799                        08/12/08
7,412,321                        10/641,064                        08/12/08
7,412,333                        10/178,083                        08/12/08
7,412,344                        11/025,390                        08/12/08
7,412,355                        11/253,083                        08/12/08
7,412,370                        11/007,521                        08/12/08
7,412,379                        10/114,505                        08/12/08
7,412,389                        11/071,097                        08/12/08
7,412,394                        09/769,091                        08/12/08
7,412,479                        10/042,412                        08/12/08
7,412,511                        09/449,237                        08/12/08
7,412,515                        10/255,973                        08/12/08
7,412,526                        10/235,511                        08/12/08
7,412,529                        10/702,589                        08/12/08
7,412,552                        11/671,410                        08/12/08
7,412,563                        11/196,409                        08/12/08
7,412,575                        11/156,721                        08/12/08
7,412,655                        10/979,587                        08/12/08
7,412,656                        09/842,017                        08/12/08
7,412,679                        11/206,863                        08/12/08
7,412,696                        10/811,716                        08/12/08
7,412,711                        10/882,841                        08/12/08
7,412,714                        10/228,498                        08/12/08
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 30 

Patents Reinstated Due to the Acceptance of a Late Maintenance Fee from 09/03/2012
                 Patents Reinstated Due to the Acceptance of a
                     Late Maintenance Fee from 09/03/2012

Patent           Application       Filing          Issue           Granted
Number           Number            Date            Date            Date

6,040,286        08/910,548        12/26/95        03/21/00        09/06/12
6,043,818        08/664,652        06/17/96        03/28/00        09/06/12
6,067,663        09/051,549        03/22/99        05/30/00        09/07/12
6,072,412        09/067,981        04/29/98        06/06/00        09/06/12
6,081,266        08/845,072        04/21/97        06/27/00        09/06/12
6,088,894        09/192,600        11/17/98        07/18/00        09/06/12
6,100,889        09/314,709        05/19/99        08/08/00        09/06/12
6,102,867        09/253,745        02/22/99        08/15/00        09/06/12
6,496,777        09/790,371        02/21/01        12/17/02        09/05/12
6,601,823        10/290,542        11/08/02        08/05/03        09/04/12
6,615,852        09/609,332        06/30/00        09/09/03        09/04/12
6,622,523        09/812,459        03/20/01        09/23/03        09/04/12
6,690,894        09/855,642        05/14/01        02/10/04        09/06/12
6,727,948        09/112,750        07/10/98        04/27/04        09/03/12
6,733,498        10/078,828        02/19/02        05/11/04        09/06/12
7,100,894        10/921,805        08/20/04        09/05/06        09/04/12
7,103,117        10/195,500        07/16/02        09/05/06        09/04/12
7,209,047        11/149,281        06/10/05        04/24/07        09/04/12
7,209,923        11/337,359        01/23/06        04/24/07        09/06/12
7,306,563        10/375,686        02/27/03        12/11/07        09/04/12
7,325,266        11/521,937        09/15/06        02/05/08        09/07/12
7,397,101        11/177,132        07/07/05        07/08/08        09/05/12
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 31 

Reissue Applications Filed
                           Reissue Applications Filed

   Notice under 37 CFR 1.11(b). The reissue applications listed below
are open to public inspection by the general public through the Image
File Wrapper (IFW) system (http://portal.uspto.gov/external/portal/pair)
on the USPTO internet web site (www.uspto.gov), and copies may be obtained
by paying the fee therefor (37 CFR 1.19).

   6,088,800, Re. S.N. 13/603,137, Sep. 04, 2012, Cl. 713189, ENCRYPTION
PROCESSOR WITH SHARED MEMORY INTERCONNECT, David E. Jones, et al.,
Owner of Record: MOSAID Technologies, Incorporated, Kanata, CA, Attorney
or Agent: Alexander Adam, Ex. Gp.: 2431

   6,493,548, Re. S.N. 13/595,715, Aug. 27, 2012, Cl.Sub 379067, MOBILE
TELEPHONE TERMINAL WITH IMPROVED UTILITY, Masaki Kinoshita, Owner of
Record: Apple Inc., Cupertino, CA, Attorney or Agent: Coe F. Miles,
Ex. Gp: 2614

   7,268,829, Re. S.N. 13/488,395, Aug. 19, 2011, Cl.Sub 348656, DISPLAY
APPARATUS, Jin-Bog Kim, Owner of Record: Samsung Electronics Co., Ltd.,
Suwon-si, Korea, Attorney or Agent: Sang Chul Kwon, Ex. Gp: 2422

   7,573,580, Re. S.N. 13/601,331, Aug. 31, 2012, Cl. 356/499, OPTICAL
POSITION MEASURING SYSTEM AND METHOD USING A LOW COHERENCE LIGHT SOURCE,
J. Christian Swindal, Owner of Record: ASML Holding N.V., Veldhoven, NL,
Attorney or Agent: Jason D. Eisenberg, Ex. Gp.: 2877

   7,776,377, Re. S.N. 13/587,262, Aug. 16, 2011, Cl.Sub 426629, NON-DAIRY,
NON-SOY WHIPPABLE FOOD PRODUCT AND METHOD OF MAKING, Rose Anne Colavito,
Owner of Record: Green Rabbit, LLC, Albany, NY, Attorney or Agent: Maxine L.
Barasch, Ex. Gp: 1781

   7,778,774, Re. S.N. 13/587,776, Aug. 16, 2011, Cl.Sub 701213, PORTABLE
TELEMATICS DEVICE, Wei-Min Li, et al., Owner of Record: Industrial
Technology Research Institute, Hsinchu, Taiwan, Attorney or Agent: Paul C.
Lewis, Ex. Gp: 3661

   7,823,741, Re. S.N. 13/607,297, Sep. 07, 2012, Cl. 220326, CONTAINER
WITH LOCKING SYSTEM, Tobias McKay Bridges, et al., Owner of Record: Apex
Brands, Inc., Sparks, MD, Attorney or Agent: Kenneth C. Bruley, Ex. Gp.:
3781

   8,070,224, Re. S.N. 13/597,325, Aug. 29, 2012, Cl. 297/217, VEHICLE
ENTERTAINMENT SYSTEM INCORPORATED WITHIN THE ARMREST/CONSOLE OF A VEHICLE,
Christopher J. Vitito, Owner of Record: Voxx International Corporation,
Attorney or Agent: Richard D. Ratchford Jr., Ex. Gp.: 3636

   8,147,886, Re. S.N. 13/586,692, Aug. 15, 2012, Cl.Sub 514573, FORM-
RETAINING PAD PREPARING A BEVERAGE SUITABLE FOR CONSUMPTION, Vicent Jan
Steenhaf, et al., Owner of Record: Koninklijke Douwe Egberts B.V., Utrecht
Netherlands, Attorney or Agent: Matthew J. Swietlik, Ex. Gp: 1629
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 32 

Requests for Ex Parte Reexamination Filed
                   Requests for Ex Parte Reexamination Filed

   5,560,360, Reexam. C.N. 90/012,388, Requested Date: Aug. 10, 2012,
Cl. 600/408, Title: IMAGE NEUROGRAPHY AND DIFFUSION ANISOTROPY IMAGING,
Inventor: Aaron G. Filler et al., Owners of Record: University of
Washington, Seattle, WA, Attorney or Agent: Johnson & Kindness, PLLC.,
Seattle, WA, Ex. Gp.: 3993, Requester: Michael A. Diener, Wilmer Cutler
Pickering Hale & Dorr, LLP., Boston, MA

   5,796,183, Reexam. C.N. 90/012,439, Requested Date: Aug. 17, 2012,
Cl. 307/116, Title: CAPACITIVE RESPONSIVE ELECTRONIC SWITCHING CIRCUIT,
Inventor: Byron Hourmand et al., Owners of Record: UUSI, LLC., Reed City,
UT, Attorney or Agent: Brooks Kushman, PC., Southfield, MI, Ex. Gp.: 3992,
Requester: PATENT OWNER

   5,987,863, Reexam. C.N. 90/012,406, Requested Date: Aug. 30, 2012,
Cl. 056/320, Title: LAWN MOWER HAVING FLOW CONTROL BAFFLES AND REMOVABLE
MULCHING BAFFLES, Inventor: Garry W. Busboom et al., Owners of Record:
Exmark MFG., Co., Inc., Beatrice, NE, Attorney or Agent: James W. Miller,
Minneapolis, MN, Ex. Gp.: 3993, Requester: David R. Marsh, Arnold & Porter,
LLP., Washington, DC

   6,598,235, Reexam. C.N. 90/012,424, Requested Date: Aug. 8, 2012,
Cl. 002/069, Title: GARMENT, UNDERGARMENT OR GARMENT LINER ACCOMMODATING A
HEATING DEVICE, Inventor: Athalene April Bulla, Owners of Record: Lavagear,
Inc., Sayville, NY, Attorney or Agent: Cittone & Lindenbaum, LLP., New York,
NY, Ex. Gp.: 3993, Requester: David J. Hrina, Buckingham Doolittle &
Burroughs, LLP., Akron, OH

   6,699,194, Reexam. C.N. 90/012,409, Requested Date: Aug. 17, 2012,
Cl. 600/310, Title: SIGNAL PROCESSING APPARATUS AND METHOD, Inventor:
Mohamed K. Diab et al., Owners of Record: Masimo Corporation, Irvine, CA,
Attorney or Agent: Knobbe Martens Olson & Bear, LLP., Irvine, CA, Ex. Gp.:
3992, Requester: Clinton H. Brannon, Mayer Brown, LLP., Washington, DC

   6,881,006, Reexam. C.N. 90/012,420, Requested Date: Aug. 8, 2012,
Cl. 404/015, Title: DEVICE AND METHOD FOR REDUCING CONSTRUCTION SITE TRACK
OUT, Inventor: Jeffrey M. Lange, Owners of Record: Trackout Industries,
LLC., Tempe, AZ, Attorney or Agent: Schmeiser Olsen & Watts, Mesa, AZ,
Ex. Gp.: 3993, Requester: Harold W. Milton, Jr., Dickinson Wright, PLLC.,
Troy, MI

   8,007,550, Reexam. C.N. 90/012,440, Requested Date: Aug. 17, 2012,
Cl. 044/535, Title: ARTIFICIAL FIRELOG USING NON-PETROLEUM WAXES, Inventor:
Willer de Oliveira et al., Owners of Record: Duraflame, Inc., Stockton, CA,
Attorney or Agent: Koppel Patrick Heybl & Philpott, Westlake Village, CA,
Ex. Gp.: 3991, Requester: Kevin B. Laurence, Stoel Rives, 3992,LLP.,
Salt Lake City, UT

   8,123,824, Reexam. C.N. 90/012,441, Requested Date: Aug. 17, 2012,
Cl. 044/435, Title: ARTIFICIAL FIRELOG USING OIL AND/OR FAT-RETAINING
MATERIALS, Inventor: Alexander U. Cavero, Jr. et al., Owners of Record:
Duraflame, Inc., Stockton, CA, Attorney or Agent: Koppel Patrick Heybl &
Philpott, Westlake Village, CA, Ex. Gp.: 3991, Requester: Kevin B. Laurence,
Stoel Rives, LLP., Salt Lake City, UT
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 33 

Requests for Inter Partes Reexamination Filed
                 Requests for Inter Partes Reexamination Filed

   6,299,528, Reexam. C.N.: 95/002,080, Requested Date: Aug. 16, 2012,
Cl.: 454/365, Title: END-VENTILATING ADJUSTABLE PITCH ARCUATE ROOF
VENTILATOR, Inventor: Jeffery E. Hansen, Owners of Record: Air Vent, Inc.,
Buffalo, NY, Attorney or Agent: Lippes Mathias Wexler Friedman, LLP.,
Buffalo, NY, Ex. Gp.: 3993, Requester: Third Party Requester: Owens Corning
Corp.; (Att'y Is: Charles B. Lyon, Halter & Griswold, LP., Cleveland, OH),
Real Party in Interest: Same As Third Party Requester

   6,482,084, Reexam. C.N.: 95/002,081, Requested Date: Aug. 16, 2012,
Cl.: 454/365, Title: END-VENTILATING ADJUSTABLE PITCH ARCUATE ROOF
VENTILATOR, Inventor: Jeffery E. Hansen, Owners of Record: Air Vent, Inc.,
Buffalo, NY, Attorney or Agent: Lippes Mathias Wexler Friedman, LLP.,
Buffalo, NY, Ex. Gp.: 3993, Requester:Third Party Requester: Owens Corning
Corp.; (Att'y Is: Charles B. Lyon, Halter & Griswold, LP., Cleveland, OH),
Real Party in Interest: Same As Third Party Requester

   6,746,885, Reexam. C.N.: 95/000,679, Requested Date: Aug. 6, 2012,
Cl.: 438/026, Title: METHOD FOR MAKING A SEMICONDUCTOR LIGHT SOURCE,
Inventor: Densen Cao, Owners of Record: CAO Group, Inc., Sandy, UT,
Attorney or Agent: CAO Group, Inc., West Jordan, UT, Ex. Gp.: 3992,
Requester: Third Party Requester: GE Lighting, Inc.; (Att'y Is: David
Terrell, Sutton McAughan Deaver, PLLC., Houston, TX), Real Party in
Interest: Same As Third Party Requester

   7,604,929, Reexam. C.N.: 95/002,078, Requested Date: Aug. 16, 2012,
Cl.: 435/001, Title: NOVEL CELLULAR COMPOSITIONS AND METHODS FOR THEIR
PREPARATION, Inventor: Daniel Dryden et al., Owners of Record: Celsis In
Vitro, Inc., Baltimore, MD, Attorney or Agent: Loeb & Loeb, LLP., Chicago,
IL, Ex. Gp.: 3991, Requester: Third Party Requester: (Att'y Is: Scott D.
Miller, Life Technologies Corp., Carlsbad, CA), Real Party in Interest:
Same As Third Party Requester

   7,736,389, Reexam. C.N. 95/002,082, Requested Date: Aug. 22, 2012,
Cl.: 623/004, Title: READING ENHANCEMENT DEVICE FOR PREVENTING AND TREATING
PRESBYOPIA OF THE EYE, Inventor: Richard E. Damiano, Owners of Record:
Reading Enhancement Co., Anaheim, CA, Attorney or Agent: Edwin H. Crabtree,
Denver, CO, Ex. Gp.: 3993, Requester: Third Party Requester: Refocus Ocular,
Inc.; (Att'y Is: William A. Munck, Munck Wilson Mandala, LLP., Dallas, TX),
Real Party in Interest: Same As Third Party Requester

   7,780,794, Reexam. C.N.: 95/002,085, Requested Date: Aug. 17, 2012,
Cl.: 134/006, Title: MEDICAL IMPLEMENT CLEANING DEVICE, Inventor: Bobby E.
Rogers et al., Owners of Record: Ivera Medical Corp., San Diego, CA,
Attorney or Agent: Mintz Levin Cohn Ferris Glovsky & Popeo, PC., Boston, MA,
Ex. Gp.: 3991, Requester: Third Party Requester: Excelsior Medical Corp.;
(Att'y Is: Steven E. Halpern, McCarter & English, LLP., Newark, NJ),
Real Party in Interest: Same As Third Party Requester

   7,785,302, Reexam. C.N.: 95/002,089, Requested Date: Aug. 20, 2012,
Cl.: 604/288, Title: ACCESS PORT IDENTIFICATION SYSTEMS AND METHODS,
Inventor: Kelly B. Powers, Owners of Record: C.R. Bard, Inc., Murray Hill,
NJ, Attorney or Agent: Rutan & Tucker, LLP., Costa Mesa, AZ, Ex. Gp.: 3993,
Requester: Third Party Requester: AngioDynamics, Inc.; (Att'y Is: Regina M.
Lutz, Cadwalader Wickersham & Taft, LLP., New York, NY), Real Party in
Interest: Same As Third Party Requester

   7,985,302, Reexam. C.N.: 95/002,086,Requested Date: Aug. 17, 2012,
Cl.: 134/116, Title: MEDICAL IMPLEMENT CLEANING DEVICE, Inventor: Bobby E.
Rogers et al., Owners of Record: Ivera Medical Corp., San Diego, CA,
Attorney or Agent: Mintz Levin Cohn Ferris Glovsky & Popeo, PC., Boston, MA,
Ex. Gp.: 3991, Requester: Third Party Requester: Excelsior Medical Corp.;
(Att'y Is: Steven E. Halpern, McCarter & English, LLP., Newark, NJ),
Real Party in Interest: Same As Third Party Requester
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 34 


   8,167,938, Reexam. C.N.: 95/002,083, Requested Date: Aug. 17, 2012,
Cl.: 623/004, Title: READING ENHANCEMENT DEVICE FOR PREVENTING AND TREATING
PRESBYOPIA OF THE EYE, Inventor: Richard E. Damiano, Owners of Record:
Reading Enhancement Co., Anaheim, CA, Attorney or Agent: Edwin H. Crabtree,
Denver, CO, Ex. Gp.: 3993, Requester: Third Party Requester: Refocus Ocular,
Inc.; (Att'y Is: William A. Munck, Munck Wilson Mandala, LLP., Dallas, TX),
Real Party in Interest: Same As Third Party Requester

   8,187,344, Reexam. C.N.: 95/002,084, Requested Date: Aug. 17, 2012,
Cl.: 044/300, Title: FUEL COMPOSITION FOR A DIESEL ENGINE, Inventor:
Juha Jakkula et al., Owners of Record: Neste Oil OYJ, Finland, Attorney or
Agent: Finnegan Henderson Farabow Garrett & Dunner, LLP., Washington, DC,
Ex. Gp.: 3991, Requester: Third Party Requester: Syntroleum Corp.; (Att'y
Is: Joseph P. Meara, Foley & Lardner, LLP., Madison, WI), Real Party in
Interest: Same As Third Party Requester

   8,206,514, Reexam. C.N.: 95/002,087, Requested Date: Aug. 17, 2012,
Cl.: 134/006, Title: MEDICAL IMPLEMENT CLEANING DEVICE, Inventor: Bobby E.
Rogers et al., Owners of Record: Ivera Medical Corp., San Diego, CA,
Attorney or Agent: Mintz Levin Cohn Ferris Glovsky & Popeo, PC., Boston, MA,
Ex. Gp.: 3991, Requester: Third Party Requester: Excelsior Medical Corp.;
(Att'y Is: Steven E. Halpern, McCarter & English, LLP., Newark, NJ),
Real Party in Interest: Same As Third Party Requester

   8,228,184, Reexam. C.N.: 95/002,079, Requested Date: Aug. 16, 2012,
Cl.: 340/539, Title: BATTERY-POWERED OCCUPANCY SENSOR, Inventor: Matthew
Robert Blakeley et al., Owners of Record: Lutron Electronics, Co., Inc.,
Coopersburg, PA, Attorney or Agent: Ostrolenk Faber, LLP., New York, NY,
Ex. Gp.: 3992, Requester: Third Party Requester: (Att'y Is: David E.
Shifren, Crestron Electronics, Inc., Rockleigh, NJ), Real Party in
Interest: Same As Third Party Requester
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 35 

Notice of Expiration of Trademark Registrations Due to Failure to Renew
                Notice of Expiration of Trademark Registrations
                            Due to Failure to Renew

   15 U.S.C. 1059 provides that each trademark registration may be
renewed for periods of ten years from the end of the expiring period
upon payment of the prescribed fee and the filing of an acceptable
application for renewal. This may be done at any time within one year
before the expiration of the period for which the registration was
issued or renewed, or it may be done within six months after such
expiration on payment of an additional fee.
   According to the records of the Office, the trademark registrations
listed below are expired due to failure to renew in accordance with 15
U.S.C. 1059.

                     TRADEMARK REGISTRATIONS WHICH EXPIRED
                               September 7, 2012
                            DUE TO FAILURE TO RENEW

Reg. Number                   Serial Number                     Reg. Date

2,537,225                      75/911,867                      02/05/2002
2,535,600                      75/919,547                      02/05/2002
2,536,019                      76/137,390                      02/05/2002
3,055,529                      79/000,717                      01/31/2006
3,055,530                      79/000,732                      01/31/2006
3,055,531                      79/000,736                      01/31/2006
3,055,532                      79/000,793                      01/31/2006
3,055,535                      79/001,059                      01/31/2006
3,002,055                      79/001,373                      09/27/2005
3,004,550                      79/001,379                      10/04/2005
3,046,238                      79/001,389                      01/17/2006
3,013,433                      79/001,391                      11/08/2005
3,035,888                      79/001,393                      12/27/2005
3,023,855                      79/001,404                      12/06/2005
1,188,362                      73/134,644                      02/02/1982
1,188,379                      73/260,018                      02/02/1982
1,674,034                      74/064,222                      02/04/1992
1,674,603                      74/140,826                      02/04/1992
2,536,883                      75/045,967                      02/05/2002
2,536,889                      75/146,297                      02/05/2002
2,536,891                      75/191,944                      02/05/2002
2,536,892                      75/218,851                      02/05/2002
2,536,893                      75/224,323                      02/05/2002
2,536,897                      75/251,065                      02/05/2002
2,536,902                      75/288,334                      02/05/2002
2,536,905                      75/292,509                      02/05/2002
2,536,929                      75/410,510                      02/05/2002
2,535,157                      75/419,341                      02/05/2002
2,536,935                      75/444,239                      02/05/2002
2,536,937                      75/452,490                      02/05/2002
2,536,941                      75/470,596                      02/05/2002
2,536,942                      75/472,544                      02/05/2002
2,535,170                      75/478,474                      02/05/2002
2,536,946                      75/482,173                      02/05/2002
2,535,172                      75/485,678                      02/05/2002
2,536,950                      75/494,741                      02/05/2002
2,535,180                      75/510,206                      02/05/2002
2,535,184                      75/513,243                      02/05/2002
2,536,962                      75/531,311                      02/05/2002
2,535,190                      75/531,513                      02/05/2002
2,536,963                      75/535,028                      02/05/2002
2,535,196                      75/546,239                      02/05/2002
2,536,970                      75/552,332                      02/05/2002
2,535,206                      75/565,889                      02/05/2002
2,536,976                      75/566,488                      02/05/2002
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 36 

2,536,986                      75/585,713                      02/05/2002
2,535,219                      75/605,170                      02/05/2002
2,536,997                      75/605,845                      02/05/2002
2,535,229                      75/619,683                      02/05/2002
2,537,017                      75/639,203                      02/05/2002
2,535,246                      75/649,049                      02/05/2002
2,535,248                      75/655,405                      02/05/2002
2,537,039                      75/662,325                      02/05/2002
2,537,040                      75/662,597                      02/05/2002
2,537,043                      75/671,143                      02/05/2002
2,537,044                      75/672,157                      02/05/2002
2,537,053                      75/682,666                      02/05/2002
2,537,056                      75/684,976                      02/05/2002
2,537,060                      75/688,895                      02/05/2002
2,537,063                      75/691,225                      02/05/2002
2,537,067                      75/698,375                      02/05/2002
2,535,271                      75/699,769                      02/05/2002
2,537,419                      75/704,366                      02/05/2002
2,537,420                      75/705,139                      02/05/2002
2,537,070                      75/706,761                      02/05/2002
2,537,072                      75/708,002                      02/05/2002
2,535,287                      75/714,427                      02/05/2002
2,535,305                      75/724,056                      02/05/2002
2,535,308                      75/728,263                      02/05/2002
2,537,081                      75/731,878                      02/05/2002
2,535,323                      75/739,579                      02/05/2002
2,537,089                      75/744,506                      02/05/2002
2,535,336                      75/751,010                      02/05/2002
2,535,339                      75/758,649                      02/05/2002
2,537,095                      75/759,169                      02/05/2002
2,535,341                      75/761,555                      02/05/2002
2,537,100                      75/768,982                      02/05/2002
2,537,102                      75/769,297                      02/05/2002
2,535,360                      75/781,062                      02/05/2002
2,535,361                      75/781,203                      02/05/2002
2,537,144                      75/817,717                      02/05/2002
2,537,152                      75/828,029                      02/05/2002
2,537,153                      75/828,259                      02/05/2002
2,535,411                      75/832,485                      02/05/2002
2,535,412                      75/832,487                      02/05/2002
2,537,157                      75/833,137                      02/05/2002
2,537,160                      75/837,848                      02/05/2002
2,535,420                      75/839,677                      02/05/2002
2,537,430                      75/842,065                      02/05/2002
2,535,423                      75/842,336                      02/05/2002
2,535,425                      75/842,992                      02/05/2002
2,537,172                      75/846,789                      02/05/2002
2,535,453                      75/856,640                      02/05/2002
2,535,463                      75/861,373                      02/05/2002
2,537,187                      75/862,262                      02/05/2002
2,535,465                      75/863,850                      02/05/2002
2,535,471                      75/867,792                      02/05/2002
2,537,197                      75/873,513                      02/05/2002
2,535,488                      75/874,881                      02/05/2002
2,537,199                      75/876,775                      02/05/2002
2,535,490                      75/877,343                      02/05/2002
2,537,437                      75/880,606                      02/05/2002
2,535,496                      75/881,423                      02/05/2002
2,535,497                      75/881,488                      02/05/2002
2,535,503                      75/884,390                      02/05/2002
2,535,504                      75/884,443                      02/05/2002
2,537,206                      75/886,588                      02/05/2002
2,535,511                      75/887,099                      02/05/2002
2,535,525                      75/891,278                      02/05/2002
2,537,212                      75/892,806                      02/05/2002
2,535,531                      75/893,380                      02/05/2002
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 37 

2,537,214                      75/896,239                      02/05/2002
2,535,544                      75/898,285                      02/05/2002
2,535,551                      75/900,897                      02/05/2002
2,535,567                      75/908,358                      02/05/2002
2,535,568                      75/908,505                      02/05/2002
2,535,580                      75/910,705                      02/05/2002
2,535,592                      75/916,550                      02/05/2002
2,535,594                      75/917,601                      02/05/2002
2,535,599                      75/918,786                      02/05/2002
2,535,603                      75/920,642                      02/05/2002
2,535,606                      75/922,429                      02/05/2002
2,537,234                      75/924,891                      02/05/2002
2,535,615                      75/925,923                      02/05/2002
2,535,622                      75/927,587                      02/05/2002
2,537,236                      75/927,682                      02/05/2002
2,537,237                      75/928,355                      02/05/2002
2,537,243                      75/930,510                      02/05/2002
2,537,245                      75/931,080                      02/05/2002
2,537,247                      75/931,844                      02/05/2002
2,535,643                      75/934,068                      02/05/2002
2,535,644                      75/934,198                      02/05/2002
2,535,662                      75/943,091                      02/05/2002
2,535,677                      75/980,523                      02/05/2002
2,537,265                      76/001,762                      02/05/2002
2,535,684                      76/002,008                      02/05/2002
2,537,266                      76/002,872                      02/05/2002
2,535,698                      76/004,814                      02/05/2002
2,537,269                      76/005,395                      02/05/2002
2,535,707                      76/008,731                      02/05/2002
2,535,724                      76/013,604                      02/05/2002
2,535,728                      76/014,682                      02/05/2002
2,537,284                      76/015,542                      02/05/2002
2,537,449                      76/018,771                      02/05/2002
2,535,743                      76/020,706                      02/05/2002
2,535,744                      76/022,140                      02/05/2002
2,535,747                      76/022,515                      02/05/2002
2,537,451                      76/027,773                      02/05/2002
2,535,783                      76/040,438                      02/05/2002
2,535,784                      76/040,440                      02/05/2002
2,535,786                      76/041,690                      02/05/2002
2,535,792                      76/043,981                      02/05/2002
2,537,321                      76/044,068                      02/05/2002
2,535,803                      76/050,030                      02/05/2002
2,535,810                      76/053,391                      02/05/2002
2,537,326                      76/054,090                      02/05/2002
2,535,812                      76/054,103                      02/05/2002
2,535,820                      76/057,023                      02/05/2002
2,537,336                      76/063,981                      02/05/2002
2,537,338                      76/066,253                      02/05/2002
2,535,854                      76/066,941                      02/05/2002
2,535,866                      76/071,139                      02/05/2002
2,537,466                      76/073,217                      02/05/2002
2,535,870                      76/073,633                      02/05/2002
2,535,884                      76/080,147                      02/05/2002
2,537,357                      76/082,803                      02/05/2002
2,535,893                      76/083,031                      02/05/2002
2,537,468                      76/084,436                      02/05/2002
2,535,898                      76/084,442                      02/05/2002
2,535,904                      76/086,496                      02/05/2002
2,537,363                      76/089,746                      02/05/2002
2,535,908                      76/089,811                      02/05/2002
2,535,909                      76/090,128                      02/05/2002
2,537,364                      76/090,613                      02/05/2002
2,535,913                      76/092,714                      02/05/2002
2,535,924                      76/097,157                      02/05/2002
2,535,926                      76/098,324                      02/05/2002
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 38 

2,535,927                      76/099,241                      02/05/2002
2,535,936                      76/102,913                      02/05/2002
2,535,945                      76/107,616                      02/05/2002
2,537,373                      76/114,343                      02/05/2002
2,535,957                      76/114,390                      02/05/2002
2,535,970                      76/120,366                      02/05/2002
2,535,972                      76/121,381                      02/05/2002
2,537,475                      76/124,110                      02/05/2002
2,535,989                      76/126,229                      02/05/2002
2,536,007                      76/134,595                      02/05/2002
2,536,009                      76/135,399                      02/05/2002
2,536,014                      76/136,695                      02/05/2002
2,536,016                      76/137,032                      02/05/2002
2,536,030                      76/143,310                      02/05/2002
2,536,066                      76/156,270                      02/05/2002
2,536,067                      76/156,303                      02/05/2002
2,536,070                      76/156,952                      02/05/2002
2,537,481                      76/158,694                      02/05/2002
2,536,083                      76/159,924                      02/05/2002
2,536,089                      76/161,251                      02/05/2002
2,536,096                      76/162,045                      02/05/2002
2,536,102                      76/164,007                      02/05/2002
2,536,103                      76/164,008                      02/05/2002
2,537,484                      76/165,401                      02/05/2002
2,536,110                      76/165,889                      02/05/2002
2,536,114                      76/169,113                      02/05/2002
2,537,485                      76/172,303                      02/05/2002
2,537,486                      76/172,308                      02/05/2002
2,537,488                      76/172,379                      02/05/2002
2,536,128                      76/172,627                      02/05/2002
2,536,151                      76/176,301                      02/05/2002
2,537,493                      76/180,725                      02/05/2002
2,536,180                      76/181,806                      02/05/2002
2,536,199                      76/186,716                      02/05/2002
2,536,216                      76/189,774                      02/05/2002
2,536,224                      76/190,913                      02/05/2002
2,536,229                      76/192,994                      02/05/2002
2,536,231                      76/193,361                      02/05/2002
2,536,249                      76/198,406                      02/05/2002
2,536,250                      76/199,064                      02/05/2002
2,536,255                      76/200,196                      02/05/2002
2,536,257                      76/201,265                      02/05/2002
2,536,262                      76/202,333                      02/05/2002
2,536,263                      76/202,546                      02/05/2002
2,536,273                      76/204,881                      02/05/2002
2,536,279                      76/208,026                      02/05/2002
2,536,283                      76/209,615                      02/05/2002
2,536,289                      76/212,098                      02/05/2002
2,536,290                      76/213,010                      02/05/2002
2,536,292                      76/213,364                      02/05/2002
2,536,298                      76/214,183                      02/05/2002
2,536,299                      76/214,224                      02/05/2002
2,536,307                      76/219,378                      02/05/2002
2,536,308                      76/219,971                      02/05/2002
2,536,314                      76/221,216                      02/05/2002
2,536,325                      76/227,954                      02/05/2002
2,536,330                      76/229,713                      02/05/2002
2,536,331                      76/230,613                      02/05/2002
2,536,347                      76/238,651                      02/05/2002
2,536,349                      76/241,265                      02/05/2002
2,536,350                      76/241,269                      02/05/2002
2,536,369                      76/251,730                      02/05/2002
2,536,374                      76/254,017                      02/05/2002
2,536,383                      76/259,672                      02/05/2002
2,536,389                      76/262,413                      02/05/2002
2,536,398                      76/264,132                      02/05/2002
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 39 

2,536,402                      76/266,170                      02/05/2002
2,536,417                      76/268,624                      02/05/2002
2,536,449                      76/272,597                      02/05/2002
2,536,451                      76/272,665                      02/05/2002
2,536,455                      76/272,876                      02/05/2002
2,536,460                      76/273,131                      02/05/2002
2,536,466                      76/273,683                      02/05/2002
2,536,478                      76/274,413                      02/05/2002
2,537,507                      76/276,237                      02/05/2002
2,536,487                      76/276,651                      02/05/2002
2,536,488                      76/276,874                      02/05/2002
2,536,493                      76/277,619                      02/05/2002
2,536,499                      76/278,986                      02/05/2002
2,536,502                      76/279,367                      02/05/2002
2,536,506                      76/280,000                      02/05/2002
2,536,508                      76/280,504                      02/05/2002
2,536,527                      76/282,026                      02/05/2002
2,536,532                      76/282,292                      02/05/2002
2,536,535                      76/282,670                      02/05/2002
2,536,537                      76/282,853                      02/05/2002
2,536,541                      76/283,369                      02/05/2002
2,536,546                      76/283,572                      02/05/2002
2,536,548                      76/283,674                      02/05/2002
2,536,550                      76/283,755                      02/05/2002
2,536,570                      76/284,593                      02/05/2002
2,536,571                      76/284,734                      02/05/2002
2,536,578                      76/285,447                      02/05/2002
2,536,583                      76/285,594                      02/05/2002
2,536,596                      76/286,570                      02/05/2002
2,536,602                      76/287,141                      02/05/2002
2,536,611                      76/288,132                      02/05/2002
2,536,614                      76/288,241                      02/05/2002
2,536,616                      76/288,484                      02/05/2002
2,536,617                      76/288,676                      02/05/2002
2,536,620                      76/288,935                      02/05/2002
2,536,625                      76/289,404                      02/05/2002
2,536,626                      76/289,418                      02/05/2002
2,536,632                      76/289,881                      02/05/2002
2,536,645                      76/291,398                      02/05/2002
2,536,650                      76/291,641                      02/05/2002
2,536,652                      76/291,807                      02/05/2002
2,536,676                      76/293,579                      02/05/2002
2,536,687                      76/294,347                      02/05/2002
2,536,692                      76/294,848                      02/05/2002
2,536,693                      76/294,872                      02/05/2002
2,536,700                      76/295,268                      02/05/2002
2,536,705                      76/295,530                      02/05/2002
2,536,717                      76/296,353                      02/05/2002
2,536,721                      76/296,773                      02/05/2002
2,536,754                      76/299,598                      02/05/2002
2,536,757                      76/299,695                      02/05/2002
2,536,758                      76/299,841                      02/05/2002
2,536,771                      76/302,037                      02/05/2002
2,537,385                      78/000,719                      02/05/2002
2,537,398                      78/018,896                      02/05/2002
2,537,407                      78/031,071                      02/05/2002
2,536,812                      78/035,141                      02/05/2002
2,536,823                      78/048,588                      02/05/2002
2,536,830                      78/061,132                      02/05/2002
2,536,834                      78/066,705                      02/05/2002
2,536,848                      78/069,550                      02/05/2002
2,536,866                      78/076,147                      02/05/2002
2,536,869                      78/076,993                      02/05/2002
2,536,870                      78/077,094                      02/05/2002
1,665,291                      74/118,945                      11/19/1991
2,511,798                      75/918,719                      11/27/2001
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 40 

Service by Publication
                            Service by Publication

   A notice of opposition to the registration of the mark in the application
identified below having been filed, and the notice of such proceeding sent
to applicant at the last known address having been returned by the Postal
Service as undeliverable, notice is hereby given that unless the applicant
listed herein, its assigns or legal representatives, shall enter an
appearance within thirty days of this publication, the opposition will
proceed as in the case of default.

Shane Thompson, Portland, Oregon, Application Serial No. 85416848 for the
mark "BUDBOOK", Opposition No. 91205379.

                                                               NICOLE THIER
                                                       Paralegal Specialist
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks


                            Service by Publication

   A notice of opposition to the registration of the mark in the application
identified below having been filed, and the notice of such proceeding sent
to applicant at the last known address having been returned by the Postal
Service as undeliverable, notice is hereby given that unless the applicant
listed herein, its assigns or legal representatives, shall enter an
appearance within thirty days of this publication, the opposition will
proceed as in the case of default.

Leparc Fabrice, New York, NY, Application Serial No. 85428875 for the mark
"SQUARECHIC", Opposition No. 91205817.

                                                            JANICE D. HYMAN
                                                       Paralegal Specialist
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks


                            Service by Publication

   A petition to cancel the registration identified below having been filed,
and the notice of such proceeding sent to registrant at the last known
address having been returned by the Postal Service as undeliverable, notice
is hereby given that unless the registrant listed herein, its assigns or
legal representatives, shall enter an appearance within thirty days of this
publication, the cancellation will proceed as in the case of default.

Swiss Luxury Brands LLC, Long Island City, New York, Registration No.
3970190 for the mark "VIVA", Cancellation No. 92055595.

                                                           MILLICENT CANADY
                                                                  Paralegal
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks


                            Service by Publication

   A petition to cancel the registration identified below having been filed,
and the notice of such proceeding sent to registrant at the last known
address having been returned by the Postal Service as undeliverable, notice
is hereby given that unless the registrant listed herein, its assigns or
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 41 

legal representatives, shall enter an appearance within thirty days of this
publication, the cancellation will proceed as in the case of default.

Patriot Homes, Inc., Elkhart, Indiana, Registration No. 3313495 for the mark
"EVOLUTIONHOMES", Cancellation No. 92055826.

                                                              VIONETTE BAEZ
                                                       Paralegal Specialist
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks


                            Service by Publication

   A petition to cancel the registration identified below having been filed,
and the notice of such proceeding sent to registrant at the last known
address having been returned by the Postal Service as undeliverable, notice
is hereby given that unless the registrant listed herein, its assigns or
legal representatives, shall enter an appearance within thirty days of this
publication, the cancellation will proceed as in the case of default.

Location Based Technologies, Inc., Anaheim, CA, Registration No. 3420966
for the mark "PETFINDER", Cancellation No. 92055909.

                                                               LALITA GREER
                                                       Paralegal Specialist
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 42 

37 CFR 1.47 Notice by Publication
                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of an application with a petition
under 37 CFR 1.47 requesting acceptance of the application without the
signature of all the inventors. The petition has been granted. A notice has
been sent to the last known address of the non-signing inventor, Alan Lyle
VAUDRY. The inventor whose signature is missing may join in the application
by promptly filing an appropriate oath or declaration complying with 37 CFR
1.63. The international application number is PCT/CA2009/001272 and was
filed 10 September 2009 in the names of Ervin KOVACS, Alan Lyle VAUDRY, Mark
Leighton FOSTER, and John Harvey BORDEN for the invention entitled WINDOW
FLY TRAP. The national stage number is 13/063,644 and has a 35 U.S.C.
371(c) date of 28 July 2012.


                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of an application with a petition
under 37 CFR 1.47 requesting acceptance of the application without the
signature of a joint inventor. The petition has been granted. A notice has
been sent to the last known address of the non-signing inventor. The
inventor whose signature is missing (Mark JASTER) may join in the
application by promptly filing an appropriate oath or declaration complying
with 37 CFR 1.63. The international application number is PCT/US2010/026858
and was filed on March 10, 2010. The inventors named during the
international phase were JASTER, Mark and ULWICK, Anthony W., for the
invention entitled BUSINESS INFORMATION AND INNOVATION MANAGEMENT. The
national stage application number is 13/319,066 and the application has a
35 U.S.C. 371(c)(1), (2) and (4) date of April 5, 2012.


                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of an application with a petition
under 37 CFR 1.47 requesting acceptance of the application without the
signature of a joint inventor. The petition has been granted. A notice has
been sent to the last known address of the non-signing inventor. The
inventor whose signature is missing (Dejan ILIC) may join in the application
by promptly filing an appropriate oath or declaration complying with 37
CFR 1.63. The international application number is PCT/EP2008/002764 and was
filed on April 8, 2008. The inventors named during the international phase
were SCHEIN, Herbert, KREIDLER, Bernd, PYTLIK, Eduard, KREBS, Martin and
ILIC, Dejan for the invention entitled BUTTON CELL COMPRISING A COATED
EXTERIOR. The national stage application number is 12/595,126 and the
application has a 35 U.S.C. 371(c)(1), (2) and (4) date of April 6, 2010.


                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of an application with a petition
under 37 CFR 1.47 requesting acceptance of the application without the
signature of a joint inventor. The petition has been granted. A notice has
been sent to the last known address of the non-signing inventor. The
inventor whose signature is missing (Tsung-Shann JIANG) may join in the
application by promptly filing an appropriate oath or declaration complying
with 37 CFR 1.63. The international application number is PCT/CN2009/000693
and was filed on June 22, 2009. The inventors named during the international
phase were LEE, Chen-Chia; CHEN, Wen-Hwa; JIANG, Tsung-Shann; LAI, Yu-Ju;
and WANG, Shih-Jen for the invention entitled A PHARMACEUTICAL COMPOSITION
WITH THE EFFECT OF TREATING DIABETES. The national stage application number
is 13/000,916 and the application has a 35 U.S.C. 371(c)(1), (2) and (4)
date of March 14, 2012.


                       37 CFR 1.47 Notice of Publication
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 43 


   Notice is hereby given of the filing of an application with a petition
under 37 CFR 1.47 requesting acceptance of the application without the
signature of an inventor. The petition has been granted. A notice has been
sent to the last known address of the non-signing inventor. The inventor
whose signature is missing (Bernard WALLE) may join in the application by
promptly filing an appropriate oath or declaration complying with 37 CFR
1.63. The international application number is PCT/EP2008/008614 and was
filed on October 11, 2008. The inventor named during the international phase
was WALLE, Bernard for the invention entitled EXHAUST-GAS CONDUCTION
COMPONENT. The national stage application number is 12/741,096 and the
application has a 35 U.S.C. 371(c)(1), (2) and (4) date of August 30, 2010.


                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of a national stage application
with a petition under 37 CFR 1.47 requesting acceptance of the application
without the signature of all of the inventors. The petition has been
granted. A notice has been sent to the last known address of the non-signing
inventor, Stefano Gozio. The inventor whose signature is missing may join in
the application by promptly filing an appropriate oath or declaration
complying with 37 CFR 1.63. The international application number is
PCT/EP2010/053446 and was filed on 17 March 2010 in the names of Alexander
Albertus Stephanus Eggen, Stefano Gozio and Carla Christina Schrier for the
invention entitled In Situ Constituting a Vaccine for Administration to a
Predetermined. The national stage application is assigned number 13/256,045
and has a 35 U.S.C. 371(c)(1), (c)(2) and (c)(4) date of 20 January 2012.


                       37 CFR 1.47 Notice of Publication

   Notice is hereby given of the filing of a national stage application
with a petition under 37 CFR 1.47 requesting acceptance of the application
without the signature of all of the inventors. The petition has been
granted. A notice has been sent to the last known address of the non-signing
inventor, Hannah Elizabeth Shaw. The inventor whose signature is missing may
join in the application by promptly filing an appropriate oath or
declaration complying with 37 CFR 1.63. The international application number
is PCT/EP2009/056717 and was filed on 02 June 2009 in the names of Katya
Ivanova and Hannah Elizabeth Shaw for the invention entitled Multi-Phase
Personal Care Composition. The national stage application is assigned
number 13/000,365 and has a 35 U.S.C. 371(c)(1), (c)(2) and (c)(4) date of
31 August 2011.
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 44 

Registration to Practice
                           Registration to Practice

   The following list contains the names of persons seeking for registration
to practice before the United States Patent and Trademark Office. Final
approval for registration is subject to establishing to the satisfaction of
the Director of the Office of Enrollment and Discipline that the person
seeking registration is of good moral character and repute. 37 CFR § 11.7
Accordingly, any information tending to affect the eligibility of any of the
following persons on moral ethical or other grounds should be furnished to
the Director of Enrollment and Discipline on or before October 21, 2012 at
the following address: Mail Stop OED United States Patent and Trademark
Office P.O. Box 1450 Alexandria VA 22314

Aceto, Donato Gonzalo, 201 High Street, Apartment 3, Newburyport, MA 01950

Anderson, Kristin Maree, 18 Eldwick Court, Potomac, MD 20854

Barnette, Deborah Houle, 200 Bonniewood Drive, Cary, NC 27518

Cheung, Yin, 10113 224th Avenue NE, Redmond, WA 98053

Clark, Matthew Donald, 3644 Briarbrooke Lane, Oakland Township, MI 48306

Corcoran, James Thomas, 200 Atlantic Place, Hauppauge, NY 11788

Dandridge, Andre' Bryan, The Dandridge Firm, PLC, 3828 Plover Place, East
Lansing, MI 48823

Deane, Michael Clayton, 4700 West Guadauple Street, Apt A326, Austin,
TX 78751

Edwards Jr., Timothy, 6038 Richmond Highway, Apartment 308, Alexandria,
VA 22303

Espinosa, Edgar Fernando, 492 Shaler Boulevard, Ridgefield, NJ 07657

Fleming, Karissa Lynn, 235 Plantation Way, Roswell, GA 30075

Gardiner, Austin William, 15020 57th Place West, Edmonds, WA 98026

Getty, Justus Lee, Duane Morris LLP, 505 9th Street NW, Suite 1000,
Washington, DC 20004-2166

Huh, Gregory Peter, Hanes and Boone, LLC., 2600 Ventura Drive, Apartment
922, Plano, TX 75093

Janusz, Joseph Michael, 214 Magnolia Avenue, Charlotte, NC 28203

Lee, Dustin Eugene, 2322 Knob Hill Drive, Apartment 5-5, Okemos, MI 48864

Liro, Christopher Reagan, Kirkland & Ellis LLP, 300 North LaSalle, Chicago,
IL 60654

Mamajiwalla, Salim Nassim, 146 Rouge Bank Drive, Markham, Ont., L3S 4K5,
Canada

Mikailli, Shebli, 3073 Woodmont Drive, San Jose, CA 95118

Mullet, Ian Spencer, 225 Walden Street, Apartment 5T, Cambridge, MA 02140

Rashkind, Noah Hamilton, Office of the Public Defender, Eight Judicial
Court, 35 North Main Street, Gainesville, FL 32601

Rich, Stephanie Karen, Alston & Bird LLP, 101 South Tryon Street, Suite
4000, Charlotte, NC 28210
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 45 


Rosich, Michael Alan, 5425 Fountain Circle, North Ridgeville, OH 44039

Samples, John Wesley, 4055 Hogan Drive, Apartment #1705, Tyler, TX 75709

Sanborn, Alexandra Jan, Archer Daniels Midland- Research, 1001 Brush
College Road, Decatur, IL 62521

Seralathan, Ashanthi Meena, Chadbourne and Parke LLP, 30 Rockefeller Plaza,
Room 3326D, New York, NY 10112

Siders, Benjamin James, Lewis Rice & Fingersh, LC, 600 Washington Avenu,
Suite 2500, Saint Louis, MO 63101

Tena, Librado, ESE Engineers, LLC, 4625 South Lakeshore Drive, Suite 408,
Tempe, AZ 85282

Thompson, Mark William, 1138 North Polk Extension #304, Moscow, ID 83843

Williams, Benjamin Francis, GCCH, LLC, 1600 South Pine Street, P.O. Box
1200, Norwood, CO 81423

Wilmoth Jr., Gerald Raymond, 9 Walker Street, Apartment 2, Somerville,
MA 02144

Yebernetsky, Thomas Craig, 74 Josie Drive, Bellefonte, PA 16823

Yeh, Ka Lo, Fish & Richardson, P.C., 500 Arguello Street, Suite 500,
Redwood City, CA 94063

September 6, 2012                                          WILLIAM R. COVEY
                   Deputy General Counsel for Enrollment and Discipline and
                        Director of the Office of Enrollment and Discipline
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 46 

Notice of Petition for Reinstatement
                     Notice of Petition for Reinstatement

   Michelle A. Massicotte, of Marblehead, Massachusetts who has been
suspended pursuant to 35 U.S.C. § 32, has filed a petition for reinstatement.
Granting of reinstatement is subject to, inter alia, establishing to the
satisfaction of the Director of the Office and Enrollment and Discipline that
granting the petition is not contrary to the public interest, and that the
suspended practitioner has complied with the provisions of 37 CFR § 11.58
during the period of suspension. 37 CFR § 11.60. Accordingly, information
bearing upon the good moral character and reputation of Michelle A.
Massicotte is material to her eligibility for reinstatement. Any information
tending to affect the eligibility of Michelle A. Massicotte on moral, ethical or
other grounds should be furnished to the Director of the Office of Enrollment
and Discipline in a written communication addressed to the Office of
Enrollment and Discipline, Mail Stop OED, United States Patent and Trademark
Office, P.O. Box 1450, Alexandria, VA 22313-1450, on or before October 2,
2012.

September 6, 2012                                          WILLIAM R. COVEY
                   Deputy General Counsel for Enrollment and Discipline and
                        Director of the Office of Enrollment and Discipline
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 47 

Status of Public Records Division
                       Status of Public Records Division

   The Public Records Division (PRD) processes and fills orders for both
certified and uncertified copies of Patent and Trademark Office documents
and records assignments and other documents related to title. This is an
update of actual processing times for orders filled during the month of
August 2012:

DOCUMENT SERVICES                     Goal          Actual Processing
                                                           Time
Certified Documents

Patent Applications-As-Filed           7 days             4 days
Patent Related File Wrappers          25 days            15 days
Patent Copies                         10 days             5 days
Patent Assignments                    10 days             8 days
Trademark Applications-As-Filed        7 days             4 days
Trademark Related File Wrappers       25 days            12 days
Trademark Assignments                 10 days             9 days
Trademark Registrations, Expedited     5 days             3 days
Trademark Registrations, Regular      14 days            11 days

Uncertified Documents

Patent Copies                          5 days             1 day
Plant Patents5 days1 day
Patent Assignments                    10 days             1 day
Patent Related File Wrappers          25 days             7 days
Trademark Copies                       5 days             1 day
Trademark Assignments                 10 days             1 day
Trademark Related File Wrappers       25 days             1 day

   Customers should use the above actual processing time for each product
as a guide as to when they can expect their orders to be completed. In
cases where an urgent deadline is approaching, contact Patent and Trademark
Copy Fulfillment Branch at (571) 272-3150 or 1 (800) 972-6382 for assistance
with a particular order.

   Customers are encouraged to place orders through the Internet at
http://ebiz1.uspto.gov/oems25p

   Orders may also be faxed to the Patent and Trademark Copy Fulfillment
Branch at (571) 273-3250. Information on the status of pending orders may
be obtained by calling (571) 272-3150 or 1 (800) 972-6382 (outside the
Washington, DC Metro area), or via E-mail to dsd@uspto.gov.

ASSIGNMENT SERVICES
                                      Goal          Actual Processing
                                                           Time
Submission Method

Internet (EFS, ePAS or eTAS)           2 days             1 day
Fax                                   10 days             2 days
Paper                                 14 days             2 days

   The Assignment Services Branch is currently mailing recordation notices
for paper documents received in the Public Records Division on August 29,
2012.

   Customers should use the above actual processing times as a guide as to
when they can expect their assignment submissions to be processed. For
fastest service customers are encouraged to file assignments via the
Internet.

   Assignment submissions may be made via the Internet at
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 48 

http://epas.uspto.gov/ for patent assignments and http://etas.uspto.gov for
trademark assignments. Patent assignment submissions may also be made by
selecting the "Electronic Filing (EFS)" option at http://www.uspto.gov/ebc.

   Assignment submissions may also be faxed to the Assignment Services
Branch at (571) 273-0140. Trademark assignment recordations may be reviewed
online at http://assignments.uspto.gov/assignments. Information on the
status of pending assignment recordations may be obtained by calling
(571) 272-3350 or 1 (800) 972-6382 (outside the Washington, DC Metro area).

September 6, 2012                                           DONNA J. COOPER
                                           Manager, Public Records Division
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 49 

CPI Adjustment of Patent Fees for Fiscal Year 2012
                            DEPARTMENT OF COMMERCE
                          Patent and Trademark Office
                             37 CFR Parts 1 and 41
                               [PTO-C-2011-0007]
                                 RIN 0651-AC55

              CPI Adjustment of Patent Fees for Fiscal Year 2013

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Final rule.

SUMMARY: The United States Patent and Trademark Office (Office or
USPTO) is adjusting certain patent fee amounts for fiscal year 2013 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 as
reflected by the CPI.

DATES: This final rule is effective on October 5, 2012.

FOR FURTHER INFORMATION CONTACT: Gilda Lee by email at Gilda.Lee@uspto.gov,
by telephone at (571) 272-8698, or by fax at (571) 273-8698.

SUPPLEMENTARY INFORMATION:

Executive Summary

    Purpose: Section 41(f) of Title 35 of the United States Code provides
the USPTO with the authority to adjust certain statutory patent fees to
reflect fluctuations during the preceding twelve months in the Consumer
Price Index (CPI). The purpose of this provision is to allow the USPTO to
recover higher costs of providing services as reflected by the CPI. This
final rule sets forth which fees will be adjusted and how the adjustment
is calculated based on the current fluctuation in the CPI over the twelve
months preceding this notice.

    Summary of Major Provisions: The USPTO is adjusting certain patent
fees in accordance with 35 U.S.C. 41(f), as amended by the Consolidated
Appropriations Act (Pub. L. 108-447, 118 Stat. 2809 (2004)) and the
Leahy-Smith America Invents Act (Pub. L. 112-29). The fee increase helps
the USPTO to meet its strategic goals and maintain effective and efficient
operation of the patent system.
    Costs and Benefits: This rulemaking is not economically significant
as that term is defined in Executive Order 12866 (Sept. 30, 1993).

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, Sec.  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.
    The USPTO published a notice proposing to adjust the patent fees
charged under 35 U.S.C. 41(a) and (b) for fiscal year 2013 to reflect
fluctuations in the CPI on May 14, 2012.
    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)),
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 50 

and examination fee (35 U.S.C. 41(a)(3)) during fiscal years 2005 and 2006.
See Public Law 108-447, 118 Stat. 2809, 2924-30 (2004). The Omnibus
Appropriations Act, 2009, extended the patent and trademark fee provisions
of the fiscal year 2005 Consolidated Appropriations Act through September
30, 2011. See Public Law 112-4, 125 Stat. 6 (2011); Public Law 111-322, 124
Stat. 3518 (2010); Public Law 111-317, 124 Stat. 3454 (2010); Public Law
111-290, 124 Stat. 3063 (2010); Public Law 111-242, 124 Stat. 2607 (2010);
Public Law 111-224, 124 Stat. 2385 (2010); Public Law 111-117, 123 Stat.
3034 (2009); Public Law 111-8, 123 Stat. 524 (2009); Public Law 111-6, 123
Stat. 522 (2009); Public Law 111-5, 123 Stat. 115 (2009); Public Law
110-329, 122 Stat. 3574 (2008); Public Law 110-161, 121 Stat. 1844 (2007);
Public Law 110-149, 121 Stat. 1819 (2007); Public Law 110-137, 121 Stat.
1454 (2007); Public Law 110-116, 121 Stat. 1295 (2007); Public Law 110-92,
121 Stat. 989 (2007); Public Law 110-5, 121 Stat. 8 (2007); Public Law
109-383, 120 Stat. 2678 (2006); Public Law 109-369, 120 Stat. 2642 (2006);
and Public Law 109-289, 120 Stat. 1257 (2006). The Leahy-Smith America
Invents Act, enacted September 16, 2011, codified the patent and trademark
fee provisions of the fiscal year 2005 Consolidated Appropriations Act.
    Section 11 of the Leahy-Smith America Invents Act provides for a
surcharge of fifteen percent, rounded by standard arithmetic rules, on all
fees charged or authorized by 35 U.S.C. 41(a), (b), and (d)(1), as well as
by 35 U.S.C. 132(b). Section 11 of the Act provides that this fifteen
percent surcharge is effective ten days after the date of enactment (i.e.,
September 26, 2011). Section 11 also provides that this fifteen percent
surcharge shall terminate, with respect to a fee to which the surcharge
applies, on the effective date of the setting or adjustment of that fee
pursuant to the exercise of the authority under section 10 of the Act for
the first time with respect to that fee. Section 10 fee-setting will be
implemented in a future separate rulemaking.
    As for this rulemaking, 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 Consumer Price Index over the previous twelve months. If the annual
change in CPI is one percent or less, no fee adjustment for CPI fluctuations
will be pursued.
    This CPI increase will be implemented on October 1, 2012. This interim
increase in fees is necessary to allow the USPTO to meet its strategic goals
within the time frame outlined in the FY 2013 President's Budget. The
interim fee increase is a bridge to provide resources until the USPTO
exercises its fee-setting authority and develops a new fee structure that
will provide sufficient financial resources in the long term. An adequately
funded USPTO will optimize the administration of the U.S. intellectual
property system, and thereby move innovation to the marketplace more quickly,
creating and sustaining U.S. jobs and enhancing the health and living
standards of Americans.
    Fee Adjustment Level: The patent statutory fees established by 35 U.S.C.
41(a) and (b) are adjusted to reflect the most recent fluctuations occurring
during the twelve-month period prior to publication of the final rule
implementing this CPI adjustment, 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, which is found at
"http://www.bls.gov/cpi/". In accordance with the above description of the
statutory fee adjustment, the USPTO is adjusting patent statutory fee amounts
based on the Administration's CPI-U for the twelve-month period ending
June 30, 2012.
    The fees other than small entity patent statutory fees have been
adjusted based on the June 2011 to June 2012 annual CPI-U increase of 1.7%.
These fee amounts were then rounded by applying standard arithmetic rules so
that the resulting amounts will be consistent 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 the nearest even number so that any comparable
small entity fee will be a whole number. The small entity fee amounts are 50%
of the other than small entity fee amounts.
    General Procedures: Any fee amount adjusted by the final rule that is
paid on or after the effective date of the fee adjustment enacted by the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 51 

final rule is subject to the new fees in effect. The amount of the fee to be
paid for a given item will be determined by the time of filing of that item
with the Office. 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 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 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), is revised to adjust fees established therein to reflect
fluctuations in the CPI-U. See Table 1.
    37 CFR 1.17 Patent application and reexamination processing fees:
Section 1.17, paragraphs (a)(1) through (a)(5), (l), and (m), is revised
to adjust fees established therein to reflect fluctuations in the CPI-U.
See Table 1.
    37 CFR 1.18 Patent post allowance (including issue) fees: Section
1.18, paragraphs (a) through (c), is revised to adjust fees established
therein to reflect fluctuations in the CPI-U. See Table 1.
    37 CFR 1.20 Post issuance fees: Section 1.20, paragraphs (c)(3)-(c)(4),
and (d) through (g), is revised to adjust fees established therein to reflect
fluctuations in the CPI-U. See Table 1.
    37 CFR 1.492 National stage fees: Section 1.492, paragraphs (a), (c)(2),
(d) through (f) and (j), is revised to adjust fees established therein to
reflect fluctuations in the CPI-U. See Table 1.
    37 CFR 41.20 Fees: Section 41.20, paragraphs (b)(1) through (b)(3),
is revised to adjust fees established therein to reflect fluctuations
in the CPI-U. See Table 1.
    Fee Amount Adjustments: Table 1 shows the adjusted patent statutory fee
amounts and fee adjustments based on the June 2011 to June 2012 annual CPI-U
increase of 1.7%. The other than small entity fee amounts have been adjusted
by 1.7%. These fee amounts were then rounded by applying standard arithmetic
rules. 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 the nearest even number.
The small entity fee amounts are 50% of the large entity fee amounts.


                Table 1 - Fee Adjustment Calculations Based on
                           CPI-U Adjustment of 1.7%

                                    Current fee     New fee      Fee
37 CFR      Fee title               amount          amount       adjustment

1.16(a)(1)  Filing of Utility       $380            $390         $10
            Patent Application      Small Entity    SE $195      SE $5
            (on or after            (SE) $190
            12/8/2004).

1.16(a)(1)  Filing of Utility       $95             $98          $3
            Patent Application
            (electronic filing
            for small entities)
            (on or after
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 52 

            12/8/2004).

1.16(b)(1)  Filing of Design        $250            $250         $0
            Patent Application      SE $125         SE $125      SE $0
            (on or after
            12/8/2004).

1.16(b)(1)  Filing of Design        $250            $250         $0
            Patent Application      SE $125         SE $125      SE $0
            (Continued
            Prosecution
            Application)
            (on or after
            12/8/2004).

1.16(c)(1)  Filing of Plant         $250            $250         $0
            Patent Application      SE $125         SE $125      S E $0
            (on or after
            12/8/2004).

1.16(d)     Provisional             $250            $250         $0
            Application             SE $125         SE $125      SE $0
            Filing.

1.16(e)(1)  Filing of Reissue       $380            $390         $10
            Patent Application      SE $190         SE $195      SE $5
            (on or after
            12/8/2004).

1.16(e)(1)  Filing of Reissue       $380            $390         $10
            Patent Application      SE $190         SE $195      SE $5
            (CPA) (on or after
            12/8/2004).

1.16(h)     Independent Claims      $250            $250         $0
            in Excess of            SE $125         SE $125      SE $0
            Three.

1.16(h)     Reissue                 $250            $25          $0
            Independent Claims      SE $125         SE $125      SE $0
            in Excess of
            Three.

1.16(i)     Claims in Excess        $60             $62          $2
            of Twenty.              SE $30          SE $31       SE $1

1.16(i)     Reissue Total           $60             $62          $2
            Claims in Excess        SE $30          SE $31       SE $1
            of Twenty.

1.16(j)     Multiple Dependent      $450            $460         $10
            Claims.                 SE $225         SE $230      SE $5

1.16(o)     Utility Patent          $250            $250         $0
            Examination.            SE $125         SE $125      SE $0

1.16(p)     Design Patent           $160            $160         $0
            Examination.            SE $80          SE $80       SE $0

1.16(q)     Plant Patent            $200            $200         $0
            Examination.            SE $100         SE $100      SE $0

1.16(r)     Reissue Patent          $750            $760         $10
            Examination.            SE $375         SE $380      SE $5

1.16(s)     Utility                 $310            $320         $10
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 53 

            Application Size        SE $155         SE $160      SE $5
            Fee - For each
            additional 50
            sheets that
            exceeds 100
            sheets.

1.16(s)     Design Application      $310            $320         $10
            Size Fee - For          SE $155         SE $160      SE $5
            each additional
            50 sheets that
            exceeds 100
            sheets.

1.16(s)     Plant Application       $310            $320         $10
            Size Fee - For          SE $155         SE $160      SE $5
            each additional
            50 sheets that
            exceeds 100
            sheets.

1.16(s)     Reissue                 $310            $320         $10
            Application Size        SE $155         SE $160      SE $5
            Fee - For each
            additional 50
            sheets that
            exceeds 100
            sheets.

1.16(s)     Provisional             $310            $320         $10
            Application Size        SE $155         SE $160      SE $5
            Fee - For each
            additional 50
            sheets that
            exceeds 100
            sheets.

1.17(a)(1)  Extension for           $150            $150         $0
            Response within         SE $75          SE $75       SE $0
            First Month.

1.17(a)(2)  Extension for           $560            $570         $10
            Response within         SE $280         SE $285      SE $5
            Second Month.

1.17(a)(3)  Extension for           $1,270          $1,290       $20
            Response within         SE $635         SE $645      $10
            Third Month

1.17(a)(4)  Extension for           $1,980          $2,010       $30
            Response within         SE $990         SE $1,005    SE $15
            Fourth Month.

1.17(a)(5)  Extension for           $2,690          $2,730       $40
            Resonse within          SE $1,345       SE $1,365    SE $20
            Fifth Month.

1.17(l)     Petition to Revive      $620            $630         $10
            Unavoidably             SE $310         SE $315      SE $5
            Abandoned
            Application.

1.17(m)     Petition to Revive      $1,860          $1,890       $30
            Unintentionally         SE $930         SE $945       SE $15
            Abandoned
            Application.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 54 


1.18(a)     Utility Issue           $1,740          $1,770       $30
                                    SE $870         SE $885      SE $15

1.18(a)     Reissue Issue           $1,740          $1,770       $30
                                    SE $870         SE $885      SE $15

1.18(b)     Design Issue            $990            $1,010       $20
                                    SE $495         SE $505      SE $10

1.18(c)     Plant Issue             $1,370          $1,390       $20
                                    SE $685         SE $695      SE $10

1.20(c)(3)  Reexamination           $250            $250         $0
            Independent             SE $125         SE $125      SE $0
            Claims in Excess
            of Three.

1.20(c)(4)  Reexamination           $60             $62          $2
            Total Claims in         SE $30          SE $31       SE $1
            Excess of Twenty.

1.20(d)     Statutory               $160            $160         $0
            Disclaimer.             SE $80          SE $80       SE $0

1.20(e)     First Stage             $1,130          $1,150       $20
            Maintenance.            SE $565         SE $575      SE $10

1.20(f)     Second Stage            $2,850          $2,900       $50
            Maintenance.            SE $1,425       SE $1,450    SE $25

1.20(g)     Third Stage             $4,730          $4,810       $80
            Maintenance.            SE $2,365       SE $2,405    SE $40

1.492(a)    Filing of PCT           $380            $390         $10
            National Stage          SE $190         SE $195      SE $5
            Application.

1.492(b)(3) PCT National Stage      $490            $500         $10
            Search Search           SE $245         SE $250      SE $5
            Report Prepared
            and Provided to
            USPTO.

1.492(b)(4) PCT National Stage      $620            $630         $10
            Search - All Other      SE $310         SE $315      SE $5
            Situations.

1.492(c)(2) PCT National Stage      $250            $250         $0
            Examination - All       SE $125         SE $125      SE $0
            Other Situations.

1.492(d)    Independent Claims      $250            $250         $0
            in Excess of            SE $125         SE $125      SE $0
            Three.

1.492(e)    Total Claims in         $60             $62          $2
            Excess of Twenty.       SE $30          SE $31       SE $1

1.492(f)    Multiple Dependent      $450            $460         $10
            Claims.                 SE $225         SE $230      SE $5

1.492(j)    PCT National Stage      $310            $320         $10
            Application Size        SE $155         SE $160      SE $5
            Fee.

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 55 

41.20(b)(1) Notice of Appeal        $620            $630         $10
                                    SE $310         SE $315      SE $5

41.20(b)(2) Filing a Brief in       $620            $630         $10
            Support of an           SE $310         SE $315      SE $5
            Appeal.

41.20(b)(3) Request for Oral        $1,240          $1,260       $20
            Hearing.                SE $620         SE $630      SE $10


    Comment and Response to Comment: The USPTO published a notice
proposing to adjust the patent fees charged under 35 U.S.C. 41(a) and
(b) for fiscal year 2013 to reflect fluctuations in the CPI. The Office
received one comment in response to the proposed rule. The commenter
supports the proposed CPI adjustment of fees for FY 2013 as an interim
fee increase until the USPTO exercises its fee-setting authority under
Section 10 of the AIA. However, because of the significant
administrative burdens on corporations and patent law firms to adjust
their internal systems for paying fees and correctly advising clients
of fee increases, it is suggested there should not be more than one fee
adjustment per year. The commenter suggests that in future years, CPI
adjustments and Section 10 adjustments should be timed so as to avoid
having two separate adjustments in the same year. The Office's response
is patent fees are being set under 35 U.S.C. 41(a) and (b) to ensure
proper funding for effective operations. As previously discussed, this
interim increase in fees is necessary to allow the USPTO to meet its
strategic goals within the time frame outlined in the FY 2013 President's
Budget. In the future, the USPTO does not anticipate routinely adjusting
patent fees more than once per fiscal year.

Rulemaking Considerations

 Final Regulatory Flexibility Analysis

    The Office has prepared the following Final Regulatory Flexibility
Analysis.

    1. Description of the reasons that action by the agency is being
considered: The USPTO is adjusting 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 under 35 U.S.C. 41(f) 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. Statement of the objectives of, and legal basis for, the final
rule: 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. The objective of the
change is to adjust patent fees set under 35 U.S.C. 41(a) and (b) as an
annual, routine step in order to recover the higher costs of USPTO
operations as reflected by the CPI. 35 U.S.C. 41(f) provides that fees
established under 35 U.S.C. 41(a) and (b) may be adjusted every year to
reflect fluctuations in the CPI over the previous twelve months.
    3. Statement of Significant Issues Raised by the Public Comments in
Response to the IRFA and the Office's Response to Such Issues: The
Office received no comments concerning the Initial Regulatory Flexibility
Act analysis.
    4. 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
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 56 

adopted, with SBA approval, 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 general SBA small business size standards set forth in
13 CFR 121.201, USPTO's approved alternative 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 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 final 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 final 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 to be small entities
as well in an effort to capture the impact on allsmall entity applicants
whether they claim that status or not. While the USPTO does not record the
number of small entity filers in a given year, the USPTO estimates that in
FY 2011, of the patent fees where a small entity discount is available,
3,980,519 patent fees were paid, out of which 1,190,558 fees claimed the
small entity discount.
    5. Description of the reporting, recordkeeping and other compliance
requirements of the final rule, 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 final rule does not require any reporting or recordkeeping or
incorporate other compliance requirements. This final rule only adjusts
patent fees (as discussed previously) to reflect changes in the CPI.
    6. Description of any significant alternatives to the final rule
which accomplish the stated objectives of applicable statutes and which
minimize any significant economic impact of the rule 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 the applicable statutes. The USPTO is making a small
adjustment to patent fees, under 35 U.S.C. 41(f), to ensure proper
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 57 

funding for effective operations in light of changes in the CPI. 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 increases in the price of products and
services. This CPI adjustment helps the Office maintain effective
operations and decrease patent pendency levels.
    7. Identification, to the extent practicable, of all relevant
Federal rules which may duplicate, overlap or conflict with the final
rule: 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 and there are no duplicative,
overlapping or conflicting rules.
    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 rulemaking does not contain policies with federalism
implications sufficient to warrant preparation of a Federalism
Assessment under Executive Order 13132 (Aug. 4, 1999).

C. Executive Order 12866 (Regulatory Planning and Review)

    This rulemaking 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. Specifically,
the Office has, to the extent feasible and applicable: (1) Made a
reasoned determination that the benefits justify the costs of the rule;
(2) tailored the rule to impose the least burden on society consistent
with obtaining the regulatory objectives; (3) selected a regulatory
approach that maximizes net benefits; (4) specified performance
objectives; (5) identified and assessed available alternatives; (6)
involved the public in an open exchange of information and perspectives
among experts in relevant disciplines, affected stakeholders in the
private sector, and the public as a whole, and provided on-line access
to the rulemaking docket; (7) attempted to promote coordination,
simplification, and harmonization across government agencies and
identified goals designed to promote innovation; (8) considered
approaches that reduce burdens and maintain flexibility and freedom of
choice for the public; and (9) ensured the objectivity of scientific
and technological information and processes.

E. Executive Order 13175 (Tribal Consultation)

    This rulemaking 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 rulemaking is not a significant energy action under Executive
Order 13211 because this rulemaking is not likely to have a significant
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 58 

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 rulemaking 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 rulemaking 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 rulemaking 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.), the
USPTO has submitted 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 in this final rule will not 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 final
rule is not a "major rule" as defined in 5 U.S.C. 804(2).

K. Unfunded Mandates Reform Act of 1995

    The changes in this final rule 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 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 rulemaking 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 rulemaking does not contain provisions which
involve the use of technical standards.

N. Paperwork Reduction Act

    This final rule involves information collection requirements which
are subject to review by the Office of Management and Budget (OMB)
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 59 

under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.).
    The collections of information involved in this final 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 but will update the fee amounts for existing information
collection requirements associated with the information collections
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 OMB control numbers 0651-0016, 0651-
0021, 0651-0024, 0651-0031, 0651-0032, 0651-0033, 0651-0063, and 0651-
0064 at the time these collections are submitted to OMB for renewal.
    Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB control number.

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.
    For the reasons set forth in the preamble, 37 CFR parts 1 and 41
are to be amended as follows:

PART 1 - RULES OF PRACTICE IN PATENT CASES

. 1. The authority citation for 37 CFR Part 1 continues to read as
follows:

    Authority: 35 U.S.C. 2(b)(2).

. 2. Section 1.16 is amended by revising paragraphs (a) through (e), (h)
through (j), and (o) through (s) to read as follows:

§ 1.16  National application filing, search, and examination fees.

    (a) Basic fee for filing each application under 35 U.S.C. 111 for
an original patent, except design, plant, or provisional applications:
    (1) For an application filed on or after December 8, 2004:

By a small entity (§ 1.27(a)) if the application is               $98.00
 submitted in compliance with the Office electronic filing
 system (§ 1.27(b)(2)):

By a small entity (§  1.27(a))                                   $195.00
By other than a small entity                                     $390.00

    (b) Basic fee for filing each application for an original design
patent:

(1) For an application filed on or after December 8, 2004:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (c) Basic fee for filing each application for an original plant
patent:

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 60 

(1) For an application filed on or after December 8, 2004:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (d) Basic fee for filing each provisional application:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (e) Basic fee for filing each application for the reissue of a
patent:

(1) For an application filed on or after December 8, 2004:

By a small entity (§ 1.27(a))                                    $195.00
By other than a small entity                                     $390.00

* * * * *
    (h) In addition to the basic filing fee in an application, other
than a provisional application, for filing or later presentation at any
other time of each claim in independent form in excess of 3:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (i) In addition to the basic filing fee in an application, other
than a provisional application, for filing or later presentation at any
other time of each claim (whether dependent or independent) in excess
of 20 (note that § 1.75(c) indicates how multiple dependent claims
are considered for fee calculation purposes):

By a small entity (§ 1.27(a))                                     $31.00
By other than a small entity                                      $62.00

    (j) In addition to the basic filing fee in an application, other
than a provisional application, that contains, or is amended to
contain, a multiple dependent claim, per application:

By a small entity (§ 1.27(a))                                    $230.00
By other than a small entity.                                    $460.00

* * * * *
    (o) Examination fee for each application filed under 35 U.S.C. 111
on or after December 8, 2004, for an original patent, except design,
plant, or provisional applications:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (p) Examination fee for each application filed on or after December
8, 2004, for an original design patent:

By a small entity (§ 1.27(a))                                     $80.00
By other than a small entity                                     $160.00

    (q) Examination fee for each application filed on or after December
8, 2004, for an original plant patent:

By a small entity (§ 1.27(a))                                    $100.00
By other than a small entity                                     $200.00

    (r) Examination fee for each application filed on or after December
8, 2004, for the reissue of a patent:

By a small entity (§ 1.27(a))                                    $380.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 61 

By other than a small entity                                     $760.00

    (s) Application size fee for any application under 35 U.S.C. 111
filed on or after December 8, 2004, the specification and drawings of
which exceed 100 sheets of paper, for each additional 50 sheets or
fraction thereof:

By a small entity (§ 1.27(a))                                    $160.00
By other than a small entity.                                    $320.00

* * * * *

. 3. Section 1.17 is amended by revising paragraphs (a), (l), and (m) to
read as follows:


§ 1.17  Patent application and reexamination processing fees.

    (a) Extension fees pursuant to § 1.136(a):

(1) For reply within first month:
By a small entity (§ 1.27(a))                                     $75.00
By other than a small entity                                     $150.00

(2) For reply within second month
By a small entity (§ 1.27(a))                                    $285.00
By other than a small entity                                     $570.00

(3) For reply within third month:
By a small entity (§ 1.27(a))                                    $645.00
By other than a small entity                                   $1,290.00

(4) For reply within fourth month:
By a small entity (§ 1.27(a))                                  $1,005.00
By other than a small entity                                   $2,010.00

(5) For reply within fifth month:
By a small entity (§ 1.27(a))                                  $1,365.00
By other than a small entity                                   $2,730.00


* * * * *
    (l) For filing a petition for the revival of an unavoidably
abandoned application under 35 U.S.C. 111, 133, 364, or 371, for the
unavoidably delayed payment of the issue fee under 35 U.S.C. 151, or
for the revival of an unavoidably terminated reexamination proceeding
under 35 U.S.C. 133 (§ 1.137(a)):

By a small entity (§ 1.27(a))                                    $315.00
By other than a small entity                                     $630.00

    (m) For filing a petition for the revival of an unintentionally
abandoned application, for the unintentionally delayed payment of the fee
for issuing a patent, or for the revival of an unintentionally terminated
reexamination proceeding under 35 U.S.C. 41(a)(7) (§ 1.137(b)):

By a small entity (§ 1.27(a))                                    $945.00
By other than a small entity                                   $1,890.00

* * * * *
    4. Section 1.18 is amended by revising paragraphs (a) through (c)
to read as follows:


§ 1.18  Patent post allowance (including issue) fees.

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 62 

    (a) Issue fee for issuing each original patent, except a design or
plant patent, or for issuing each reissue patent:

By a small entity (§ 1.27(a))                                    $885.00
By other than a small entity                                   $1,770.00

    (b) Issue fee for issuing an original design patent:

By a small entity (§ 1.27(a))                                    $505.00
By other than a small entity                                   $1,010.00

    (c) Issue fee for issuing an original plant patent:

By a small entity (§ 1.27(a))                                    $695.00
By other than a small entity                                   $1,390.00

* * * * *

. 5. Section 1.20 is amended by revising paragraphs (c)(3), (c)(4), and
(d) through (g) to read as follows:


§ 1.20  Post issuance fees.

* * * * *
    (c) * * *
    (3) For filing with a request for reexamination or later
presentation at any other time of each claim in independent form in
excess of 3 and also in excess of the number of claims in independent
form in the patent under reexamination:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (4) For filing with a request for reexamination or later
presentation at any other time of each claim (whether dependent or
independent) in excess of 20 and also in excess of the number of claims
in the patent under reexamination (note that § 1.75(c) indicates
how multiple dependent claims are considered for fee calculation
purposes):

By a small entity (§ 1.27(a))                                     $31.00
By other than a small entity                                      $62.00


* * * * *
    (d) For filing each statutory disclaimer (§ 1.321):

By a small entity (§ 1.27(a))                                     $80.00
By other than a small entity                                     $160.00

    (e) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond four years, the fee being due by three years and
six months after the original grant:

By a small entity (§ 1.27(a))                                    $575.00
By other than a small entity                                   $1,150.00

    (f) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond eight years, the fee being due by seven years and
six months after the original grant:

By a small entity (§ 1.27(a))                                  $1,450.00
By other than a small entity                                   $2,900.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 63 


    (g) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond twelve years, the fee being due by eleven years
and six months after the original grant:

By a small entity (§ 1.27(a))                                  $2,405.00
By other than a small entity                                   $4,810.00

* * * * *
    6. Section 1.492 is amended by revising paragraphs (a), (b)(3),
(b)(4), (c)(2), (d) through (f) and (j) to read as follows:

§ 1.492  National stage fees.

* * * * *
    (a) The basic national fee for an international application
entering the national stage under 35 U.S.C. 371 if the basic national
fee was not paid before December 8, 2004:

By a small entity (§ 1.27(a))                                    $195.00
By other than a small entity                                     $390.00

    (b) * * *
    (3) If an international search report on the international
application has been prepared by an International Searching Authority
other than the United States International Searching Authority and is
provided, or has been previously communicated by the International
Bureau, to the Office:

By a small entity (§ 1.27(a))                                    $250.00
By other than a small entity                                     $500.00

    (4) In all situations not provided for in paragraphs (b)(1),
(b)(2), or (b)(3) of this section:

By a small entity (§ 1.27(a))                                    $315.00
By other than a small entity                                     $630.00

    (c) * * *
    (2) In all situations not provided for in paragraph (c)(1) of this
section:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity.                                    $250.00

    (d) In addition to the basic national fee, for filing or on later
presentation at any other time of each claim in independent form in
excess of 3:

By a small entity (§ 1.27(a))                                    $125.00
By other than a small entity                                     $250.00

    (e) In addition to the basic national fee, for filing or on later
presentation at any other time of each claim (whether dependent or
independent) in excess of 20 (note that § 1.75(c) indicates how
multiple dependent claims are considered for fee calculation purposes):

By a small entity (§ 1.27(a))                                     $31.00
By other than a small entity                                      $62.00

    (f) In addition to the basic national fee, if the application
contains, or is amended to contain, a multiple dependent claim, per
application:

By a small entity (§ 1.27(a))                                    $230.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 64 

By other than a small entity                                     $460.00

* * * * *
    (j) Application size fee for any international application for
which the basic national fee was not paid before December 8, 2004, the
specification and drawings of which exceed 100 sheets of paper, for
each additional 50 sheets or fraction thereof:

By a small entity (§ 1.27(a))                                    $160.00
By other than a small entity                                     $320.00

PART 41 - PRACTICE BEFORE THE BOARD OF PATENT APPEALS AND INTERFERENCES

. 7. The authority citation for 37 CFR part 41 continues to read as
follows:

    Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134, 135.

. 8. Section 41.20 is amended by revising paragraph (b) to read as
follows:

§ 41.20  Fees.

* * * * *
    (b) Appeal fees. (1) For filing a notice of appeal from the
examiner to the Board:

By a small entity (§ 1.27(a) of this title)                      $315.00
By other than a small entity                                     $630.00

    (2) In addition to the fee for filing a notice of appeal, for
filing a brief in support of an appeal:

By a small entity (§ 1.27(a) of this title)                      $315.00
By other than a small entity                                     $630.00

    (3) For filing a request for an oral hearing before the Board in an
appeal under 35 U.S.C. 134:

By a small entity (§ 1.27(a))                                    $630.00
By other than a small entity                                   $1,260.00

August 31, 2012                                             DEBORAH S. COHN
                                                Commissioner for Trademarks
                                  United States Patent and Trademark Office
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 65 

Setting and Adjusting Patent Fees
                            DEPARTMENT OF COMMERCE
                   United States Patent and Trademark Office
                          37 CFR Parts 1, 41, and 42
                         [Docket No. PTO-C-2011-0008]
                                 RIN 0651-AC54

                       Setting and Adjusting Patent Fees

AGENCY: United States Patent and Trademark Office, Department of Commerce.

ACTION: Notice of proposed rulemaking.

SUMMARY: The United States Patent and Trademark Office (Office or
USPTO) proposes to set or adjust patent fees as authorized by the
Leahy-Smith America Invents Act (Act or AIA). The proposed fees will
provide the Office with a sufficient amount of aggregate revenue to
recover its aggregate cost of patent operations, while helping the
Office implement a sustainable funding model, reduce the current patent
application backlog, decrease patent pendency, improve patent quality,
and upgrade the Office's patent business information technology (IT)
capability and infrastructure. The Office also proposes to reduce fees
for micro entities under section 10(b) of the Act (75 percent discount).
The proposed fees also will further key policy considerations. For example,
the proposal includes multipart and staged fees for requests for continued
examination and appeals, both of which aim to increase patent prosecution
options for applicants.

DATES: The Office solicits comments from the public on this proposed
rulemaking. Written comments must be received on or before November 5,
2012 to ensure consideration.

ADDRESSES: Comments should be sent by electronic mail message over the
Internet addressed to: fee.setting@uspto.gov. Comments may also be
submitted by postal mail addressed to: Mail Stop - Office of the Chief
Financial Officer, Director of the United States Patent and Trademark
Office, P.O. Box 1450, Alexandria, VA 22313-1450, marked to the
attention of "Michelle Picard." Comments may also be sent by
electronic mail message over the Internet via the Federal eRulemaking
Portal. See the Federal eRulemaking Portal Web site
(http://www.regulations.gov) for additional instructions on providing
comments via the Federal eRulemaking Portal.
    Although comments may be submitted by postal mail, the Office
prefers to receive comments by electronic mail message over the
Internet, which allows the Office to more easily share comments with
the public. Electronic comments are preferred to be submitted in plain
text, but also may be submitted in ADOBE[supreg] portable document
format or MICROSOFT WORD[supreg] format. Comments not submitted
electronically should be submitted on paper in a format that
facilitates convenient digital scanning into ADOBE[supreg] portable
document format.
    The comments will be available for public inspection via the
Office's Internet Web site (http://www.uspto.gov). Because comments
will be made available for public inspection, information that the
submitter does not desire to make public, such as an address or phone
number, should not be included in the comments.

FOR FURTHER INFORMATION CONTACT: Michelle Picard, Office of the Chief
Financial Officer, by telephone at (571) 272-6354; or Dianne Buie,
Office of Planning and Budget, by telephone at (571) 272-6301.

SUPPLEMENTARY INFORMATION:

I. Executive Summary

A. Purpose of This Action
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 66 


    The Office proposes these rules under section 10 of the Act
(section 10), which authorizes the Director of the USPTO to set or
adjust by rule any patent fee established, authorized, or charged under
Title 35, United States Code (U.S.C.) for any services performed by, or
materials furnished by, the Office. Section 10 prescribes that fees may
be set or adjusted only to recover the aggregate estimated costs to the
Office for processing, activities, services, and materials relating to
patents, including administrative costs to the Office with respect to
such patent operations. Section 10 authority includes flexibility to
set individual fees in a way that furthers key policy considerations,
while taking into account the cost of the respective services. Section
10 also establishes certain procedural requirements for setting or
adjusting fee regulations, such as public hearings and input from the
Patent Public Advisory Committee and oversight by Congress.
    The fee schedule proposed under section 10 in this rulemaking will
recover the aggregate estimated costs of the Office while achieving
strategic and operational goals, such as implementing a sustainable
funding model, reducing the current patent application backlog,
decreasing patent pendency, improving patent quality, and upgrading the
patent IT business capability and infrastructure.
    The United States economy depends on high quality and timely
patents to protect new ideas and investments for business and job
growth. The Office estimates that the additional aggregate revenue
derived from the proposed fee schedule will enable a decrease in total
patent pendency by 12 months for the five-year planning horizon (FY
2013-FY 2017), thus permitting a patentee to obtain a patent sooner
than he or she would have under the status quo fee schedule. The
additional revenue from the proposed fee schedule will also recover the
aggregate cost of building a three-month patent operating reserve by FY
2017, thereby continuing to build a sustainable funding model that will
aid the Office in maintaining shorter pendency and a smaller backlog.
    The proposed rule will also advance key policy considerations,
while taking into account the cost of individual services. For example,
the proposal includes multipart and staged fees for requests for
continued examination and appeals, both of which aim to increase patent
prosecution options for applicants. Also, this rule would include a new
75 percent fee reduction for micro entities, and expand the
availability of the 50 percent fee reduction for small entities as
required under section 10, providing small entities a discount on more
than 25 patent fees that do not currently qualify for a small entity
discount. All in all, as a result of these proposed adjustments to
patent fees, for all applicants the routine fees to obtain a patent
(i.e., filing, search, examination, publication, and issue fees) will
decrease by at least 22 percent relative to the current fee schedule.

B. Parallel Rulemaking

    January and February 2012 Proposed Rules. In January and February
2012, the Office proposed rules setting fees for the new patent-related
services authorized by the Act using its rulemaking authority under 35
U.S.C. 41(d). The Office proposed those rules under section 41(d)
because fees for the new patent-related services must be in place one
year from the AIA's enactment (September 16, 2012) and because the
Office would not finish with its section 10 rulemaking by that date.
    Unlike section 10 of the Act, section 41(d) of title 35 of the
U.S.C. requires the Office to set fees for processing, services, or
materials relating to patents at amounts to recover the estimated
average cost to the Office of the particular processing, activity,
service, or material per action (as opposed to the aggregate cost of
all processing, activities, services and material). 35 U.S.C. 41(d)(2).
On January 5, 2012 (77 FR 448), the Office proposed fees for filing third
party submissions; on January 25, 2012 (77 FR 3666), the Office proposed
fees for ex parte reexaminations and supplemental examinations; on February
9, 2012 (77 FR 6879), the Office proposed fees for inter partes
reviews, post-grant reviews, covered business method reviews, and
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 67 

derivation proceedings. Collectively, these rules are referred to
herein as the "January and February 2012 Proposed Rules."
    The fees proposed in the January and February 2012 Proposed Rules
are set to recover the Office's costs per action under section 41(d),
as opposed to the Office's aggregate costs for all patent-related
activities under section 10. The Office intends to finalize fees
proposed in the January and February 2012 Proposed Rules within the
coming months to meet its implementation obligations under the Act to
institute certain new services. However, the Office anticipates that
the fees in those final rules will only be needed on a temporary basis,
from September 16, 2012, until this rulemaking becomes final. The
instant notice of proposed rulemaking (NPRM) does not reopen the
comment period for the January and February 2012 Proposed Rules.
Rather, this NPRM establishes a different comment period for setting
and adjusting fees under section 10. In sum, this parallel rulemaking
is necessary so that the Office can comply with both the Act's one-year
deadline for instituting certain new services, and commence the lengthier
process under section 10 for setting or adjusting fees for all of the
Office's patent processing, activities, services, and material. The Office
provides additional information about the AIA implementation effort,
including how the components of the AIA relate to one another, on its Web
site, http://www.uspto.gov/aia_implementation/index.jsp.
    Proposed CPI Rule. Similarly, in a separate rulemaking, the USPTO
proposed to adjust certain patent fee amounts to reflect fluctuations
in the Consumer Price Index (CPI) under 35 U.S.C. 41(f). See 77 FR 8331
(May 14, 2012). This increase in fees is necessary for the USPTO to
reach its strategic goals within the time frame outlined in the USPTO
FY 2013 President's Budget (Budget). The fee increase in the CPI
rulemaking is planned as a bridge to provide resources until the
instant section 10 rulemaking (this NPRM) becomes final (at which time
the anticipated section 10 fees would supersede the fees in the CPI
rulemaking). The proposed rule for the CPI adjustment sets forth
particular fees to be adjusted and describes how the adjustment will be
calculated based on the fluctuation in the CPI over the twelve months
preceding the issuance of the final CPI rule. The aggregate revenue
estimates presented in this section 10 proposed rule reflect an
estimate of a CPI increase of 1.9 percent, which was the figure
included in the Budget and the initial patent fee proposal delivered to
the Patent Public Advisory Committee on February 7, 2012. The
hypothetical fee rates based on this estimated CPI and used to estimate
the aggregate revenue are included in the documents titled USPTO
Section 10 Fee Setting - Aggregate Revenue Estimates at
http://www.uspto.gov/aia_implementation/fees.jsp#heading-1. The USPTO
aggregate revenue estimate will be updated in the section 10 final rule
to reflect the actual CPI rates included in the CPI final rule. The
individual fee amounts proposed in this rule are not dependent on the
final CPI fee rates and may be considered independent of the CPI
increase. Except as otherwise noted, the current fees (baseline or
status quo) included herein for comparative purposes include the
January and February 2012 Proposed Rule fee amounts (as adjusted by the
final rule) but not estimated CPI fee amounts.
    The parallel rulemakings discussed in this section work in concert
to meet the requirements of the AIA and secure the financial resources
necessary to advance the Office's goals.

C. Summary of Provisions Impacted by This Action

    The Office proposes to set or adjust 352 patent fees - 94 apply to
large entities (any reference herein to "large entity" includes all
entities other than small or micro entities), 94 to small entities, 93
to micro entities, and 71 are not entity-specific. Of the 94 large
entity fees, 66 are being adjusted, 19 are set at existing fee amounts,
and 9 are newly proposed in this rule. Of the 94 small entity fees, 80
are being adjusted, 5 are set at existing fee amounts, and 9 are newly
proposed in this rule. There are 93 new micro entity fees being set at
a reduction of 75 percent from the large entity fee amounts. Of the 71
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 68 

fees that are not entity-specific, 6 are either being adjusted or set
as new fees in this rule and 65 are set at existing fee amounts.
    In all, the routine fees to obtain a patent (i.e., filing, search,
examination, publication, and issue fees) will decrease by 22 percent
under this NPRM relative to the current fee schedule. Also, despite
increases in some fees, applicants who meet the new micro entity
definition will pay less than the amount paid for small entity fees
under the current fee schedule for 88 percent of the fees eligible for
a discount under section 10(b). Additional information describing the
adjustments is included in Part V: Individual Fee Rationale section of
Supplementary Information in this rulemaking.

D. Summary of Costs and Benefits of This Action

    The Office prepared a Regulatory Impact Analysis (RIA) to analyze
the costs and benefits of this NPRM over a five-year period. This
analysis includes a comparison of the proposed fee schedule to the
current fee schedule (baseline) (which is defined to include the
January and February 2012 Proposed Rules fee amounts, as adjusted by
the final rules) and to three other alternatives described in the RIA.
The Office considered both monetized and qualitative costs and
benefits. Monetized costs and benefits have effects that the Office can
express in dollar values. Qualitative costs and benefits have effects
that are difficult to express in either dollar or numerical values. The
complete RIA is available for review at
http://www.uspto.gov/aia_implementation/fees.jsp#heading-1.
    The RIA concluded that the proposed patent fee schedule has the
largest net benefit. The incremental net monetized benefit to patent
applicants, patent holders, other patent stakeholders, and society of
the proposed fee schedule is nearly seven billion dollars (assuming a 7
percent discount rate) for the five-year period. The most significant
incremental benefit is the increase in the average value of a patent
that stems from a decrease in patent application pendency (the time it
takes to have a patent application examined). The Office estimates that
total patent application pendency will decrease by 12 months during the
time period of this analysis, thereby permitting a patentee to obtain a
patent sooner than he or she would have under the Baseline (status quo
fee schedule). The proposed fee schedule also has qualitative benefits
including fee schedule design benefits and a decrease in uncertainty of
patent rights, as discussed below. See Table 1.

          Table 1 - Proposed Patent Fee Schedule Costs and Benefits,
                          Cumulative FY 2013-FY 2017

                                                     Total
     Monetized Costs and Benefits - 3% Discount Rate (dollars in millions)

Benefits:
    Increase in private patent value from a          $6,921
     decrease in pendency.
Costs:
    Cost of patent operations                        ($765)
    Lost patent value from a decrease in             ($166)
     patent applications.
Net Benefit                                          $5,990

     Monetized Costs and Benefits - 7% Discount Rate (dollars in millions)

Benefits:
    Increase in private patent value from a          $7,694
     decrease in pendency.
Costs:
    Cost of patent operations                        ($682)
    Lost patent value from a decrease in             ($135)
     patent applications.
Net Benefit (Cost)                                   $6,877
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 69 


                        Qualitative Costs and Benefits

Costs:
    No qualitative costs                             n/a
Benefit:
    Fee Schedule Design Benefits                     Moderate
     (Significant, Moderate, Not
     Significant).
    Decreased Uncertainty Effect                     Significant
     (Significant, Moderate, Not
     Significant).


    To estimate the monetized benefits of the proposed fee schedule,
the Office considered how the value of a patent would increase under
the proposed fee schedule. When patent application pendency decreases,
a patentee holds the exclusive right to the invention sooner, which
would increase the private value of that patent. Because the outcomes
of this proposed rule would decrease patent pendency by 12 months
during the time period of the analysis, the Office expects the private
patent value will increase, relative to the baseline. This benefit
helps to speed the commercialization of new technologies and the jobs
they can create. See Table 1.
    The Office also estimated the incremental increase in the costs of
its patent operations to determine the monetized costs of the proposed
fee schedule. The most significant incremental costs of patent
operations are (1) the increased patent examination capacity to work on
the large backlog of patent applications in inventory, thus reducing
patent application pendency; and (2) building a three-month patent
operating reserve by FY 2017 to support a sustainable funding model.
See Table 1.
    In addition, the Office expects that this proposed rule will result
in a short-term reduction in patent applications filed due to the new
pricing. The Office estimates that 1.3 percent fewer applications than
the number estimated to be filed in the absence of a fee increase will
be filed during FY 2013. The Office further estimates that 2.7 percent
fewer patent applications will be filed during FY 2014 and 4.0 percent
fewer patent applications beginning in FY 2015 as patent filers adjust
to the new fees, specifically the increase in the total filing, search,
and examination fees for most applicants. However, the Office estimates
that patent application filings will return to the same growth rate
anticipated in the absence of a fee increase beginning in FY 2016.
Overall, the demand for patent application services is generally
inelastic and the number of patent applications filed will continue to
grow year-over-year. An estimate of the monetized cost to patent
applicants, other patent stakeholders, and society associated with this
reduction in patent applications filed was also subtracted from the
benefit of the increased patent value when estimating the overall net
benefit of the proposed fee schedule. See Table 1.
    When considering the qualitative benefits of the proposed fee
schedule, the Office assessed the impact of the rule on two factors:
fee schedule design and decreasing uncertainty. First, the design of
the proposed fee schedule offers benefits relating to the three policy
factors considered for setting individual fees as described in Part III
of this NPRM, namely fostering innovation, facilitating the effective
administration of the patent system; and offering patent prosecution
options to applicants. By maintaining the current fee setting
philosophy of keeping front-end fees below the cost of application
processing and recovering revenue from back-end fees, the proposed fee
schedule continues to foster innovation and ease access to the patent
system. The fee schedule design continues to offer incentives and
disincentives to engage in certain activities that facilitate the
effective administration of the patent system and help reduce the
amount of time it takes to have a patent application examined. For
example, application size fees, extensions of time fees, and excess
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 70 

claims fees remain in place to facilitate the prompt conclusion of
prosecution of an application. The proposal includes multipart and
staged fees for requests for continued examination and appeals, both of
which aim to increase patent prosecution options for applicants.
Second, by decreasing pendency, this action provides the applicant and
other potential innovators with greater certainty through clearly
defined and an unambiguous scope of patent rights. This increase in
certainty and clarity in patent rights has an overall positive impact
on the freedom to innovate and the market for technology.
    The RIA found that the proposed fee schedule generates the largest
net benefit based on the analysis of the costs and benefits of: (a) the
proposed fee schedule; (b) the no-action alternative (baseline); and
(c) the three other alternatives. Additional details describing the
costs and benefits is available in the RIA at
http://www.uspto.gov/aia_implementation/fees.jsp#heading-1.

II. Legal Framework

A. Leahy-Smith America Invents Act - Section 10

    The Leahy-Smith America Invents Act was enacted into law on
September 16, 2011. See Public Law 112-29, 125 Stat. 284. Section 10(a)
of the Act authorizes the Director of the Office to set or adjust by
rule any patent fee established, authorized, or charged under Title 35,
U.S.C. for any services performed by, or materials furnished by, the
Office. Fees under 35 U.S.C. may be set or adjusted only to recover the
aggregate estimated cost to the Office for processing, activities,
services, and materials related to patents, including administrative
costs to the Office with respect to such patent operations. See 125
Stat. at 316. Provided that the fees in the aggregate achieve overall
aggregate cost recovery, the Director may set individual fees under
section 10 at, below, or above their respective cost. Section 10(e) of
the Act requires the Director to publish the final fee rule in the
Federal Register and the Official Gazette of the Patent and Trademark
Office at least 45 days before the final fees become effective. Section
10(i) terminates the Director's authority to set or adjust any fee
under section 10(a) upon the expiration of the seven-year period that
began on September 16, 2011.

B. Small Entity Fee Reduction

    Section 10(b) of the AIA requires the Office to reduce by 50
percent the fees for small entities that are set or adjusted under
section 10(a) for filing, searching, examining, issuing, appealing, and
maintaining patent applications and patents.

C. Micro Entity Fee Reduction

    Section 10(g) of the AIA amends Chapter 11 of Title 35, U.S.C. to
add section 123 concerning micro entities. The Act provides that the
Office must reduce by 75 percent the fees for micro entities for
filing, searching, examining, issuing, appealing, and maintaining
patent applications and patents. The implementing procedures for the
provisions of 35 U.S.C. 123 are proposed in a separate rulemaking. See
77 FR 31806 (May 30, 2012).

D. Patent Public Advisory Committee Role

    The Secretary of Commerce established the Patent Public Advisory
Committee (PPAC) under the American Inventors Protection Act of 1999.
35 U.S.C. 5. The PPAC advises the Under Secretary of Commerce for
Intellectual Property and Director of the USPTO on the management,
policies, goals, performance, budget, and user fees of patent
operations.
    When adopting fees under section 10 of the Act, the Director must
provide the PPAC with the proposed fees at least 45 days prior to
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 71 

publishing the proposed fees in the Federal Register. The PPAC then has
at least 30 days within which to deliberate, consider, and comment on
the proposal, as well as hold public hearing(s) on the proposed fees.
The PPAC must make a written report available to the public of the
comments, advice, and recommendations of the committee regarding the
proposed fees before the Office issues any final fees. The Office will
consider and analyze any comments, advice, or recommendations received
from the PPAC before finally setting or adjusting fees.
    Consistent with this framework, on February 7, 2012, the Director
notified the PPAC of the Office's intent to set or adjust patent fees
and submitted a preliminary patent fee proposal with supporting materials.
The preliminary patent fee proposal and associated materials are available
at http://www.uspto.gov/about/advisory/ppac/. The PPAC held two public
hearings: one in Alexandria, Virginia, on February 15, 2012; and another in
Sunnyvale, California, on February 23, 2012. Transcripts of these hearings
and comments submitted to the PPAC in writing are available for review at
http://www.uspto.gov/about/advisory/ppac/. The PPAC is considering public
comments from these hearings and will make available to the public a written
report setting forth in detail the comments, advice, and recommendations of
the committee regarding the preliminary proposed fees. The PPAC is scheduled
to release its report no later than August 2012. The Office will consider and
analyze any comments, advice, or recommendations received from the PPAC
before publishing a final rule.

III. Rulemaking Goals and Strategies

    Consistent with the Office's goals and obligations under the AIA,
the overall strategy of this rulemaking is to ensure the fee schedule
generates sufficient revenue to recover aggregate costs. Another
strategy is to set individual fees to further key policy considerations
while taking into account the cost of the particular service. As to the
strategy of balancing aggregate revenue and aggregate cost, this rule
will provide sufficient revenue to implement two significant USPTO
goals: (1) Implement a sustainable funding model for operations; and
(2) optimize patent timeliness and quality. As to the strategy of
setting individual fees to further key policy considerations, the
policy factors contemplated are: (1) Fostering innovation; (2)
facilitating effective administration of the patent system; and (3)
offering patent prosecution options to applicants.
    These fee schedule goals and strategies are consistent with
strategic goals and objectives detailed in the USPTO 2010-2015
Strategic Plan (Strategic Plan) that is available at
http://www.uspto.gov/about/stratplan/USPTO_2010-2015_Strategic_Plan.pdf,
as amended by Appendix 1 of the Budget, available at
http://www.uspto.gov/about/stratplan/budget/fy13pbr.pdf) (collectively
referred to herein as "Strategic Goals"). The Strategic Plan defines
the USPTO's missions and long-term goals and presents the actions the
Office will take to realize those goals. The significant actions the
Office describes in the Strategic Plan that are specific to the goals
of this rulemaking are implementing a sustainable funding model,
reducing the patent application backlog and pendency, and improving
patent quality and IT.
    Likewise, the fee schedule goals and strategies also support the
Strategy for American Innovation - an Administration initiative first
released in September 2009 and updated in February 2011 that is
available at http://www.whitehouse.gov/innovation/strategy. The
Strategy for American Innovation recognizes innovation as the
foundation of American economic growth and national competitiveness.
Economic growth in advanced economies like the United States' is driven
by creating new and better ways of producing goods and services, a
process that triggers new and productive investments, which is the
cornerstone of economic growth. Achieving the Strategy for American
Innovation depends, in part, on the USPTO's success in reducing the
patent application backlog (the number of applications awaiting
examiner action) and pendency (the time it takes to have a patent
application examined) - both of which stall the delivery of innovative
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 72 

goods and services to market and impede economic growth and the
creation of high-paying jobs. This rule positions the USPTO to reduce
the backlog and pendency.

A. Ensure the Overall Fee Schedule Generates Sufficient Revenue to
Recover Aggregate Cost

    The first fee setting strategy is to ensure that the fee schedule
generates sufficient multi-year aggregate revenue to recover the
aggregate cost to maintain USPTO operations and accomplish USPTO strategic
goals. Two overriding principles, found in the Strategic Plan, motivate the
Office here: (1) Operating within a more sustainable funding model than in
the past to avoid disruptions caused by fluctuations in the economy; and (2)
accomplishing strategic goals, including the imperatives of reducing the
patent application backlog and pendency. Each principle is discussed in
greater detail below.

1. Implement a Sustainable Funding Model for Operations
    As explained in the Strategic Plan, the Office's objective of
implementing a sustainable funding model for operations will facilitate
USPTO's long-term operational and financial planning and enable the
Office to adapt to changes in the economy and in operational workload.
    Since 1982, patent fees that generate most of the patent revenue
(e.g., filing, search, examination, issue, and maintenance fees) have
been set by statute, and the Office could adjust these fees only to
reflect changes in the CPI for All Urban Consumers, as determined by
the Secretary of Labor. Because these fees were set by statute, the
USPTO could not realign or adjust them to quickly and effectively
respond to market demand or changes in processing costs other than for
the CPI. Over the years, these constraints led to funding variations
and shortfalls. Section 10 of the AIA changed this fee adjustment model
and authorizes the USPTO to set or adjust patent fees within the
regulatory process so that the Office will be better able to respond to
its rapidly growing workload.
    The Budget delineates the annual plans and prospective aggregate
costs to execute the initiatives in the Strategic Plan. One of these
costs is the creation of a three-month patent operating reserve to
allow effective management of the U.S. patent system and responsiveness
to changes in the economy, unanticipated production workload, and
revenue changes, while maintaining operations and effectuating long-
term strategies. The Office evaluated the optimal size of the operating
reserve by examining specific risk factors. There are two main factors
that create a risk of volatility in patent operations - spending levels
and revenue streams. After reviewing other organizations' operating
reserves, the Office found that a fully fee-funded organization such as
the USPTO should maintain a minimum of a three-month operating reserve.
The fees proposed here will gradually build the three-month operating
reserve. The USPTO will assess the patent operating reserve balance
against its target balance annually and, at least every two years, will
evaluate whether the target balance continues to be sufficient to
provide the stability in funding needed by the Office. If the proposed
fee structure is implemented, then the USPTO anticipates that the
three-month patent operating reserve would be achieved in FY 2017.
    The proposed fees will provide the USPTO with sufficient aggregate
revenue to recover the aggregate cost to operate the Office while
improving the patent system. During FY 2013, patent operations will
cost $2.604 billion (including an offset to spending from other income
of $18 million and a deposit in the operating reserve of $73 million).
The proposed fee schedule should generate $2.604 billion in aggregate
revenue to offset these costs. Once the Office transitions to the
proposed fee levels, it estimates an additional $11.8 billion in
aggregate revenue will be generated from FY 2014 through FY 2017 to
recover the total aggregate cost over the same time period - $11.2
billion in operating costs and $0.6 billion in a three-month operating
reserve. (See Table 3 in Part IV, Step 2 of this NPRM.)
    Under the new fee structure, as in the past, the Office will
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 73 

continue to regularly review its operating budgets and long-range plans
to ensure the USPTO uses patent fees prudently.

2. Optimize Patent Quality and Timeliness
    The Office developed the strategic goal of optimizing patent
quality and timeliness in response to intellectual property (IP)
community feedback, the Strategy for American Innovation, and in
recognition that a sound, efficient, and effective IP system is
essential for technological innovation and for patent holders to reap
the benefits of patent protection.
    Over the past several years, a steady increase in incoming patent
applications and insufficient patent examiner hiring due to multi-year
funding shortfalls has led to a large patent application backlog (the
number of applications awaiting examiner action) and a long patent
application pendency (the time it takes to have a patent application
examined). Reducing pendency increases the private value of a patent
because the more quickly a patent is granted, the more quickly the
holder can commercialize the innovation. Shorter pendency also allows
for earlier disclosure of the scope of the patent, which reduces
uncertainty for the patentee, potential competitors, and additional
innovators regarding patent rights and the validity of the patentees'
claims.
    To reduce the backlog and pendency, the USPTO must examine
significantly more patent applications than it receives each year for
the next several years. Bringing the applications in the backlog down
to a manageable level, while at the same time keeping pace with the new
patent applications expected to be filed each year, will require that
the Office collect more aggregate revenue than it estimates that it
will collect at existing fee rates. The Office needs this additional
revenue to hire additional patent examiners, improve the patent
business IT capability and infrastructure, and implement other programs
to optimize the timeliness of patent examination. This proposed
rulemaking will result in an average first action patent pendency of 10
months in FY 2015, an average total pendency of 20 months in FY 2016,
and a reduced patent application backlog and inventory of approximately
350,000 patent applications by FY 2015. This would be a significant
improvement over the 22.6 months and 34.1 months for average first
action patent pendency and average total pendency, respectively, as of
March 2012. Under this proposed rule, the patent application backlog is
also expected to decrease significantly from the 644,775 applications
in inventory as of March 2012.
    In addition to timeliness of patent protection, the quality of
application review is critical to ensure the value of an issued patent.
Quality issuance of patents provides certainty in the market and allows
businesses and innovators to make informed and timely decisions on
product and service development. Under the proposed action, the Office
will continue to improve patent quality through comprehensive training
for new and experienced examiners, an expanded and enhanced ombudsmen
program to help resolve questions about applications, improved hiring
processes, and guidelines for examiners to address clarity issues in
patent applications - all actions intended to place quality at the top
of USPTO's priorities. The Office will continue to encourage interviews
to help clarify allowable subject matter early in the examination
process, and to encourage interviews later in prosecution to resolve
outstanding issues. The Office will also continue to reengineer the
examination process, and to monitor and measure examination using a
comprehensive set of metrics that analyze the quality of the entire
process.
    In addition to direct improvements to patent quality and
timeliness, the USPTO's development and implementation of the patent
end-to-end processing system using the revenue generated from the
proposed fee structure will also improve the efficiency of the patent
system. The IT architecture and systems in place currently are obsolete
and difficult to maintain, leaving the USPTO highly vulnerable to
disruptions in patent operations. Additionally, the current IT systems
require patent employees and external stakeholders to perform labor-
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 74 

intensive business processes manually, decreasing the efficiency of the
patent system. This proposed rule provides the Office with sufficient
revenue to modernize its IT systems so that the majority of
applications are submitted, handled, and prosecuted electronically.
Improved automation will benefit both the Office and innovation
community.

B. Set Individual Fees to Further Key Policy Considerations, While
Taking Into Account the Costs of the Particular Service

    The second fee setting strategy is to set individual fees to
further key policy considerations, while taking into account the cost
of the associated service or activity. The proposed fee schedule
recovers the aggregate cost to the Office, while also considering the
individual cost of each service provided. This includes consideration
that some applicants may use particular services in a much more costly
manner than other applicants (e.g., patent applications cost more to
process when more claims are filed). The proposed fee schedule
considers three key policy factors: (1) Fostering innovation; (2)
facilitating effective administration of the patent system; and (3)
offering patent prosecution options to applicants. The Office is
focusing on these policy factors because each promotes particular
aspects of the U.S. patent system. Fostering innovation is an important
policy factor to ensure that access to the U.S. patent system is
without significant barriers to entry and innovation is incentivized by
granting inventors certain short-term exclusive rights to stimulate
additional inventive activity. Facilitating effective administration of
the patent system is important to influence efficient patent
prosecution, resulting in compact prosecution and reduction in the time
it takes to obtain a patent. In addition, the Office recognizes that
patent prosecution is not a one-size-fits-all process and therefore,
where feasible, the Office endeavors to fulfill its third policy factor
of offering patent prosecution options to applicants. Each of these
policy factors is discussed in greater detail below.

1. Fostering Innovation
    To encourage innovators to take advantage of patent protection, the
Office proposes to set basic "front-end" fees (e.g., filing, search,
and examination) below the actual cost of carrying out these
activities. Likewise, consistent with the requirements in the Act, the
Office proposes providing fee reductions for small and micro entity
innovators to facilitate access to the patent system. Setting front-end
and small and micro entity fees below cost requires, however, that
other fees be set above cost. To that end, the Office proposes to set
basic "back-end" fees (e.g., issue and maintenance) in excess of
costs to recoup revenue not collected by front-end and small and micro
entity fees. Charging higher back-end fees also fosters innovation and
benefits the overall patent system when patent owners more closely
assess the expected value of an existing patent over its life, and
determine whether to pay maintenance fees to keep the patent in force.
Expiration of a patent makes the subject matter of the patent available
in the public domain for subsequent commercialization. Determining the
appropriate balance between front-end and back-end fees is a critical
component of aligning the Office's costs and revenues.

2. Facilitating Effective Administration of the Patent System
    The proposed fee structure helps facilitate effective
administration of the patent system by encouraging applicants or patent
holders to engage in certain activities that facilitate an effective
patent system. In particular, setting fees at the particular levels
proposed here will: (1) Encourage the submission of applications or
other actions that enable examiners to provide prompt, quality interim
and final decisions; (2) encourage the prompt conclusion of prosecution
of an application, which results in pendency reduction, faster
dissemination of information, and certainty in patented inventions; and
(3) help recover the additional costs imposed by some applicants' more
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 75 

intensive use of certain services that strain the patent system.

3. Offering Patent Prosecution Options to Applicants
    The proposed fee schedule also provides applicants with flexible
and cost-effective options for seeking patent protection. For example,
in September 2011, the Office implemented prioritized examination for
utility and plant applications, as specified in provisions of section
11(h) of the Act, to offer applicants the choice of a fast track
examination for an additional fee. (See Changes To Implement the
Prioritized Examination Track (Track I) of the Enhanced Examination
Timing Control Procedures, 76 FR 6369 (Feb. 4, 2011)). In this proposed
rule, the Office proposes multipart and staged fees for requests for
continued examination (RCE) and appeals. The Office proposes to set the
RCE fee in two parts. The first RCE fee would be set below cost to
facilitate access to the service and in recognition that most
applicants using RCEs only require one per application. The fee for the
second and subsequent requests would be set at cost recovery as an
option for those who require multiple RCEs. Likewise, the staging of
appeal fees allows applicants to pay less in situations when an
application is either allowed or reopened before being forwarded to the
Board of Patent Appeals and Interferences (BPAI) (to become the Patent
Trial and Appeal Board (PTAB) on September 16, 2012). This patent
prosecution option allows applicants to make critical decisions at
multiple points in the patent prosecution process.
Summary of Rationale and Purpose of the Proposed Rulemaking
    The patent fee schedule proposed here will produce aggregate
revenues to recover the aggregate costs of the USPTO, including for its
management of strategic goals, objectives, and initiatives in FY 2013
and beyond. Using the two Strategic Plan goals (implementing a
sustainable funding model for operations and optimizing patent quality
and timeliness) as a foundation, the proposed rule would provide
sufficient aggregate revenue to recover the aggregate cost of patent
operations, including implementing a sustainable funding model,
reducing the current patent application backlog, decreasing patent
pendency, improving patent quality, and upgrading the patent business
IT capability and infrastructure. Additionally, in this rule, the
Office considers each individual fee by evaluating its historical cost
and considering the policy factors of fostering innovation,
facilitating the effective administration of the patent system, and
offering patent prosecution options to applicants.

IV. Fee Setting Methodology

    There are three primary steps involved in developing the proposed
fees:

    Step 1: Determine the prospective aggregate costs of patent operations
over the five-year period, including the cost of implementing new
initiatives to achieve strategic goals and objectives.
    Step 2: Calculate the prospective revenue streams derived from the
individual fee amounts (from Step 3) that will collectively recover the
prospective aggregate cost over the five-year period.
    Step 3: Set or adjust individual fee amounts to collectively
(through executing Step 2) recover projected aggregate cost over the
five-year period, while furthering key policy considerations.

    These three steps are iterative and interrelated. Following is a
description of how the USPTO carries out these three steps.

Step 1: Determine Prospective Aggregate Costs

    Calculating aggregate costs is accomplished primarily through the
routine USPTO budget formulation process. The Budget is a five-year
plan (that the Office prepares annually) for carrying out base programs
and implementing the strategic goals and objectives. The first activity
performed to determine prospective aggregate cost is to project the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 76 

level of demand for patent products and services. Demand for products
and services depends on many factors, including domestic and global
economic activity. The USPTO also takes into account overseas patenting
activities, policies and legislation, and known process efficiencies.
Because examination costs are 70 percent of the total patent operating
cost, a primary production workload driver is the number of patent
application filings (i.e., incoming work to the Office). The Office
looks at indicators such as the expected growth in Real Gross Domestic
Product (RGDP), the leading indicator to incoming patent applications,
to estimate prospective workload. RGDP is reported by the Bureau of
Economic Analysis (www.bea.gov), and is forecasted each February by the
Office of Management and Budget (OMB) (www.omb.gov) in the Economic and
Budget Analyses section of the Analytical Perspectives, and each
January by the Congressional Budget Office (CBO) (www.cbo.gov) in the
Budget and Economic Outlook. A description of the Office's methodology
for using RGDP can be found at pages 36 and 37 of the Budget. The
expected change in the required production workload must then be
compared to the current examination production capacity to determine
any required staffing and operating cost (e.g., salaries, workload
processing contracts, and printing) adjustments. The Office uses a
patent pendency model that estimates patent production output based on
actual historical data and input assumptions, such as incoming patent
applications and overtime hours. An overview of the model, including a
description of inputs, outputs, key data relationships, and a
simulation tool is available at
http://www.uspto.gov/patents/stats/patent_pend_model.jsp.
    The second activity is to calculate the aggregate costs to execute
the requirements. In developing its Budget, the Office first looks at
the cost of status quo operations (the base requirements). The base
requirements are adjusted for anticipated pay raises and inflationary
increases for the periods FY 2013-FY 2017 (detailed calculations and
assumptions for this adjustment to base are available in Exhibit 8 and
Exhibit 9 of the Budget). The Office then estimates the prospective
cost for expected changes in production workload and new initiatives
over the same period of time (refer to "Program Changes by Sub-
Activity" sections of the Budget). The Office reduces cost estimates
for completed initiatives and known cost savings expected over the same
five-year horizon (see page 9 of the Budget). Finally, the Office
estimates its three-month target operating reserve level based on this
aggregate cost calculation for year to determine if operating reserve
adjustments are necessary.
    The Budget identifies that during FY 2013, patent operations will
cost $2.549 billion (see page 31 of the Budget), including $1.733
billion for patent examination activities; $362 million for IT systems,
support, and infrastructure contributing to patent operations; $61
million for activities related to patent appeals and the new AIA inter
partes dispute actions; $30 million for activities related to IP
protection, policy, and enforcement; and $363 million for general
support costs necessary for patent operations (e.g., rent, utilities,
legal, financial, human resources, and other administrative services).
In addition, the Office estimates collecting $18 million in other
income associated with reimbursable agreements (offsets to spending)
and depositing $73 million during FY 2013 toward the cost of building
the patent operating reserve to sustain operations. The operating
reserve estimate in this NPRM is different than the estimate included
in the Budget. The estimate included in the Budget is consistent with
the estimate included in the initial proposal to PPAC on February 7,
2012, and has been reduced in this NPRM in response to public feedback
provided to the PPAC. A detailed description of the operating
requirements and related aggregate cost is located in the Budget. Table
2 below provides key underlying production workload projections and
assumptions from the Budget used to calculate aggregate cost. Table 3
presents the total budgetary requirements (prospective aggregate cost)
for FY 2013 through FY 2017.

      Table 2 - Patent Production Workload Projections - FY 2013-FY 2017
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 77 


Utility, plant, and
reissue (UPR)         FY 2013   FY 2014   FY 2015   FY 2016   FY 2017

Applications*         565,300   599,200   632,200   666,900   700,300
Growth Rate**            6.0%      6.0%      5.5%      5.5%      5.0%
Production Units      620,600   671,900   694,200   645,200   656,200
End of Year Backlog   529,100   421,600   329,500   328,400   358,000
Examination             8,700     8,600     8,300     8,300     8,200
 Capacity**
Performance Measures  .......   .......   .......   .......   .......
 (UPR)
Avg. First Action        16.9      15.9      10.1       9.4       9.4
 Pendency (Months)
Avg. Total Pendency      30.1      24.6      22.9      18.3      18.1
 (Months)

* In this table, the patent application filing data includes requests for
 continued examination (RCEs).
** In this table, demand for patent examination services, which is used to
 calculate aggregate cost in the FY 2013 President's Budget, is not adjusted
 for price elasticity.


                Table 3 - Estimated Annual Aggregate Costs and
                   Proposed Fee Schedule Aggregate Revenues

                               (Dollars in millions)

                  FY 2012   FY 2013   FY 2014   FY 2015   FY 2016   FY 2017

Aggregate Cost
 Estimate
Planned Operating .......    $2,549    $2,702    $2,809    $2,846    $2,945
 Requirements
    Less Other    .......      (18)      (18)      (18)      (18)      (18)
    Income*
Net Operating     .......     2,531     2,684     2,791     2,828     2,927
 Requirements
Planned Deposit   .......        73       200       143       125        95
 in Operating
 Reserve
    Total         .......     2,604     2,884     2,934     2,953     3,022
    Aggregate
    Cost Estimate
Aggregate Revenue .......     2,604     2,884     2,934     2,953     3,022
 Estimate**
Cumulative Operating
 Reserve Balance
Target Operating  .......       637       676       702       712       736
 Reserve
Operating Reserve   $121        194       394       537       662       757
 Ending Balance
Over/(Under)      .......     (443)     (282)     (165)      (50)        21
 Target Balance

* The Office collects other income associated with reimbursable agreements
 (offsets to spending) and recoveries of funds obligated in prior years in
 the amount of approximately $18 million each year.
** The proposed fee schedule will generate less revenue compared to the FY
 2013 President's Budget in an effort to slow the growth of the operating
 reserve over the next five years.


Step 2: Calculate Prospective Aggregate Revenue

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 78 

    As described in "Step 1," the USPTO's FY 2013 requirements-based
budget includes the aggregate prospective cost of planned production,
new initiatives, and an operating reserve required for the Office to
realize its strategic goals and objectives for the next five years. The
aggregate prospective cost becomes the target aggregate revenue level
that the new fee schedule must generate in a given year and over the
five-year planning horizon. To calculate the aggregate revenue
estimates, the Office first analyzes relevant factors and indicators to
calculate or determine prospective fee workload (e.g., number of
applications and requests for services and products), growth, and
resulting fee workload volumes (quantities) for the five-year planning
horizon. Economic activity is an important consideration when
developing workload and revenue forecasts for the USPTO's products and
services because economic conditions affect patenting activity, as most
recently exhibited in the recession of 2009 when incoming workloads and
renewal rates declined.
    The Office considers economic activity when developing fee
workloads and aggregate revenue forecasts for its products and
services. Major economic indicators include the overall condition of
the U.S. and global economies, spending on research and development
activities, and investments that lead to the commercialization of new
products and services. The most relevant economic indicator that the
Office uses is the RGDP, which is the broadest measure of economic
activity and is anticipated to grow approximately three percent for FY
2013 based on OMB and CBO estimates.
    These indicators correlate with patent application filings, which
are a key driver of patent fees. Economic indicators also provide
insight into market conditions and the management of IP portfolios,
which influence application processing requests and post-issuance
decisions to maintain patent protection. When developing fee workload
forecasts, the Office considers other influential factors including
overseas activity, policies and legislation, process efficiencies, and
anticipated applicant behavior.
    Anticipated applicant behavior in response to fee changes is
measured using an economic principle known as elasticity, which for the
purpose of this action means how sensitive applicants and patentees are
to fee amounts or price changes. If elasticity is low enough (i.e.,
demand is inelastic), when fees increase, patent activities will
decrease only slightly in response thereto, and overall revenues will
still increase. Conversely, if elasticity is high enough (i.e., demand
is elastic), when fees increase, patenting activities will decrease
significantly enough in response thereto such that overall revenues
will decrease. When developing fee forecasts, the Office accounts for
how applicant behavior will change at different fee amounts projected
for the various patent services. Additional detail about the Office's
elasticity estimates is available in "USPTO Section 10 Fee Setting -
Description of Elasticity Estimates," at
http://www.uspto.gov/aia_implementation/fees.jsp. Some of the information
on which the Office based its elasticity estimates are copyrighted materials
and are available for inspection at the USPTO.

Micro Entity Applicants

    The introduction of a new class of applicants, called micro
entities, requires a change to aggregate revenue estimations, and the
Office has refined its workload and fee collection estimates to include
this new applicant class. See 35 U.S.C. 123; see also Changes to
Implement Micro Entity Status for Paying Patent Fees, 77 FR 31806 (May
30, 2012) . 35 U.S.C. 123, which sets forth how an applicant can claim
the micro entity discount, provides two bases under which an applicant
may establish micro entity status.

    First, section 123(a) provides that the term "micro entity" means
an applicant who makes a certification that the applicant: (1)
Qualifies as a small entity as defined in 37 CFR 1.27; (2) has not been
named as an inventor on more than four previously filed patent
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 79 

applications, other than applications filed in another country,
provisional applications under 35 U.S.C. 111(b), or international
applications for which the basic national fee under 35 U.S.C. 41(a) was
not paid; (3) did not, in the calendar year preceding the calendar year
in which the applicable fee is being paid, have a gross income
exceeding three times the median household income for that preceding
calendar year; and (4) has not assigned, granted, or conveyed, and is
not under an obligation by contract or law to assign, grant, or convey,
a license or other ownership interest in the application concerned to
an entity that had a gross income exceeding the income limit described
in (3).

    Second, 35 U.S.C. 123(d) provides that a micro entity shall also
include an applicant who certifies that: (1) The applicant's employer,
from which the applicant obtains the majority of theapplicant's income,
is an institution of higher education as defined in section 101(a) of
the Higher Education Act of 1965 (20 U.S.C. 1001(a)); or (2) the applicant
has assigned, granted, conveyed, or is under an obligation by contract or
law, to assign, grant, or convey, a license or other ownership interest in
the particular applications to such an institution of higher education.
    The Office estimates that when micro entity discounts on patent
fees are available, 31 percent of small entity applications will be
micro entity applications, under the criteria set forth in section
123(a) and (d). In making this estimate, the Office considered several
factors, including historical data on patents granted. The Office began
with patent grant data, because the best available biographic data on
applicant type (e.g., independent inventor and domestic universities)
comes from patent grant data in the Office's database.
    The Office first estimated the number of individuals who were
granted patents in FY 2011. There were 221,350 utility patents granted
in FY 2011 as reported in the FY 2011 USPTO Performance and
Accountability Report (PAR). The PAR is available for review at
http://www.uspto.gov/about/stratplan/ar/2011/index.jsp. The Office's Patent
Technology Monitoring Team (PTMT) provides data showing the split
between domestic and foreign patent grants. (It should be noted that
PTMT's data is based on the calendar year not the fiscal year.) PTMT's
data is available at
http://www.uspto.gov/web/offices/ac/ido/oeip/taf/all_tech.htm#PartA1_1b.
From this data, the Office found that 5.0 percent of utility patents
granted in FY 2011 were granted to individuals in the U.S. and 1.9 percent
were granted to individuals from other countries, where the individuals
were not listed in the USPTO database as associated with a company. These
individuals would likely meet the criteria under section 123(a)(1) (small
entity status). Using this information, the Office estimates that
individuals in the U.S. received 11,068 utility patents (221,350 times 5.0
percent) in FY 2011, and that individuals from other countries received
4,206 utility patents (221,350 times 1.9 percent). In total, the Office
estimates that 15,274 (11,068 plus 4,206) patents were granted to
individuals in FY 2011.
    Concerning the application threshold in 35 U.S.C. 123(a)(2), the
Office's Patent Application Locating and Monitoring (PALM) database
reports that 62 percent of both foreign and domestic small entity
applicants filed fewer than 5 applications in FY 2009. As stated above,
an estimated 15,274 patent grants were to individuals both domestic
(11,068) and foreign (4,206). Using this information, the Office
estimates that 6,862 (11,068 times 62 percent) patents will be granted
to domestic applicants who meet the thresholds for micro entity status
set forth in sections 123(a)(1) and 123(a)(2), while 2,608 (4,206 times
62 percent) patents will be granted to foreign applicants who meet the
same thresholds.
    Concerning the income threshold in 35 U.S.C. 123(a)(3), the median
household income for calendar year (CY) 2010 (the year most recently
reported by the Bureau of the Census) was $49,445. See Income, Poverty,
and Health Insurance Coverage in the United States: 2010, at 5 and 33
(Table A-1) (Sept. 2011) available at
http://www.census.gov/prod/2011pubs/p60-239.pdf. (The Office will indicate
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 80 

conspicuously on its Web site the median household income reported by the
Bureau of the Census and the income level that is three times the median
household income for the calendar year most recently reported.) Thus, the
income level specified in 35 U.S.C. 1.29(a)(3) and (a)(4) (three times the
median household income) is $148,335.
    The Internal Revenue Service (IRS) records show that in 2009 about
97 percent of individuals (as proxied by the total number of IRS form
filings) reported adjusted gross income of less than $200,000, and
about 87 percent of individuals reported adjusted gross income of less
than $100,000. See Table 1.1 at:
http://www.irs.gov/taxstats/indtaxstats/article/0,,id=96981,00.html.
Using this information, the Office estimates that 6,656 (6,862 times 97
percent) of patents granted to individuals from the U.S. will be for
individuals under the gross income threshold of the micro entity definition
($148,335 for CY 2010). The Office uses 97 percent as the best available
estimate of the maximum number of individuals who satisfy the income limit.
Median household income and gross income levels are not readily available
for the country of origin for all foreign individuals. Therefore, the
Office conservatively estimates that all foreign individuals will
qualify for micro entity fee reductions, and income should not limit
their eligibility. Using the best available data, as presented above,
the Office estimates that the total number of individuals who meet the
thresholds set forth in 123(a)(1), (a)(2), and (a)(3) is 9,264 (6,656
from the U.S. and 2,608 foreign).
    The 9,264 figure represents a reasonable approximation of the
number of patents granted annually to persons who would qualify as
micro entities under section 123(a). There is no data available to
indicate how many persons would be excluded under section 123(a)(4).
However, the Office's approach with the other components of section
123(a) is sufficiently conservative to mitigate the risks of not
capturing this population. Likewise, while a small company could
qualify as a micro entity under section 123(a), the above calculation
of individuals represents a reasonable overall approximation because
the estimate of affected individuals is sufficiently conservative.
    Turning to 35 U.S.C. 123(d), the most recent data available on
university patent grants is from CY 2008. Reviewing the data from CY
2001-CY 2008, the Office estimates that domestic universities account
for approximately 1.9 percent of all patent grants. The Office is using
this figure as a reasonable approximation for the number of micro
entity applicants expected under section 123(d), which covers
applicants who are employed by universities or who have assigned their
invention to a university. Applying this information to FY 2011, the
Office estimates that universities received 4,206 (221,350 times 1.9
percent) of the patents granted in FY 2011. The data on university
patent grants is available at:
http://www.uspto.gov/web/offices/ac/ido/oeip/taf/univ/asgn/table_1_2008.htm.
    To combine 123(a) and 123(d), the Office adds the estimated number
of patents granted that could meet the micro entity definition for
individuals (9,264) and for university employees (4,206) to obtain a
total of 13,470 patent grants. The Office divides 13,470 micro entity
patents by the 43,827 small entity patents in FY 2011 (per the Office's
PALM database) to calculate that approximately 31 percent of small
entity patents will be micro entity patents. The Office expects a
uniform distribution of micro entities across all application types. No
data exists to suggest otherwise. Likewise, the Office applies the 31
percent estimate to both filings and grants because it expects a
uniform distribution of micro entities among both applicants and
patentees, and no data exists to suggest otherwise. Thus, the Office
estimates that 31 percent of all small entity applicants will qualify
as micro entity applicants.
    In recent years, small entity applicants made up approximately 25
percent of utility filings and 20 percent of utility patent grants (per
the PALM database). Given that utility filings are the largest category of
application types, for forecasting purposes, the Office uses utility
filing data as representative of the universe of patent application
filings. Applying the 31 percent estimate for the number of micro
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 81 

entities, the Office estimates that micro entities will account for 7.8
percent (25 percent times 31 percent) of all filings, and 6.2 percent
(20 percent times 31 percent) of all grants.

Aggregate Revenue Estimate Ranges

    To calculate aggregate revenue, the USPTO prepares a high-to-low
range of fee collection estimates that includes a +/- 5 outer bounds to
account for: the inherent uncertainty, sensitivity, and volatility of
predicting fluctuations in the economy and market environment;
interpreting policy and process efficiencies; and developing fee
workload and fee collection estimates from assumptions. The Office used
5 percent because historically the Office's actual revenue collections
have typically been within 5 percent of the projected revenue.
Additional detail about the Office's aggregate revenue, including
projected workloads by fee, is available in "USPTO Section 10 Fee
Setting - Aggregate Revenue Estimates Alternative 1: Proposed
Alternative - Set and Adjust Section 10 Fees" available at
http://www.uspto.gov/aia_implementation/fees.jsp.

Summary

    Patent fees are collected for patent related services and products
at different points in time within the patent application examination
process and over the life of the pending patent application and granted
patent. Approximately half of all patent fee collections are from issue
and maintenance fees, which subsidize filing, search, and examination
activities. Changes in application filing levels immediately impact
current year fee collections, because fewer patent application filings
means the Office collects fewer fees to devote to production-related
costs, such as additional examining staff and overtime. The resulting
reduction in production activities creates an out-year revenue impact
because less production output in one year results in fewer issue and
maintenance fee payments in future years.
    The USPTO's five-year estimated aggregate patent fee revenue (see
"Aggregate Revenue Estimate" in Table 3) is based on the number of
patent applications it expects to receive for a given fiscal year, work
it expects to process in a given fiscal year (an indicator for workload
of patent issue fees), expected examination and process requests for
the fiscal year, and the expected number of post-issuance decisions to
maintain patent protection over that same fiscal year. Within the
iterative process for estimating aggregate revenue, the Office adjusts
individual fees up or down based on cost and policy decisions (see Step
3: Set Specific Fee Amounts), estimates the effective dates of new fee
rates, and then multiplies the resulting fees by appropriate workload
volumes to calculate a revenue estimate for each fee. To calculate the
aggregate revenue, the Office assumes that all new fee rates, except
for changes to sections 1.18(a) through (d) (patent issue and
publication fees) and 1.21(h)(1) and 1.21(h)(2) (recording patent
assignments), would be effective March 1, 2013. Fee changes for
sections 1.18(a) through (d) (patent issue and publication fees) and
1.21(h)(1) and 1.21(h)(2) (recording patent assignments) are assumed to
become effective on January 1, 2014. Using these figures, the USPTO
sums the individual fee revenue estimates, and the result is a total
aggregate revenue estimate for a given year (see Table 3).

Step 3: Set Specific Fee Amounts

    Once the Office finalizes the annual requirements and aggregate
prospective costs for a given year during the budget formulation
process, the Office sets specific fee amounts that, together, will
derive the aggregate revenue required to recover the estimated
aggregate prospective costs during that time frame. Calculating
individual fees is an iterative process that encompasses many
variables. One variable that USPTO considers to inform fee setting is
the historical cost estimates associated with individual fees. The
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 82 

Office's Activity-Based Information (ABI) provides historical cost for
an organization's activities and outputs by individual fee using the
activity-based costing (ABC) methodology. ABC is commonly used for fee
setting throughout the Federal Government. Additional information about
the methodology, including the cost components related to respective
fees, is available at
http://www.uspto.gov/aia_implementation/fees.jsp#heading-1 in the document
titled "USPTO Section 10 Fee Setting - Activity-Based Information and
Costing Methodology." The USPTO provides data for FY 2009-FY 2011 because
the Office finds that reviewing the trend of ABI historical cost information
is the most useful way to inform fee setting. The underlying ABI data are
available for public inspection at the USPTO.
    When the Office implements a new process or service, historical ABI
data is typically not available. However, the Office will use the
historical cost of a similar process or procedure as a starting point
to calculate the cost of a new activity or service. For example, as
described in the proposed rulemaking, Changes to Implement the
Supplemental Examination Provisions of the Leahy-Smith America Invents
Act, 77 FR 3666 (Jan. 25, 2012), the Office used the ABI historical
cost for ex parte reexamination procedures as a starting point for
calculating the prospective cost to implement the new supplemental
examination procedures.
    In other cases, ABI historical cost information related to similar
processes are not available, and the Office estimates cost by
calculating the resources necessary to execute the new process. To do
so, the Office estimates the amount of time (in hours) and necessary
skill level to complete an activity. The USPTO then multiplies the
estimated amount of time by the hourly wage(s) of the persons required
at each skill level and adds the administrative and indirect cost rates
(derived from ABI historical cost data) to this base cost estimate to
calculate the full cost of the activity. One-time costs, such as IT,
training, or facilities, are added to the full cost estimate to obtain
the total cost of providing the new process or service. Lastly, the
USPTO applies a rate of inflation to estimate the prospective unit
cost. For example, the Office used this methodology to calculate the
costs associated with the new inter partes and post grant review
processes. (See 77 FR 6879, (Feb. 9, 2012).
    This cost data serves as a point of reference for setting
individual fee amounts. The USPTO also uses various policy factors
discussed in the Rulemaking Goals and Strategies section of this NPRM
to inform fee setting. Fees are set to allow the Office to recover its
aggregate costs, while furthering key policy considerations. The
following section describes the rationale for setting fee rates at
specific amounts.

V. Individual Fee Rationale

    The Office projects the aggregate revenue generated from the
proposed patent fees will recover the prospective aggregate cost of its
patent operations. However, each individual proposed fee is not
necessarily set equal to the estimated cost of performing the
activities related to the fee. Instead, as described in Part III.
Rulemaking Goals and Strategies, some of the proposed fees are set to
balance several key policy factors: fostering innovation, facilitating
effective administration of the patentsystem, and offering patent
prosecution options to applicants. As also described in Part III, executing
these policy factors in the patent fee schedule is consistent with the
Strategy for American Innovation and the goals and objectives outlined in
the Strategic Plan. Once the key policy factors are considered, fees are set
at, above, or below individual cost recovery levels for the activity or
service provided.
    For the purpose of discussing the changes in this rule, the
rationale for proposing to set or adjust individual fees are grouped
into two major categories: (1) Fees where large entity amounts changed
from the current amount by greater than plus or minus 5 percent and 10
dollars (described below in section (A)); and (2) fees where large
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 83 

entity amounts stayed the same or did not change by greater than plus
or minus 5 percent and 10 dollars (described below in section (B). The
purpose of the categorization is to identify large fee changes for the
reader and provide an individual fee rationale for such changes. The
categorization is based on changes in large entity fee amounts because
percentage changes for small entity fees that are in place today would
be the same as the percentage change for the large entity, and the
dollar change would be half of that of the large entity change.
Therefore, there will never be an instance where the small entity fee
change meets the greater than plus or minus 5 percent and 10 dollars
criteria and a large entity does not.
    The "USPTO Section 10 Fee Setting - Table of Patent Fee Changes"
is available at http://www.uspto.gov/aia_implementation/fees.jsp and
the tables in Part VI. The table of patent fee changes includes the
current fees for large and small entities and the proposed fees for
large, small, and micro entities with the dollar and percent changes in
large entity fees and the FY 2011, FY 2010, and FY 2009 unit costs. The
Discussion of Specific Rules in this rulemaking contains a complete
listing of fees that are set or adjusted in the proposed patent fee
schedule.

A. Discounts for Small and Micro Entity Applicants

    The fees described below include discounts for small and micro
entity applicants as required by section 10. The current small entity
discount scheme will change when fees are set in accordance with
section 10. That is, section 10(a) provides that the USPTO can set or
adjust "any fee established, authorized or charged under" Title 35,
U.S.C. In turn, section 10(b) of the Act provides that fees set or
adjusted under section 10(a) authority for "filing, searching,
examining, issuing, appealing, and maintaining patent applications and
patents" will be reduced by 50 percent for small entities and 75
percent for micro entities. A small entity is defined as currently set
forth in 35 U.S.C. 41(h)(1), and a micro entity is defined in section
123.
    Currently, the small entity discount is only available for
statutory fees provided under sections 41(a) and (b). Section 10(b)
extends the discount to some patent fees not contained in section 41(a)
and (b). Thus, the Office will apply the discount to a number of fees
that currently do not receive the small entity discount. Only one fee
for which a small entity discount is currently offered will be
ineligible for that discount under the proposed fee schedule (the fee
for a statutory disclaimer under 37 CFR 1.20(d), which is currently
$160 for a large entity and $80 for a small entity), because the
particular fee does not fall under one of the six categories of patent
fees set forth in section 10(b).
    Additionally, the new contested case proceedings created under the
Act (inter partes review, post grant review, covered business method
patent review, and derivation proceedings) are trial services, not
appeals. As such, the fees for these services do not fall under any of
the six categories under section 10(b), and therefore are not eligible
for discounts. Appeals before the BPAI involve contests to an
examiner's findings. The new trial services, however, determine whether
a patent should have been granted. They involve discovery, including
cross-examination of witnesses. Further, the AIA amends sections of
Title 35 that specifically reference "appeals," while separately
discussing inter partes review, post grant review, and derivation
proceedings, highlighting that these new services are not appeals. See
section 7 of the AIA (amending 35 U.S.C. 6).

B. Fees With Proposed Changes of Greater Than Plus or Minus 5 Percent
and 10 Dollars

    For those fees that are proposed to change by greater than plus or
minus 5 percent and 10 dollars, the individual fee rationale discussion
is divided into four general subcategories: (1) Fees to be set at cost
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 84 

recovery; (2) fees to be set below cost recovery; (3) fees to be set
above cost recovery; and (4) fees that are not set using cost data as
an indicator. Table 4 contains a summary of the individual fees that
are discussed in each of the subcategories referenced above.
    As discussed above, for purposes of comparing amounts in the
individual fee rationale discussion, the Office has also included the
fees proposed previously using the USPTO's existing 35 U.S.C. 41(d)(2)
fee authority in the baseline (status quo). See 77 FR 982 (Jan. 6,
2012), 77 FR 3666 (Jan. 25, 2012), 77 FR 6879 (Feb. 9, 2012), 77 FR
7028 (Feb. 10, 2012), and 77 FR 7060 (Feb. 10, 2012). The fees proposed
in these January and February 2012 Proposed Rules (as adjusted by the
final rules) are included in the "current" fee column and denoted
with (*). This NPRM does not reopen the comment period for any of the
January and February 2012 Proposed Rules. It is anticipated that those
rules will be finalized in the coming months. This NPRM establishes a
different comment period for setting or adjusting all patent fees under
section 10 of the AIA. The Office anticipates finalizing this
rulemaking after the January and February 2012 Proposed Rules are
finalized.
    In addition, for purposes of discussion within this section, where
new micro entity fees are proposed, it is expected that an applicant or
patent holder would have paid the current small entity fee (or large
entity in the event there is not a small entity fee) and dollar and
percent changes are calculated from the current small entity fee amount
(or large entity fee, where applicable).
    It should be noted that the "Utility Search Fee" listed below
does not meet the "change by greater than plus or minus 5 percent and
10 dollars" threshold, but is nonetheless included in the discussion
for comparison of total filing, search, and examination fees.


                   Table 4 - Patent Fees Proposed To Change
           [By greater than plus or minus 5 percent and 10 dollars]

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

                (1) Fees To Be Set at Cost Recovery

Request for Prioritized
 Examination                      $4,800     $4,000     -$800       -17%
                                  ($2,400)   ($2,000)   (-$400)     (-17%)
                                  [N/A]      [$1,000]   [-$1,400]   [-58%]

Second and Subsequent
 RCEs (NEW)                       $930       $1,700     +$770       +83%
                                  ($465)     ($850)     (+$385)     (+83%)
                                  [N/A]      [$425]     [-$40]      [-9%]

                (2) Fees To Be Set Below Cost Recovery

Basic Filing Fee - Utility        $380       $280       -$100       -26%
                                  ($190)     ($140)     (-$50)      (-26%)
                                  [N/A]      [$70]      [-$120]     [-63%]

Utility Search Fee                $620       $600       -$20        -3%
                                  ($310)     ($300)     (-$10)      (-3%)
                                  [N/A]      [$150]     [-$160]     [-52%]

Utility Examination Fee           $250       $720       +$470       +188%
                                  ($125)     ($360)     (+$235)     (+188%)
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 85 

                                  [N/A]      [$180]     [+$55]      [+44%]

    Basic Filing, Search, and     $1,250     $1,600     +$350       +28%
     Exam - Utility (Total)       ($625)     ($800)     (+$175)     (+28%)
                                  [N/A]      [$400]     [-$225]     [-36%]

First Request for Continued       $930       $1,200     +$270       +29%
 Examination (RCE)                ($465)     ($600)     ($135)      +29%
                                  [N/A]      [$300]     [-$165]     [-35%]

Notice of Appeal                  $620       $1,000     $380        +61%
                                  ($310)     ($500)     (+$190)     (+61%)
                                  [N/A]      [$250]     [-$60]      [-19%]

Filing a Brief in Support of      $620       $0         -$620       -100%
 an Appeal in Application or      ($310)     ($0)       (-$310)     (-100%)
 Ex Parte Reexamination           [N/A]      [$0]       [-$310]     [-100%]

Appeal Forwarding Fee for         N/A        $2,000     +$2,000     N/A
 Appeal in Examination or         (N/A)      ($1,000)   (+$1,000)   (N/A)
 Ex Parte Reexamination           [N/A]      [$500]     [+$500]     [N/A]
 Proceeding or Filing a
 Brief in Support of an
 Appeal in Inter Partes
 Reexamination (NEW)

    Total Appeal Fees (Paid       $1,240     $1,000     -$240       -19%
     before Examiner Answer)      (-$120)    (-19%)     [N/A]       [$250]
                                  [NA]       [$250]     [-$370]     [-60%]

Total Appeal Fees (Paid after     $1,240     $3,000     +$1760      +142%
 Examiner Answer)                 ($620)     ($1,500)   (+$880)     (+142%)
                                  [N/A]      [$750]     [+$130]     [+21%]

Ex Parte Reexamination           *$17,750    $15,000    -$2,750     -15%
                                  (N/A)      ($7,500)   (-$10,250)  (-58%)
                                  [N/A]      [$3,750]   [-$14,000]  [-79%]

Processing and Treating a        *$5,140     $4,400     -$740       -14%
 Request for Supplemental         (N/A)      ($2,200)   (-$2,940)   (-57%)
 Examination - Up to 20           [N/A]      [$1,100]   [-$4,040]   [-79%]
 Sheets (NEW)

Ex Parte Reexamination           *$16,120    $13,600    -$2,520     -16%
 Ordered as a Result of           (N/A)      ($6,800)   (-$9,320)   (-58%)
 a Supplemental Examination       [N/A]      [$3,400]   [-12,720]   [-79%]
 Proceeding (NEW)

    Total Supplemental           *$21,300    $18,000    -$3,330     -15%
     Examination Fees             (N/A)      ($9,000)   (-$12,300)  (-58%)
                                  [N/A]      [$4,500]   [-$16,800]  [-79%]

Inter Partes Review Request -     NEW        $9,000     +$9,000     N/A
 Up to 20 Claims (Per Claim                  (N/A)      (N/A)       (N/A)
 Fee for Each Claim in Excess                [N/A]      [N/A]       [N/A]
 of 20 is $200).

Inter Partes Review Post          NEW        $14,000    $14,000     N/A
 Institution Fee - Up to                     (N/A)      (N/A)       (N/A)
 15 Claims (Per Claim Fee                    [N/A]      [N/A]       [N/A]
 for Each Claim in Excess
 of 15 is $400)

    Total Inter Partes Review    *$27,200    $23,000    -$4,200     -15%
     Fees (NEW) (For Current      (N/A)      (N/A)      (N/A)       (N/A)
     Fees, Per Claim Fee for      [N/A]      [N/A]      [N/A]       [N/A]
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 86 

     Each Claim in Excess of
     20 is $600)

Post Grant Review or Covered      NEW        $12,000    +$12,000    N/A
 Business Method Patent Review               (N/A)      (N/A)       (N/A)
 Request - Up to 20 Claims                   [N/A]      [N/A]       [N/A]
 (Per Claim Fee for Each Claim
 in Excess of 20 is $250)

Post Grant Review or Covered      NEW        $18,000    $18,000     N/A
 Business Method Patent Review               (N/A)      (N/A)       (N/A)
 Post Institution Fee - Up to                [N/A]      [N/A]       [N/A]
 15 Claims (Per Claim Fee for
 Each Claim in Excess of 15
 is $550)

     Total Post Grant Review     *$35,800    $30,000    -$5,800     -16%
      or Covered Business         (N/A)      (N/A)      (N/A)       (N/A)
      Method Patent Fees (NEW)    [N/A]      [N/A]      [N/A]       [N/A]
      (For Current Fees, Per
      Claim Fee for Each Claim
      in Excess of 20 is $800)

                    (3) Fees To Be Set Above Cost Recovery

Publication Fee for Early,        $300       $0         -$300       -100%
 Voluntary, or Normal             (N/A)      ($0)       (-$300)     (-100%)
 Publication (Pre Grant           [N/A]      [$0]       [-$300]     [-100%]
 Publication or PG Pub)

Utility Issue Fee                 $1,740     $960       -$780       -45%
                                  ($870)     ($480)     (-$390)     (-45%)
                                  [N/A]      [$240]     [-$630]     [-72%]

Combined Total - Pre-grant        $2,040     $960       -$1,080     -53%
 Publication and Issue            ($1,170)   ($480)     (-$690)     (-59%)
 Fee - Utility                    [N/A]      [$240]     [-$930]     [-79%]

Maintenance Fee Due at            $1,130     $1,600     +$470       +42%
 3.5 Years (1st Stage)            ($565)     ($800)     (+$235)     (+42%)
                                  [N/A]      [$400]     [-$165]     [-29%]

Maintenance Fee Due at            $2,850     $3,600     +$750       +26%
 7.5 Years (2nd Stage)            ($1,425)   ($1,800)   (+$375)     (+26%)
                                  [N/A]      [$900]     [-$525]     [-37%]

Maintenance Fee Due at            $4,730     $7,400     +$2,670     +56%
 11.5 Years (3rd Stage)           ($2,365)   ($3,700)   (+$1,335)   (+56%)
                                  [N/A]      [$1,850]   [-$515]     [-22%]

         (4) Fees That Will Not Be Set Using Cost Data as an Indicator

Extensions for Response           $150       $200       +$50        +33%
 within 1st Month                 ($75)      ($100)     (+$25)      (+33%)
                                  [N/A]      [$50]      [-$25]      [-33%]

Extensions for Response           $560       $600       +$40        +7%
 within 2nd Month                 ($280)     ($300)     (+$20)      (+7%)
                                  [N/A]      [$150]     [-$130]     [-46%]

Extensions for Response           $1,270     $1,400     +$130       +10%
 within 3rd Month                 ($635)     ($700)     (+$65)      (+10%)
                                  [N/A]      [$350]     [-$285]     [-45%]

Extensions for Response           $1,980     $2,200     +$220       +11%
 within 4th Month                 ($990)     ($1,100)   (+$110)     (+11%)
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 87 

                                  [N/A]      [$550]     [-$440]     [-44%]

Extensions for Response           $2,690     $3,000     +$310       +12%
 within 5th Month                 ($1,345)   ($1,500)   (+$155)     (+12%)
                                  [N/A]      [$750]     [-$595]     [-44%]

Utility Application Size          $310       $400       +$90        +29%
 Fee - For each Additional        ($155)     ($200)     (+$45)      (+29%)
 50 Sheets that Exceed 100        [N/A]      [$100]     [-$55]      [-35%]
 Sheets

Independent Claims in             $250       $420       +$170       +68%
 Excess of 3                      ($125)     ($210)     (+$85)      (+68%)
                                  [N/A]      [$105]     [-$20]      [-16%]

Claims in Excess of 20            $60        $80        +$20        +33%
                                  ($30)      ($40)      (+$10)      (+33%)
                                  [N/A]      [$20]      [-$10]      [-33%]

Multiple Dependent Claim          $450       $780       +$330       +73%
                                  ($225)     ($390)     (+$165)     (+73%)
                                  [N/A]      [$195]     >[-$30]     [-13%]

Correct Inventorship After        N/A        $1,000     +$1,000     N/A
 First Action on the Merits       (N/A)      ($500)     (+$500)     (N/A)
 (NEW)                            [N/A]      [$250]     [+$250]     [N/A]

Derivation Petition Fee (NEW)    *$400       $400       $0          0%
                                  (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]

Derivation Institution and        N/A        $0         $0          N/A
 Trial Fee (NEW)                  (N/A)      ($0)       ($0)        (N/A)
                                  [N/A]      [$0]       [$0]        [N/A]

Assignments Submitted             $40        $0         -$40        -100%
 Electronically (NEW)             (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]

Assignments Not Submitted         $40        $40        $0          0%
 Electronically (NEW)             (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]


(1) Fees To Be Set at Cost Recovery

    The following two fees are set at cost recovery. These fees support
the policy factor of "offering patent prosecution options to applicants"
by providing applicants with flexibilities in seeking patent protection.
A discussion of the rationale for the proposed changes follows.
    Request for Prioritized Examination:


           Table 5 - Request for Prioritized Examination Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee information   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Request for Prioritized           $4,800     $4,000     -$800       -17%
 Examination                      ($2,400)   ($2,000)   (-$400)     (-17%)
                                  [N/A]      [$1,000]   [-$1,400]   [-58%]
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 88 



        Table 6 - Request for Prioritized Examination Cost Information

                Cost information                        FY 2011

Cost Calculation is available in the proposed rule      $4,000
 published in the Federal Register Changes To Implement
 the Prioritized Examination Track (Track I) of the
 Enhanced Examination Timing Control Procedures, 76 FR
 6369 (Feb. 4, 2011)


    A patent applicant may seek prioritized examination at the time of
filing an original utility or plant application or a continuation
application thereof or upon filing an RCE in compliance with section
1.114. A single request for prioritized examination may be granted for
an RCE in a plant or utility application. When in the prioritized
examination track, an application will be accorded special status
during prosecution until a final disposition is reached. The target for
prioritized examination is to provide a final disposition within twelve
months, on average, of prioritized status being granted. This
prioritized examination procedure is part of an effort by the USPTO to
provide patent applicants patent prosecution options with greater
control over the timing of examination of their applications. The
procedure enables applicants to have greater certainty in their patent
rights sooner.
    The AIA established the current large and small entity fees for
prioritized examination, which the Office put in place in 2011. See
Changes To Implement the Prioritized Examination Track (Track I) of the
Enhanced Examination Timing Control Procedures Under the Leahy-Smith
America Invents Act, 76 FR 59050 (Sept. 23, 2011). The large entity fee
is above the Office's cost to process a single prioritized examination
request to subsidize the fee revenue lost from providing small entity
applicants a 50 percent discount from the large entity fee. The cost
calculation for the prioritized examination fees is available in the
proposed rule. See Changes To Implement the Prioritized Examination
Track (Track I) of the Enhanced Examination Timing Control Procedures,
76 FR 6369 (Feb. 4, 2011). The higher large entity fee, coupled with
the lower small entity fee, recovers the Office's total cost for
conducting all prioritized examinations.
    Under section 10, micro entities are eligible to receive a 75
percent discount from the large entity fee for prioritized examination.
Here, the Office proposes to set the large entity fee at cost ($4,000),
instead of further increasing the fee to subsidize the new micro entity
discount. This amount is the same as that which was proposed in the
initial fee schedule delivered to the PPAC on February 7, 2012. The
Office proposes to recover this subsidy through other fees that will be
set above cost recovery, rather than through a separate, higher, large
entity fee for prioritized examinations. The Office believes this
system will foster innovation and allow for ease of entry into the
patent system. Setting the large entity prioritized examination fee
further above cost would contradict this policy factor and hinder fast
patent protection for large entity applicants.

    Request for Continued Examination (RCE) - Second and Subsequent
Request (New):


                 Table 7 - Second and Subsequent Request for
                    Continued Examination (RCE) Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 89 

                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Second and Subsequent Requests    $930       $1,700     +$770       +83%
 for Continued Examination        ($465)     ($850)     (+$385)     (+83%)
 (RCE) (NEW)                      [N/A]      [$425]     [-$40]      [-9%]


               Table 8 - Request for Continued Examination (RCE)
                          Historical Cost Information

  Historical unit cost information      FY 2011       FY 2010       FY 2009

Request for Continued Examination       $2,070        $1,696        $1,881
 (RCE).
Percentage of RCE cost compared         60%           43%           51%
 to the cost to process a new
 application


The historical unit cost information is calculated by subtracting the cost
 to complete a single application with no RCEs from the cost to complete a
 single application with one RCE. A description of the cost components is
 available for review in the "Section 10 Fee Setting - Activity-Based
 Information and Costing Methodology" document. It is reasonable to expect
 that the cost to the Office to complete a single RCE should be less than
 the cost to complete a new application because an RCE is continuing from
 work already performed on the original application. The Office's historical
 cost data demonstrates this, with the cost to process an RCE being, on
 average, half of the cost to prosecute a new application.

    An applicant may file an RCE in an application that is under final
rejection (i.e., prosecution is closed) by filing a submission and
paying a specified fee within the requisite time period. Applicants
typically file an RCE when they choose to continue to prosecute an
application before the examiner, rather than appeal a rejection or
abandon the application. In FY 2011, about 30 percent of applications
filed were for RCEs. Generally, around 70 percent of RCE applications
filed in a year are for first RCEs and the remaining 30 percent are a
second or subsequent RCE. Given this data, it is reasonable to expect
that most outstanding issues are resolved with the first RCE. Those
applications that cannot be completed with the first RCE do not
facilitate an effective administration of the patent system with the
prompt conclusion of patent prosecution.
    On February 7, 2012, the Office delivered to the PPAC a proposed
RCE fee of $1,700. In response to stakeholder feedback on both the
individual fee level and the growth rate of the patent operating
reserve, the Office now proposes to divide the fee for RCEs into two
parts: (1) A fee for a first RCE; and (2) a second, higher fee for a
second or subsequent RCE. The Office proposes this RCE fee division
because, as noted above, based on historical cost information, 70
percent of RCEs are for the first RCE, which indicates that applicants
need modest additional time to resolve the outstanding issues with the
examiner. The proposed multipart RCE fees demonstrate how the Office
seeks to facilitate the effective administration of the patent system
and offer patent prosecution options to applicants.
    The large entity fee for the first RCE would be set about 30
percent below cost recovery at $1,200 to advance innovation by easing
the burden on an applicant needing to resolve the outstanding items
with an examiner. The Office proposes to set the fee for the second and
subsequent RCEs at the same amount as initially delivered to PPAC,
i.e., $1,700, which is estimated to be at cost recovery. Setting the
second and subsequent RCE fees higher than the fee for the first RCE
helps to recover costs for activities that strain the patent system.
    The USPTO calculated the large entity cost at $1,700 (rounded) by
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 90 

averaging historical costs after estimating the incremental cost to
complete a single application with one RCE compared to the cost to
complete an application with no RCE. The Office used a three-year
average to estimate the cost of a single RCE in lieu of using only FY
2011 data, because the trend in historical data shows that the cost to
process an RCE increased in FY 2011, and the Office believes this
increase is due to an anomaly caused by the Clearing the Oldest Patent
Application (COPA) initiative, as described in the FY 2011 USPTO
Performance and Accountability Report, available at
http://www.uspto.gov/about/stratplan/ar/2011/mda_02_03.html.
    When an applicant does not agree with a final rejection notice, the
applicant has the option to file a notice of appeal, for which the fee
is also proposed to be set below cost recovery and less than the fee
proposed for the first, and second and subsequent, RCEs (see appeal fee
information in the following section). The USPTO proposes this fee
relationship to ensure that all applicants have viable options to
dispute a final rejection when they believe the examiner has erred.
These patent prosecution options allow applicants to make critical
decisions at multiple points in the patent prosecution process.

(2) Fees To Be Set Below Cost Recovery
    There are seven types of fees that the Office proposes to be set
below cost recovery that meet the greater than plus or minus 5 percent
and 10 dollars criteria. The policy factors relevant to setting fees
below cost recovery are fostering innovation and offering patent
prosecution options to applicants. Applying these policy factors to set
fees below cost recovery benefits the patent system by keeping the fees
low and making patent filing and prosecution more available to
applicants, thus fostering innovation. Although many fees would
increase from current fee rates under this proposed rule, the Office is
not proposing to increase "pre-grant" fees (e.g., filing, search, and
examination) enough to create the same barrier to entry as otherwise
would have been created if fees were to recover the full cost of the
activity. The proposed fee schedule offers patent prosecution options
to provide applicants flexible and cost-effective options for seeking
and completing patent protection. This strategy provides multipart and
staged fees for certain patent prosecution activities. A discussion of
the rationale for each proposed fee adjustment follows.
    Basic Filing, Search, and Examination - Utility:


              Table 9 - Basic Filing, Search, and Examination -
                              Utility Fee Changes


                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Basic Filing Fee - Utility        $380       $280       -$100       -26%
                                  ($190)     ($140)     (-$50)      (-26%)
                                  [N/A]      [$70]      [-$120]     [-63%]

Utility Search Fee                $620       $600       -$20        -3%
                                  ($310)     ($300)     (-$10)      (-3%)
                                  [N/A]      [$150]     [-$160]     [-52%]

Utility Examination Fee           $250       $720       +$470       +188%
                                  ($125)     ($360)     (+$235)     (+188%)
                                  [N/A]      [$180]     [+$55]      [+44%]

    Basic Filing, Search,         $1,250     $1,600     +$350       +28%
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 91 

     and Exam - Utility           ($625)     ($800)     (+$175)     (+28%)
     (Total)                      [N/A]      [$400]     [-$225]     [-36%]



              Table 10 - Basic Filing, Search, and Examination -
                    Utility Fee Historical Cost Information

  Historical unit cost information   FY 2011       FY 2010       FY 2009
                                     $/%           $/%           $/%
                                     of total      of total      of total

Basic Filing Fee - Utility           $234/6%       $243/6%       $241/7%
Utility Search Fee                   $1,521/43%    $1,694/43%    $1,520/41%
Utility Examination Fee              $1,814/51%    $1,969/51%    $1,904/52%

    Total Unit Cost                  $3,569/100%   $3,906/100%   $3,665/100%


    A non-provisional application for a patent includes filing, search,
and examination fees. Currently, the large entity basic filing, search,
and examination fees for a utility patent recover slightly more than
one-third of the average unit cost for prosecuting a patent application,
while a small entity application recovers around 17 percent of the average
unit cost. The Office proposes to maintain this "back-end" subsidy of
"front-end" fees structure to achieve the policy goal of fostering
innovation.
    The current fee rates and respective costs associated with each stage
of patent prosecution are out of alignment. For example, on average, 94
percent of the costs associated with filing, searching, and examining an
application occur in the search and examination stages. Approximately half
of those costs are estimated to occur in the examination stage, but only 20
percent of the total filing, search, and examination fees are derived from
the examination fee (see Table 11). To adjust this fee structure and help
stabilize the USPTO funding model, the Office proposes to increase the total
filing, search, and examination fees and to realign the fee rates to more
closely track the cost pattern by stage of prosecution (i.e., filing, search,
and examination), while keeping each stage below actual cost.


          Table 11 - Utility Basic Filing, Search, and Examination -
                     Current and Proposed Fee Information

                                            Proposed to
   Proposed fee information   Current $/%   PPAC $/% of   Proposed $/%
                              of total      total         of total

Basic Filing Fee - Utility    $380/30%      $400/22%      $280/17%
Utility Search Fee            $620/50%      $660/36%      $600/38%
Utility Examination Fee       $250/20%      $780/42%      $720/45%

    Total Fees                $1,250/100%   $1,840/100%   $1,600/100%


    On February 7, 2012, the Office delivered to the PPAC a proposed
combined total fee for filing, search, and examination of $1,840. In
response to stakeholder feedback on both the individual fee level and
the growth rate of the patent operating reserve, the Office now
proposes to reduce the combined fees from the initial proposal ($1,840)
to $1,600. This adjustment keeps the cost of entering the patent system
at or below cost for large, small, and new micro entity applicants - 45
percent, 22 percent, and 11 percent of FY 2011 total cost,
respectively. Likewise, the proposed adjustment for filing, search, and
examination fees continues to ensure that these initial fees remain a
small part (10 percent) of the cost to apply for patent protection when
compared to the average legal fees. The filing, search, and examination
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 92 

fees are also only 10 percent of the total fees paid for a patent
through maintenance to full term (i.e., filing, search, examination,
issue, and maintenance).
    The overall increase in filing, search, and examination fees
facilitates the effective administration of the patent system, because
it encourages applicants to submit only the most thoughtful and
unambiguous applications, therefore facilitating examiners' ability to
provide prompt, quality interim and final decisions. At the same time,
it helps to stabilize the Office's revenue stream by collecting additional
revenue when an application is filed, instead of when it is later published
or issued. Also, while the Office proposes to increase these application
fees, reducing the pre-grant publication and issue fees will offset
that increase. In addition, as the patent IT systems continue to
improve, the Office is also contemplating providing additional fee
discounts to encourage applicants to use the new IT systems, when
available, and the Office welcomes public comment on the possibility of
these discounts.
    The Office recognizes that some applicants may choose to reduce the
number of applications filed in response to this proposed increase in
fees. However, the Office anticipates that this impact will be
relatively short-term; lasting for the first two and a half years of
the fee increase. The Office estimates that applicants will file 1.3
percent fewer patent applications during FY 2013 than the number
estimated to be filed in the absence of a fee increase (with new fee
schedule implementation for half the fiscal year). The Office estimates
that 2.7 percent fewer patent applications will be filed during FY 2014
and 4.0 percent fewer patent applications beginning in FY 2015, in
response to the proposed fee adjustment. However, despite the decrease
in patent applications filed when compared to the number filed absent
this proposed fee increase, the Office estimates that the overall
number of patent applications filed will continue to grow each year,
albeit at a lower growth rate in FY 2013 through FY 2015. The Office
estimates that beginning in FY 2016 the growth in patent applications
filed will return to the same levels anticipated in the absence of a
fee increase. Additional information about this estimate, including the
calculation methodology, is available at
http://www.uspto.gov/aia_implementation/fees.jsp, in a document entitled
"USPTO Section 10 Fee Setting - Description of Elasticity Estimates." The
economic impact of this proposed adjustment is further considered in the
cost-benefit calculation of the Regulatory Impact Analysis, available at
http://www.uspto.gov/aia_implementation/fees.jsp.
    It should be noted that utility patent fees are referenced in this
section to simplify the discussion of the fee rationale. However, the
rationale also applies to the filing, search, and examination fee
changes for design, plant, reissue, and PCT national stage fees as
outlined in the "USPTO Section 10 Fee Setting - Table of Patent Fee
Changes."
    Request for Continued Examination (RCE) - First Request:


           Table 12 - First Request for Continued Examination (RCE)
                                  Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

First Request for Continued       $930       $1,200     +$270       +29%
 Examination (RCE)                ($465)     ($600)     (+$135)     (+29%)
                                  [N/A]      [$300]     [-$165]     [-35%]


 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 93 

              Table 13 - Request for Continued Examination (RCE)
                          Historical Cost Information

  Historical unit cost information      FY 2011       FY 2010      FY 2009

Request for Continued Examination       $2,070        $1,696       $1,881
 (RCE)
Percentage of RCE cost compared         60%           43%          51%
to the cost to process a new
 application

The historical unit cost information is calculated by subtracting the cost
 to complete a single application with no RCEs from the cost to complete a
 single application with one RCE. A description of the cost components is
 available for review in the "Section 10 Fee Setting - Activity-Based
 Information and Costing Methodology" document. It is reasonable to expect
 that the cost to the Office to complete a single RCE should be less than
 the cost to complete a new application because an RCE is continuing from
 work already performed on the original application. The Office's historical
 cost data demonstrates this, with the cost to process an RCE being, on
 average, half of the cost to prosecute a new application.


    An applicant may file an RCE in an application that is under final
rejection (i.e., prosecution is closed) by filing a submission and
paying a specified fee within the requisite time period. Applicants
typically file an RCE when they choose to continue to prosecute an
application before the examiner, rather than appeal a rejection or
abandon the application. In FY 2011, about 30 percent of applications
filed were for RCEs. Generally, around 70 percent of RCE applications
filed in a year are for first RCEs and the remaining 30 percent are a
second or subsequent RCE. Given this data, it is reasonable to expect
that most outstanding issues are resolved with the first RCE.
    On February 7, the Office delivered to the PPAC a proposed RCE fee
of $1,700. In response to stakeholder feedback on both the individual
fee level and the growth rate of the patent operating reserve, the
Office now proposes to divide the fees for RCE into two parts: (1) a
fee for a first RCE; and (2) a second, higher fee for a second or
subsequent RCE. The Office is proposing this RCE fee division because,
as stated before, 70 percent of RCEs are for the first RCE, which
indicates that applicants need modest additional time to resolve the
outstanding issues with the examiner. Multipart RCE fees demonstrate
how the Office seeks to facilitate the effective administration of the
patent system and offer patent prosecution options to applicants.
    The large entity fee for the first RCE would be set about 30
percent below cost recovery at $1,200 to advance innovation by easing
the burden on an applicant needing to resolve the outstanding items
with an examiner. This amount is a reduction from the $1,700 fee
included in the February 7, 2012, initial proposal to PPAC.
    The USPTO has calculated the large entity cost at $1,700 (rounded)
by averaging historical costs afterestimating the incremental cost to
complete a single application with one RCE compared to the cost to complete
an application with no RCE. The Office used a three-year average to estimate
the cost of a single RCE in lieu of using only FY 2011 data, because the
trend in historical data shows that the cost to process an RCE increased in
FY 2011, and the Office believes this increase is due to an anomaly caused
by the Clearing the Oldest Patent Application (COPA) initiative, as
described in the FY 2011 USPTO Performance and Accountability Report,
available at http://www.uspto.gov/about/stratplan/ar/2011/mda_02_03.html.
    When an applicant does not agree with a final rejection notice, the
applicant has the option to file a notice of appeal as an alternative
to filing an RCE. The fee to file a notice of appeal is also proposed
to be set below cost recovery and less than the fee proposed for the
first, and second and subsequent, RCEs (see appeal fee information in
the following section). The USPTO proposes this fee relationship to
ensure all applicants have viable options to dispute a final rejection
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 94 

when they believe the examiner has erred. These patent prosecution
options allow applicants to make critical decisions at multiple points
in the patent prosecution process.
    In addition to dividing the RCEs fees, the Office is exploring
other ways to address RCEs. Specifically, the Office recently announced
two pilot programs that aim to avoid the need to file an RCE by
permitting: (i) An Information Disclosure Statement to be submitted
after payment of the issue fee; and (ii) further consideration of after
final responses.
    The first initiative, called Quick Path Information Disclosure
Statement (IDS) Pilot, permits an applicant to file an IDS after a
final rejection and gives the examiner time to consider whether
prosecution should be reopened. If the items of information in the IDS
do not require prosecution to be reopened, the application will return
to issue, thereby eliminating need for an RCE.
    The second initiative, called the After Final Consideration Pilot,
authorizes a limited amount of non-production time for examiners to
consider responses filed after a final rejection with the goal of
achieving compact prosecution and increased collaboration between
examiners and stakeholders. Accordingly, the Office is hopeful for the
success of these two pilot programs to reduce the number of RCEs and
thereby enable applicants to secure a patent through a single
application filing.
    Appeal Fees (Partially New):


                         Table 14 - Appeal Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Notice of Appeal                  $620       $1,000     +$380       +61%
                                  ($310)     ($500)     (+$190)     (+61%)
                                  [N/A]      [$250]     [-$60]      [-19%]

Filing a Brief in Support         $620       $0         -$620       -100%
 of an Appeal in Application      ($310)     ($0)       (-$310)     (-100%)
 or Ex Parte Reexamination        [N/A]      [$0]       [-$310]     [-100%]
 Proceeding

Appeal Forwarding Fee for         N/A        $2,000     +$2,000     N/A
 Appeal in Examination or         (N/A)      ($1,000)   (+$1,000)   (N/A)
 Ex Parte Reexamination           [N/A]      [$500]     [+$500]     [N/A]
 Proceeding or Filing a Brief
 in Support of an Appeal in
 Inter Partes Reexamination
 (NEW)

    Total Appeal Fees             $1,240     $1,000     -$240       -19%
     (paid before Examiner        ($620)     ($500)     (-$120)     (-19%)
     Answer)                      [N/A]      [$250]     [-$370]     [-60%]

    Total Appeal Fees             $1,240     $3,000     +$1,760     +142%
     (paid after Examiner         ($620)     ($1,500)   (+$880)     (+142%)
     Answer)                      [N/A]      [$750]     [+$130]     [+21%]


               Table 15 - Appeal Fee Historical Cost Information

   Historical unit cost information     FY 2011    FY 2010     FY 2009

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 95 

Notice of Appeal to Patent Trial        $4,799     $4,960      $5,008
and Appeal Board Filing a Brief
in Support of an Appeal
Appeal Forwarding Fee


    An applicant who disagrees with an examiner's final rejection may
appeal to the BPAI by filing a notice of appeal and the required fee
within the time period provided. An applicant likewise may file a
notice of appeal after the applicant's claim(s) has/have been twice
rejected, regardless of whether the claim(s) has/have been finally
rejected. Further, an applicant may file a notice of appeal after a
first rejection in a continuing application if any of theclaims in the
parent application were previously rejected.
    Within two months from the date of filing the notice of appeal, the
appellant must file a Brief. Then, the examiner must file an Examiner's
Answer. After the Answer is mailed, the appeal file is forwarded to the
BPAI for review.
    Currently, a large entity applicant pays $620 to file a notice of
appeal and another $620 when filing a brief - a total of $1,240. These
current fees only recover 25 percent of the Office's cost of an appeal.
The Office proposes to increase appeal fees to reduce the gap between
fees and cost. At the same time, the Office proposes to offer patent
prosecution options to applicants and stage the appeal fees to recover
additional cost at later points in time and thereby minimize the cost
impacts on applicants associated with withdrawn final rejections.
    The Office proposes a $1,000 notice of appeal fee and a $0 fee when
filing the brief. Both of these actions would occur prior to the
preparation of an Examiner's Answer (and forwarding of the appeal to
the BPAI). The Office recognizes that after some notices of appeal are
filed, the matter is resolved, and there is no need to take the
ultimate step of forwarding the appeal to the BPAI for a decision. The
Office further proposes a $2,000 fee to forward the appeal file -
containing the appellant's Brief and the Examiner's Answer - to the BPAI
for review. Under this proposed fee structure, one-third of the fee
would be paid at the time of notice of appeal, and the remaining two-
thirds would be paid after the Examiner's Answer, but only if the
appeal is then forwarded to the BPAI. This fee payment structure allows
the appellant to reduce the amount invested in the appeal process until
receiving the Examiner's Answer. In fact, when prosecution issues are
resolved after the notice of appeal and before forwarding an appeal to
the BPAI, a large entity appellant would pay only $1,000 to obtain an
Examiner's Answer - 19 percent less than under the current fee
structure.
    Staging the appeal fees in this manner allows applicants to pay
less in situations when an application is either allowed or reopened
instead of being forwarded to the BPAI. This patent prosecution option
allows applicants to make critical decisions at multiple points in the
patent prosecution process.
    When considering the proposed appeal fees, the Office evaluated
several options to minimize the cost to applicants. For example, it
contemplated refunding certain appeal fees if the appeal was not
forwarded to the BPAI. However, under the current refund statutory
authority, the Office can only refund all or part of a fee paid by
mistake or in excess of the fee due. See 35 U.S.C. 42(d). Neither of
these conditions would apply when the issues raised on appeal are
resolved and the appeal is not forwarded to the BPAI because the matter
is resolved.
    On February 7, 2012, the Office delivered to PPAC a fee proposal
that included two appeal fee payment features: (1) Staging the appeal-
related fees so that cost impacts on some applicants are minimized; and
(2) paying a $0 pre-grant publication (PGPub) and issue fee if the
examiner withdraws a final rejection prior to an appeal being forwarded
to the BPAI.
    While the staging features delivered to PPAC are included in this
proposed rule, after reevaluating the $0 PGPub and Issue fee, the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 96 

Office decided against proposing it here. Sometimes mistakes or errors
in prosecution are not self-evident, and sometimes examiners properly
consider After Final amendments and allow the application even after
the applicant has filed an appeal. Accordingly, when operating with a
$0 PGPub and Issue fee, the Office had planned to implement a case-by-
case review process to evaluate the root cause of why the applicant
filed an appeal. This process would increase the Office's cost of
operations without realizing counterbalancing benefits.
    Additionally, a $0 PGPub and issue fee would eliminate the need for
the notice of issue fee payment and could impact when applicants
receive notice that their applications will proceed to issue. The
Office understands that the timing of issuance is extremely important
in managing a business, and that timing may be critically important
when an applicant intends to file a continuing application. In view of
these considerations and risks, the Office decided not to propose a $0
PGPub and issue fee here.
    Finally, just as the Office is exploring ways to minimize
unnecessary RCE filings, the Office is likewise exploring other
options, including pilot programs, in an effort to reduce the need to
appeal to the BPAI.
    Ex Parte Reexamination:


                 Table 16 - Ex Parte Reexamination Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Ex Parte Reexamination           *$17,750    $15,000    -$2,750     -15%
                                  (N/A)      ($7,500)   (-$10,250)  (-58%)
                                  [N/A]      [$3,750]   [-$14,000]  [-79%]

* For purposes of comparing amounts, where a new fee has been proposed under
35 U.S.C. 41(d)(2) in the January and February 2012 Proposed Rules, that
proposed fee (as adjusted by the final rule) is included in the current
fee column and denoted with (*).


         Table 17 - Ex Parte Reexamination Historical Cost Information

  Historical unit cost information      FY 2011       FY 2010      FY 2009

Ex Parte Reexamination                  $19,626       $16,647      $17,162


        Table 18 - Ex Parte Reexamination Prospective Cost Information

              Prospective cost information            FY 2013

Cost Calculation, 77 FR 3666                          $17,750
 (Jan. 25, 2012) available at
 http://www.uspto.gov/aia_implementation/cost_calc_supplemental_exam.pdf


    Any person (including anonymously) may file a petition for the ex
parte reexamination of a patent that has been issued. The Office
initially determines if the petition presents "a substantial new
question of patentability" as to the challenged claims. If such a new
question has been presented, the Office will order a reexamination of
the patent for the relevant claims.
    Currently, the ex parte reexamination fee is $2,520. 37 CFR 1.20.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 97 

However, while examining its costs to estimate the cost of a
supplemental examination (pursuant to section 41(d)), the Office found
that its current ex parte reexamination fee does not recover the
Office's costs for that service. In fact, the Office incurs about seven
times the amount of the current fee for an ex parte reexamination.
Accordingly, to remedy this discrepancy, in January 2012, the Office
proposed to set the ex parte reexamination fee under section 41(d) at
$17,750, which recovers the Office's costs for the ex parte
reexamination (Changes To Implement the Supplemental Examination
Provisions of the Leahy-Smith America Invents Act and To Revise
Reexamination Fees, 77 FR 3666 (Jan. 25, 2012)).
    On February 7, 2012, the Office delivered to the PPAC a fee
proposal under section 10 of the AIA proposing setting the large entity
fee at the same amount as proposed in the January and February 2012
Proposed Rules (i.e., $17,750) and introducing new small and micro
entity discounts for an ex parte reexamination. However, in accordance
with section 10, third party requestors are not eligible for the micro
entity discounts.
    In response to stakeholder feedback on both the individual fee
level and the growth rate of the patent operating reserve in the
initial proposal, the Office now proposes to reduce the large entity
fee for ex parte reexamination to $15,000, which is 15 percent below
the Office's cost of conducting the proceeding. Setting the fee below
cost will reduce the growth rate of the operating reserve and permit
easier access to the ex parte reexamination process, which benefits the
patent system and patent quality by removing low quality patents.
    Supplemental Examination:


                Table 19 - Supplemental Examination Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Processing and Treating a        *$5,140     $4,400     -$740       -14%
 Request for Supplemental         (N/A)      $2,200)    (-$2,940)   (-57%)
 Examination - Up to 20           [N/A]      [$1,100]   [-$4,040]   [-79%]
 Sheets (NEW)

Ex Parte Reexamination Ordered   *$16,120    $13,600    -$2,520     -16%
 as a Result of a Supplemental    (N/A)      ($6,800)   (-$9,320)   (-58%)
 Examination Proceeding (NEW).    [N/A]      [$3,400]   [-$12,720]  [-79%]

            Total Supplemental   *$21,300    $18,000    -$3,330     -15%
             Examination Fees     (N/A)      ($9,000)   (-$12,300)  (-58%)
                                  [N/A]      [$4,500]   [-$16,800]  [-79%]

* For purposes of comparing amounts, where a new fee has been proposed under
35 U.S.C. 41(d)(2) in the January and February 2012 Proposed Rules, that
proposed fee (as adjusted by the final rule) is included in the current
fee column and denoted with (*).


       Table 20 - Supplemental Examination Prospective Cost Information

              Prospective cost information         FY 2013

Cost calculation 77 FR 3666 (Jan. 25, 2012) available at
http://www.uspto.gov/aia_implementation/cost_calc_supplemental_exam.pdf

Supplemental Examination Request                   $5,180
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 98 

Supplemental Examination Reexamination             $16,120

    Total Supplemental Examination Costs           $21,300


    A patent owner may request a supplemental examination of a patent
by the Office to consider, reconsider, or correct information believed
to be relevant to the patent. This proceeding will help the patent
owner preempt challenges to the patent during litigation. The need for
this proceeding arises only after a patent owner recognizes that there
is information that should have been brought to the attention of the
Office to consider or reconsider during the application process, or
information submitted during the application process that needs to be
corrected.
    The January and February 2012 Proposed Rules (as adjusted by the
final rule), using section 41(d), proposed to set the fees for the
request for supplemental examination and the ex parte reexamination
ordered as a result of a supplemental examination proceeding at $5,140
and $16,120, respectively.
    On February 7, 2012, the Office delivered to the PPAC proposed fees
of $7,000 and $20,000, respectively, using section 10 of the AIA, for
the request for supplemental examination and the ex parte reexamination
ordered as a result of a supplemental examination proceeding. This
increase was proposed to encourage applicants to submit applications
with all relevant information during initial examination, which
facilitates compact patent prosecution. In response to stakeholder
feedback on both the individual fee level and the growth rate of the
patent operating reserve in the initial proposal, the Office now
proposes to reduce these fees to $4,400 and $13,600, respectively. The
Office believes these reduced fee amounts continue to be sufficient to
encourage applicants to submit applications with all relevant
information during initial examination, yet low enough to facilitate
the effective administration of the patent system by providing
patentees with an alternative to the court system for addressing
inequitable conduct. The Office proposes to set total supplemental
examination fees of $18,000, 15 percent below cost and 30 percent less
than the total of $27,000 included in the proposal delivered to PPAC on
February 7, 2012.
    Inter Partes Review:


                  Table 21 - Inter Partes Review Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Inter Partes Review Request -     NEW        $9,000     +$9,000     N/A
 Up to 20 Claims (Per Claim                  (N/A)      (N/A)       (N/A)
 Fee for Each Claim in Excess                [N/A]      [N/A]       [N/A]
 of 20 is $200).

Inter Partes Review Post          NEW        $14,000    +$14,000    N/A
 Institution Fee - Up to                     (N/A)      (N/A)       (N/A)
 15 Claims (Per Claim Fee                    [N/A]      [N/A]       [N/A]
 for Each Claim in Excess
 of 15 is $400)

    Total Inter Partes Review    *$27,200    $23,000    -$4,200     -15%
     Fees (For Current Fees,      (N/A)      (N/A)      (N/A)       (N/A)
     per Claim Fee for Each       [N/A]      [N/A]      [N/A]       [N/A]
     Claim in Excess of 20
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 99 

     is $600)

* For purposes of comparing amounts, where a new fee has been proposed under
35 U.S.C. 41(d)(2) in the January and February 2012 Proposed Rules, that
proposed fee (as adjusted by the final rule) is included in the current fee
column and denoted with (*).


          Table 22 - Inter Partes Review Prospective Cost Information

              Prospective Cost Information                    FY 2013

The Total Inter Partes Review cost calculation of $27,200, 77 FR 6879,
 (Feb. 9, 2012) is available for review at
 http://www.uspto.gov/aia_implementation/rin-0651-ac70.pdf. The Office
 estimated that 35 hours of Judge time would be required during review
 and used this as the basis for estimating the cost for the Inter Partes
 Review. The IT-related costs are included in the Review Request portion
 of the fee.

               Description           Base cost    Per claim cost

Inter Partes Review Request -        $10,500      >20 = $200
 up to 20 claims.
Inter Partes Review Post             $16,700      >15 = $400
 Institution Fee - up to
 15 claims

    Total Inter Partes               $27,200      N/A
     Review Costs


    Inter partes review is a new trial proceeding created by the AIA
that allows the Office to review the patentability of one or more
claims in a patent only on a ground that could be raised under 35
U.S.C. 102 or 103, and only on the basis of prior art consisting of
patents or printed publications. The inter partes review process begins
with a third party filing a petition. An inter partes review may be
instituted upon a showing that there is a reasonable likelihood that
the petitioner would prevail with respect to at least one claim
challenged.
    In February 2012, the Office proposed setting a single fee for
inter partes review pursuant to 35 U.S.C. 41(d), at a level to recover
the Office's entire cost of conducting such proceeding. (See 77 FR 6879
(Feb. 9, 2012)); (See also 77 FR 7041 (Feb. 10, 2012)). Under that
proposal, the fee for an inter partes review would be based on the
number of claims for which review is sought, with the entire fee due on
filing of the petition. A petitioner could file a petition seeking
review of up to 20 claims for the base fee of $27,200. Fees would
increase for each additional 10 claims. For example, an inter partes
review of 51 to 60 claims would have cost $68,000 (See 77 FR 7050 (Feb.
10, 2012)).
    On February 7, 2012, the Office delivered to the PPAC a fee proposal
under section 10 setting the fees at the same amount as proposed in the
February 2012 Proposed Rule. In response to stakeholder feedback on the
individual fee levels, the structure of the proposed inter partes review
fees, and the overall growth rate of the patent operating reserve in the
initial proposal, with this rulemaking, the Office now proposes to set the
inter partes review fees at a level below the Office's cost recovery and
to improve the fee payment structure.
    The Office now proposes to set four separate fees for inter partes
review, which the petitioner would pay upon filing a petition. The
Office also proposes to return fees for post-institution services
should a petition not be instituted. Similarly, the Office proposes
that fees paid for post-institution review of a large number of claims
be returned if the Office only institutes the review of a subset of the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 100 

requested claims.
    The USPTO proposes to set the fee for an inter partes review
petition at $9,000 for up to 20 claims. This fee would not be returned
or refunded to the petitioner even if the review is not instituted.
    In addition, the USPTO proposes to set a per claim fee of $200 for
each claim requested for review in excess of 20. This fee would not be
returned or refunded to the petitioner if the review is not instituted
or if the institution is limited to a subset of the requested claims.
    The USPTO also proposes to set the inter partes review post-
institution fee at $14,000, for a review of up to 15 claims. This fee
would be returned to the petitioner if the Office does not institute a
trial.
    Likewise, the Office proposes to set a per claim fee of $400 for
review of each claim in excess of 15 during the post-institution trial.
The entire post-institution fee would be returned to the petitioner if
the Office does not institute a review. The excess claims fees would be
returned if review of l5 or fewer claims is instituted. If the Office
reviews more than 15 claims, but fewer than all of the requested
claims, it would return part of the fee for each claim the Office did
not review.
    For example, under this proposal, if a party requests inter partes
review of 52 claims, the petitioner would pay $44,200 ($9,000 plus 32
[52 minus 20] times $200 equals $15,400; plus $14,000 plus 37 [52 minus
15] times $400 equals $28,800; for a total of $44,200). This amount is
35 percent less than what the petitioner would pay under either the
February 2012 Proposed Rule or the initial proposal to PPAC in February
2012. In addition, under this proposed rule, if the petitioner seeks
review of 52 claims, but the Office only institutes review of 40
claims, the Office would return $4,800 (it did not institute review of
the 41st through 52nd claim for which review was requested).
Alternatively, if the review is not instituted at all, the Office would
return the entire $28,800 for claims over 15 as well as the base
$14,000 post-institution fee.
    The Office proposes to maintain these two claim thresholds - one for
petitions (up to 20 claims) and the other for the post-institution
trials (up to 15 claims) - because it anticipates that it will not
institute review of 25 percent of claims for which review is requested.
The Office bases this approach on its analysis of the initial inter
partes reexaminations filed after September 15, 2011, as well as the
new opportunity for patent owners to file a response to the petition
before the Office determines whether and for which claims to institute
review.
    This proposal also considers certain policy factors, such as
fostering innovation through facilitating greater access to the inter
partes review proceedings because certainty of patent rights benefits
the overall IP system.
    Post Grant Review or Covered Business Method Patent Review:


           Table 23 - Post Grant Review or Covered Business Method
                           Patent Review Fee Changes


                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Post Grant Review or Covered      NEW        $12,000    +$12,000    N/A
 Business Method Patent Review               (N/A)      (N/A)       (N/A)
 Request - Up to 20 Claims                   [N/A]      [N/A]       [N/A]
 (Per Claim Fee for Each Claim
 in Excess of 20 is $250)
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 101 


Post Grant Review or Covered      NEW        $18,000    $18,000     N/A
 Business Method Patent Review               (N/A)      (N/A)       (N/A)
 Post Institution Fee - Up to                [N/A]      [N/A]       [N/A]
 15 Claims (Per Claim Fee for
 Each Claim in Excess of
 15 is $550).

    Total Post Grant Review or   *$35,800    $30,000    -$5,800     -16%
     Covered Business Method      (N/A)      (N/A)      (N/A)       (N/A)
     Patent Review Fees (For      [N/A]      [N/A]      [N/A]       [N/A]
     Current Fees, Per Claim
     Fee for Each Claim in
     Excess of 20 is $800)

* For purposes of comparing amounts, where a new fee has been proposed under
 35 U.S.C. 41(d)(2) in the January and February 2012 Proposed Rules, that
 proposed fee (as adjusted by the final rule) is included in the current
 fee column and denoted with (*).


           Table 24 - Post Grant Review or Covered Business Method
                  Patent Review Prospective Cost Information

              Prospective Cost Information                    FY 2013

The Total Post Grant Review cost calculation of $35,800, 77 FR 6879,
 (Feb. 9, 2012) is available for review at
 http://www.uspto.gov/aia_implementation/rin-0651-ac70.pdf. The Office
 estimated that 50 hours of Judge time would be required during review
 and used this as the basis for estimating the cost for the Post Grant
 Review. The IT-related costs are included in the Review Request portion
 of the fee.

               Description           Base cost    Per claim cost

Post Grant Review or Covered         $14,700      >20 = $250
 Business Method Patent
 Review Request - up to 20
 claims.

Post Grant Review or Covered         $21,100      >15 = $550
 Business Method Patent
 Review Post Institution
 Fee - up to 15 claims

    Total Post Grant Review Costs    $35,800      N/A


    Post grant review is a new trial proceeding created by the AIA that
allows the Office to review the patentability of one or more claims in
a patent on any ground that could be raised under 35 U.S.C. 282(b)(2)
and (b)(3) in effect on September 16, 2012. The post grant review
process begins when a third party files a petition within nine months
of the grant of the patent. A post grant review may be instituted upon
a showing that it is more likely than not that at least one challenged
claim is unpatentable or that the petition raises an unsettled legal
question that is important to other patents or patent applications. If
the trial is instituted and not dismissed, the Board will issue a final
determination within one year of institution. This period can be
extended for good cause for up to six months from the date of one year
after instituting the review.
    In February 2012, the Office proposed under 35 U.S.C. 41(d) to set
a single fee for post grant review at a level to recover the entire
cost of conducting the proceeding based on the number of claims under
review, with the entire fee due on filing of the petition. (See Changes
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 102 

To Implement Post-Grant Review Proceedings, 77 FR 7060 (Feb. 9, 2012)).
The Office proposed a base fee of $35,800 for a post grant review of up
to 20 claims. In addition, the Office proposed a structure of
escalating fees for each additional 10 claims. For example, a post
grant review of 51 to 60 claims would cost $89,500 (See 77 FR 7060,
7070).
    On February 7, 2012, the Office submitted to the PPAC a fee
proposed under section 10 setting the fees at the same amount as the
February 2012 proposed rule. In response to stakeholder feedback on the
individual fee levels, alternative post grant review fee structures,
and overall growth rate of the patent operating reserve in the initial
proposal, the Office now proposes to set the post grant review fee at a
level below the Office's cost recovery and to improve the fee payment
structure.
    The Office proposes here to set four separate fees for post grant
review, which the petitioner would pay upon filing a petition for post
grant review. The Office also proposes to return fees for post-
institution services if a review is not instituted. Similarly, the
Office proposes that fees paid for a post-institution review of a large
number of claims be returned if the Office only institutes the review
of a subset of the requested claims. The Office proposes the same
structure and fees apply for covered business method review.
    The Office proposes to set the fee for a post grant review petition
at $12,000 for up to 20 claims. This fee would not be returned or
refunded to the petitioner even if the review is not instituted by the
Office.
    In addition, the Office proposes a per claim fee of $250 for each
claim in excess of 20. This fee would not be returned or refunded to
the petitioner if the review is not instituted, or if the institution
is limited to a subset of the requested claims.
    The USPTO also proposes a post grant review post-institution fee at
$18,000, for post-institution review of up to 15 claims. This fee would
be returned to the petitioner if the Office does not institute a
review.
    Likewise, the Office proposes to set a per claim fee of $550 for
review of each claim in excess of 15 during the post-institution trial.
The entire fee would be returned to the petitioner if the Office does
not institute a review. The excess claims fees would be returned if
review of 15 or fewer claims is instituted. If the Office reviews more
than 15 claims, but fewer than all of the requested claims, it would
return part of the fee for each claim that was not instituted.
    For example, under the proposal here, a party seeking post grant
review of 52 claims would pay $58,350 ($12,000 plus 32 [52 minus 20]
times $250 equals $20,000; plus $18,000 plus 37 [52 minus 15] times
$550 equals $38,350; for a total of $58,350). This amount is 35 percent
less than the petitioner would pay under the February 2012 Proposed
Rule and the initial proposal to PPAC in February 2012. In addition,
under this proposal, if the petitioner requests review of 52 claims,
but the Office only institutes review of 40 claims, then the Office
would return $6,600 (it did not institute review of the 41st through
52nd claims for which review was requested). Alternatively, if a review
is not instituted at all, the Office would return the entire $38,350
for claims over 15, as well as the base $18,000 post-institution fee.
    The Office proposes to maintain two different claim thresholds - one
for petition (up to 20 claims) and the other for the post-institution
trials (up to 15 claims) - because it anticipates that it will not
institute a review of 25 percent of claims for which review is
requested. The Office bases this approach on its analysis of the
initial inter partes reexaminations filed after September 15, 2011, as
well as the new opportunity for patent owners to file a response to the
petition before the Office determines whether and for which claims to
institute review.
    The adjustments proposed here also consider certain policy factors,
such as fostering innovation through facilitating greater access to the
post grant review proceedings because certainty of patent rights
benefits the overall IP system.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 103 

    Pre Grant Publication (PGPub) Fee:


             Table 25 - Pre Grant Publication (PGPub) Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Publication Fee for Early,        $300       $0         -$300       100%
 Voluntary, or Normal             (N/A)      ($0)       (-$300)     (-100%)
 Publication                      [N/A]      [$0]       [-$300]     [-100%]

Publication Fee for               $300       $300       $0          0%
Republication                    (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]


                   Table 26 - Pre Grant Publication (PGPub)
                          Historical Cost Information

     Historical unit cost information        FY 2011    FY 2010    FY 2009

Publication Fee for Early, Voluntary,        $181       $158       $243
 or Normal Publication


    With certain exceptions, each nonprovisional utility and plant
patent application is published 18 months from the earliest filing
date. The fee for this pre-grant publication (PGPub) is paid only after
a patent is granted. If a patent is never granted, the applicant does
not pay the fee for PGPub. Once the Office determines that the
invention claimed in a patent application is patentable, the Office
sends a notice of allowance to the applicant, outlining the patent
application publication fees due, along with the patent issue fee. The
applicant must pay these publication and issue fees three months from
the date of the notice of allowance to avoid abandoning the
application.
    Currently, the PGPub fee is set at $300 and collects over one and a
half times the cost to publish a patent application. The IP system
benefits from publishing patent applications; disclosing information
publicly stimulates research and development, as well as subsequent
commercialization through further development or refinement of an
invention. Therefore, a lower PGPub fee would benefit both the
applicant and innovators in the patent system.
    Given that publishing a patent application 18 months after its
receipt benefits the IP system more than individual applicants, the
Office proposes to reduce the PGPub fee to $0. Reducing this fee also
helps rebalance the fee structure and offsets the proposed increases to
filing, search, and examination fees ($350 increase, less this $300
decrease is a net $50 increase - or 3 percent - to apply for a patent and
publish the application). This proposed change is consistent with the
initial proposal delivered to PPAC on February 7, 2012.
    It should be noted that the PGPub fee for republication of a patent
application (1.18(d)(2)) is not proposed to be adjusted, but will be
set at the existing rate of $300. The Office proposes to keep this fee
at its existing rate for each patent application that must be published
again after a first publication for $0.

(3) Fees To Be Set Above Cost Recovery
    There are two types of fees that the Office proposes to set above
cost recovery that meet the greater than plus or minus 5 percent and 10
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 104 

dollars criteria. The policy factor relevant to setting fees above cost
recovery is fostering innovation. Back-end fees (e.g., issue and
maintenance fees) work in concert with front-end fees. The above-cost,
back-end fees allow the Office to recover the revenue required to
subsidize the cost of entry into the patent and reduce the backlog of
patent applications. A discussion of the rationale for each proposed
change follows.
    Issue Fees:


                         Table 27 - Issue Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Utility Issue Fee                 $1,740     $960       -$780       -45%
                                  ($870)     ($480)     (-$390)     (-45%)
                                  [N/A]      [$240]     [-$630]     [-72%]


               Table 28 - Issue Fee Historical Cost Information

     Historical unit cost information        FY 2011    FY 2010    FY 2009

Utility Issue Fee                            $257       $231       $224


    Once the Office determines that the invention claimed in a patent
application is patentable, the USPTO sends a notice of allowance to the
applicant outlining the patent application publication and patent issue
fees due. The applicant must pay the publication and issue fees three
months from the date of the notice of allowance to avoid abandoning of
the application.
    In setting fees due after completing prosecution at a level higher
than cost, front-end fees can be maintained below cost, thereby
fostering innovation. Currently, the large entity issue fee is set at
$1,740, which is seven times more than the cost of issuing a patent.
This fee recovers revenue, but it also poses a challenge to applicants
at time of allowance. When the issue fee is due, patent owners possess
less information about the value of their invention than they do a few
years later. Lowering issue fees would consequently help inventors
financially at a time when the marketability of their invention is less
certain. Finally, setting the PGPub fee at $0 as discussed above, and
recovering the combined cost of publishing and issuing an application
through only the issue fee benefits small and micro entity innovators.
The 50 percent discount for small entities and 75 percent discount for
micro entities are not available for the publication fee, but are
available for the issue fee. Thus, there are benefits to both the IP
system and the applicant when the issue fees are set at an amount lower
than the current fee amount, but still above cost recovery.
    To both maintain the beneficial aspects of this back-end subsidy
model and realign the balance of the fee structure, the Office proposes
to decrease the large entity issue fee to $960. This amount is about
twice the cost of both publishing an application (which is proposed to
be set below cost at $0) and issuing a patent. This fee adjustment is
over a 50 percent decrease from the amount currently paid for both the
PGPub and issue fees together and is the amount initially proposed in
the fee schedule delivered to the PPAC on February 7, 2012.
    It should be noted that utility issue fees are referenced in this
section to simplify the discussion of the fee rationale; however, the
rationale is applicable to the issue fee changes for design, plant, and
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 105 

reissue fees as outlined in the "USPTO Section 10 Fee Setting - Table
of Patent Fee Changes".
    Maintenance Fees:


                      Table 29 - Maintenance Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Maintenance Fee Due at            $1,130     $1,600     +$470       +42%
 3.5 Years (1st Stage)            ($565)     ($800)     (+$235)     (+42%)
                                  [N/A]      [$400]     [-$165]     [-29%]

Maintenance Fee Due at            $2,850     $3,600     +$750       +26%
 7.5 Years (2nd Stage)            ($1,425)   ($1,800)   (+$375)     (+26%)
                                  [N/A]      [$900]     [-$525]     [-37%]

Maintenance Fee Due at            $4,730     $7,400     +$2,670     +56%
 11.5 Years (3rd Stage)           ($2,365)   ($3,700)   (+$1,335)   (+56%)
                                  [N/A]      [$1,850]   [-$515]     [-22%]


            Table 30 - Maintenance Fee Historical Cost Information

     Historical unit cost information        FY 2011    FY 2010    FY 2009

Maintenance Fee Due at 3.5 Years             .......    $1         $2
 (1st Stage)
Maintenance Fee Due at 7.5 Years             .......    $1         $2
 (2nd Stage)
Maintenance Fee Due at 11.5 Years            .......    $1         $2
 (3rd Stage)

* Beginning in FY 2011, the Office determined that the maintenance fee
 activity was in support of the process application fees activity and its
 associated fees. Therefore, the Office reassigned these costs accordingly,
 and no longer estimates a unit cost for maintenance fee activities.
 Additional information about the methodology for determining the cost of
 performing the Office's activities, including the cost components related
 to respective fees, available at
 http://www.uspto.gov/aia_implementation/fees.jsp#heading-1 in the
 document titled "USPTO Section 10 Fee Setting - Activity-Based Information
 and Costing Methodology."


    Maintenance fees must be paid at defined intervals - 3.5 years, 7.5
years, and 11.5 years - after the Office grants a utility patent in
order to keep the patent in force. Maintaining a patent costs the
Office very little. However, maintenance fees benefit the Office and
the patent system by generating revenue that permits the Office to keep
front-end patent prosecution fees below cost and to subsidize the cost
of prosecution for small and micro entity innovators.
    Additionally, maintenance fees will be paid only by patent owners
who believe the value of their patent is much higher than this fee for
renewing these patent rights, thus when not renewed the subject matter
of the patent can be utilized freely. On this score, setting early
maintenance fees lower than later maintenance fees mitigates
uncertainty associated with the value of the patent. As the value
becomes more certain over time, the maintenance fee should (and does)
increase, because patent owners have more information about the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 106 

commercial value of the patented invention and can more readily decide
whether the benefit of a patent outweighs the cost of the fee. For
example, when a patent holder pays the first stage maintenance fee at
3.5 years, the holder has less information about the commercial value
of the patent than when the holder pays the third stage maintenance fee
at 11.5 years.
    Therefore, under a progressively higher maintenance fee schedule, a
patent holder is positioned to perform an individual cost-benefit
analysis to determine if the patent is at least as valuable as the
maintenance fee payment. When the patent holder determines the patent
benefit (value) outweighs the cost (maintenance fee), the holder will
likely continue to maintain the patent. Conversely, when the patent
holder determines that the benefit is less than the cost, the holder
likely will not maintain the patent to full term. When the patent
expires, the subject matter of the patent is no longer held with
exclusive patent rights and subsequent stakeholders may utilize the
idea from the public domain and work to extend its innovation or
commercialization. More information on the economic costs and benefits
of patent renewal can be found in the rulemaking Regulatory Impact
Analysis, which is available for review at
http://www.uspto.gov/aia_implementation/fees.jsp.
    The Office proposes to increase the first, second, and third stage
maintenance fees to $1,600, $3,600, and $7,400, respectively. This
increase is commensurate with the subsidies offered for prosecution of
a patent application and aligns with the fee setting strategy of
fostering innovation by setting front-end fees below cost. The increase
also ensures the USPTO has sufficient aggregate revenue to recover the
aggregate cost of operations and implement goals and objectives.
    On February 7, 2012, the Office delivered to the PPAC proposed fees
of $1,600, $3,600, and $7,600 for the first, second, and third stage
maintenance fees respectively. In response to stakeholder feedback on
both the individual fee levels and the growth rate of the patent
operating reserve, the Office now proposes to decrease the third stage
maintenance fee to $7,400 while maintaining the first and second stage
maintenance fees at the rates proposed to the PPAC.

(4) Fees That Are Not Set Using Cost Data as an Indicator
    Fees in this category include those proposed fees for which the
USPTO does not typically maintain historical cost information separate
from that included in the average overall cost of activities during
patent prosecution or did not refer to cost information for setting the
particular fee. Instead, the Office evaluates the policy factors
described in Rulemaking Goals and Strategies, Part III above, to inform
fee setting. Some of these fees are based on the size and complexity of
an application and help the Office to effectively administer the patent
system by encouraging applicants to engage in certain activities.
Setting fees at particular levels can: (1) Encourage the submission of
applications or other actions which lead to more efficient processing
where examiners can provide, and applicants can receive, prompt,
quality interim and final decisions; (2) encourage the prompt
conclusion of prosecuting an application, resulting in pendency
reduction and the faster dissemination of patented information; and (3)
help recover costs for activities that strain the patent system.
    There are six types of fees in this category. A discussion of the
rationale for each proposed change follows.
    Extensions of Time Fees:


                   Table 31 - Extensions of Time Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 107 

                                  entity     entity     entity      entity

Extensions for Response           $150       $200       +$50        +33%
 within 1st Month                 ($75)      ($100)     [+$25]      (+33%)
                                  [N/A]      [$50]      [-$25]      [-33%]

Extensions for Response           $560       $600       +$40        +7%
 within 2nd Month                 ($280)     ($300)     [+$20]      (+7%)
                                  [N/A]      [$150]     [-$130]     [-46%]

Extensions for Response           $1,270     $1,400     +$130       +10%
 within 3rd Month                 ($635)     ($700)     [+$65]      (+10%)
                                  [N/A]      [$350]     [-$285]     [-45%]

Extensions for Response           $1,980     $2,200     +$220       +11%
 within 4th Month                 ($990)     ($1,100)   [+$110]     (+11%)
                                  [N/A]      [$550]     [-$440]     [-44%]

Extensions for Response           $2,690     $2,000     +$310       +12%
 within 5th Month                 ($1,345)   ($1,500)   [+$155]     (+12%)
                                  [N/A]      [$750]     [-$595]     [-44%]


    If an applicant must reply within a non-statutory or shortened
statutory time period, the applicant can extend the reply time period
by filing a petition for an extension of time and paying the requisite
fee. Extensions of time may be automatically authorized at the time an
application is filed or requested as needed during prosecution. The
USPTO proposes to increase these fees to facilitate an efficient and
prompt conclusion of application processing, which benefits the
Office's compact prosecution initiatives and reduces patent pendency.
The fees proposed in this rulemaking are the same as those included in
the proposal delivered to the PPAC on February 7, 2012.
    Application Size Fees:


                    Table 32 - Application Size Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Application Size Fee - For each   $310       $400       +$90        +29%
 Additional 50 Sheets that        ($155)     ($200)     (+$45)      (+29%)
 Exceed 100 Sheets                [N/A]      [$100]     [-$55]      [-35%]


    Currently, the Office charges an additional fee for any application
where the specification and drawings together exceed 100 sheets of
paper. The application size fee applies for each additional 50 sheets
of paper or fraction thereof. The USPTO proposes to increase the
application size fee to facilitate an efficient and compact application
examination process, which benefits the applicant and the effective
administration of patent prosecution. Succinct applications facilitate
faster examination with an expectation of fewer errors. The fees
proposed in this rulemaking are the same as those included in the
proposal delivered to the PPAC on February 7, 2012.
    Excess Claims:


                     Table 33 - Excess Claims Fee Changes

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 108 

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Independent Claims in             $250       $420       +$170       +68%
 Excess of 3                      ($125)     ($210)     (+$85)      (+68%)
                                  [N/A]      [$105]     [-$20]      [-16%]

Claims in Excess of 20            $60        $80        +$20        +33%
                                  ($30)      ($40)      (+$10)      (+33%)
                                  [N/A]      [$20]      [-$10]      [-33%]

Multiple Dependent Claim          $450       $780       +$330       +73%
                                  ($225)     ($390)     (+$165)     (+73%)
                                  [N/A]      [$195]     [-$30]      [-13%]


    Currently, the Office charges a fee for filing, or later presenting
at any other time, each independent claim in excess of 3, as well as
each claim (whether dependent or independent) in excess of 20. In
addition, any original application that is filed with, or amended to
include, multiple dependent claims must pay the multiple dependent
claim fee. Generally, a multiple dependent claim is a dependent claim
which refers back in the alternative to more than one preceding independent
or dependent claim.
    The Office proposes to increase claim fees to facilitate an
efficient and compact application examination process, which benefits
the applicant and the USPTO through more effective administration of
patent prosecution. Filing applications with the most prudent number of
claims will enable prompt conclusion of application processing, because
more succinct applications facilitate faster examination with an
expectation of fewer errors.
    On February 7, 2012, the Office delivered to the PPAC proposed
excess claims fee amounts higher than those proposed here.
Specifically, the Office proposed setting the fee for independent
claims in excess of three to $460, for claims in excess of 20 to $100,
and for multiple dependent claims to $860. In response to stakeholder
feedback about the amount of the increases to excess claims and the
growth rate of the patent operating reserve, the Office now proposes to
set fees for independent claims in excess of three to $420, for claims
in excess of 20 to $80, and for multiple dependent claims to $780. The
Office proposes to increase the excess claims fees to facilitate an
efficient and compact application examination process, which benefits
the applicant and the effective administration of the patent system.
Succinct applications with a prudent number of unambiguous claims
facilitate faster examination with an expectation of fewer errors
during examination.
    Correct inventorship after first action on the merits (New):


                    Table 34 - Correct Inventorship After
                    First Action on the Merits Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Correct Inventorship After        N/A        $1,000     +$1,000     N/A
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 109 

 First Action on the Merits       (N/A)      ($500)     (+$500)     (N/A)
 (NEW)                            [N/A]      [$250]     [+$250]     [N/A]


    The Office needs to know who the inventors are to prepare patent
application publications, conduct examination under 35 U.S.C. 102 and
103, and prevent double patenting. Changes to inventorship (e.g.,
adding previously unnamed persons as inventors or removing persons
previously named as inventors) cause additional work for the Office.
For instance, the Office may need to repeat prior art searches and/or
reconsider patentability under sections 102 and 103, as well as
reconsider the possibility of double patenting.
    On February 7, 2012, the Office delivered to the PPAC two proposed
fees: (1) a $3,000 fee to file an oath and declaration up to the notice
of allowance; and (2) a $1,700 fee to correct inventorship during
examination where it had not been provided before examination started.
In response to stakeholder feedback, the Office now proposes to
eliminate the $3,000 filing fee and reduce the $1,700 inventorship
correction fee to $1,000. The inventorship correction fee is proposed
to encourage reasonable diligence and a bona fide effort to ascertain
the actual inventorship as early as possible and to provide that
information to the Office prior to examination. The fee will also help
offset the costs incurred by the Office when there is a change in
inventorship.
    The Office appreciates that inventorship may change as the result
of a restriction requirement by the Office. Where inventorship changes
as a result of a restriction requirement, the applicant should file a
request to correct inventorship promptly (prior to first Office action
on the merits) to avoid this fee for requests to correct inventorship
in an application after the first Office action on the merits.
Otherwise, the Office will incur the costs during examination related
to the change in inventorship. Accordingly, the fee for requests to
correct inventorship in an application after the first Office action on
the merits fee would be required.
    Derivation proceeding (New):


                 Table 35 - Derivation Proceeding Fee Changes

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Derivation petition fee (NEW)    *$400       $400       $0          0%
                                  (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]

Derivation institution and        N/A        $0         $0          N/A
 trial fee (NEW)                  (N/A)      ($0)       ($0)        (N/A)
                                  [N/A]      [$0]       [$0]        [N/A]

* For purposes of comparing amounts, where a new fee has been proposed under
35 U.S.C. 41(d)(2) in the January and February 2012 Proposed Rules, that
proposed fee is included in the current fee column and denoted with (*).


    A derivation proceeding is a new trial proceeding conducted at the
BPAI to determine whether an inventor named in an earlier application
derived the claimed invention from an inventor named in the
petitioner's application; and whether the earlier application claiming
such invention was authorized. An applicant subject to the first-
inventor-to-file provisions may file a petition to institute a
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 110 

derivation proceeding only within one year of the first publication of
a claim to an invention that is the same or substantially the same as
the earlier application's claim to the invention. The petition must be
supported by substantial evidence that the claimed invention was
derived from an inventor named in the petitioner's application.
    On February 10, 2012, the Office proposed under 35 U.S.C. 41(d)
procedures for derivation proceedings before the BPAI. (Changes To
Implement Derivation Proceedings, 77 FR 7028 (Feb. 10, 2012)). In that
action, the Office proposed the $400 derivation petition fee. On
February 7, 2012, the Office provided an initial fee proposal to the
PPAC with the same fee, $400. Here, the Office proposes to retain the
$400 derivation petition fee and to set an additional fee of $0 for a
derivation institution and trial.
    The Office estimates the $400 petition fee will recover its cost to
process a petition for derivation. The Office also estimates that its
costs for determining whether to institute and conducting a trial are
approximately $40,000. However, the Office does not propose to recover
the full cost of instituting and conducting the trial from the
petitioner. Instead, by charging a $0 trial fee, the Office seeks to
promote issuing patents to the actual inventor and to discourage a
situation where another had derived the invention from the actual
inventor and sought a patent on the derived invention. As there is no
requirement for fees in derivation proceedings under the AIA, the
Office has flexibility in setting the timing and amount of the fee(s)
that may be required for derivation.
    Assignments Submitted Electronically Fee (New):


                    Table 36 - Fee Changes for Assignments
                           Submitted Electronically

                                  Current    Proposed   Dollar      Percent
                                  fees       fees       change      change

                Fee description   Large      Large      Large       Large
                                  (small)    (small)    (small)     (small)
                                  [micro]    [micro]    [micro]     [micro]
                                  entity     entity     entity      entity

Assignments Submitted             $40        $0         -$40        -100%
 Electronically (NEW)             (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]

Assignments Not Submitted         $40        $40        $0          0%
 Electronically (NEW)             (N/A)      (N/A)      (N/A)       (N/A)
                                  [N/A]      [N/A]      [N/A]       [N/A]

Note: The current fee amount is $40 for submitting an assignment to the
 Office, regardless of method of submission.


    Ownership of a patent gives the patent owner the right to exclude
others from making, using, offering for sale, selling, or importing
into the U.S. the invention claimed in a patent. Patent law provides
for the transfer or sale of a patent, or of an application for patent,
by an instrument in writing (i.e., an assignment). When executing an
assignment, the patent owner may assign (e.g., transfer) the total or a
percentage of interest, rights, and title of a patent to an assignee.
When there is a completed assignment, the assignee becomes the owner of
the patent and has the same rights of the original patentee. The Office
records assignments sent to it, and the recording serves as public
notice.
    Assignment records are an important part of the business cycle -
markets operate most efficiently when buyers and sellers can locate one
another. If assignment records are incomplete, the business and
research and development cycles could be disrupted because buyers face
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 111 

difficulty finding sellers, and potential innovators may not have a
thorough understanding of the marketplace they are considering
entering. The Office recognizes that complete patent assignment data
disseminated to the public provides certainty in the technology space
and helps to encourage innovation.
    Therefore, more complete patent assignment records would produce a
number of benefits for the public and IP stakeholders. The public would
have a more comprehensive understanding of which entities hold and
maintain U.S. patent rights. Patenting inventors and companies would
better understand the competitive environment in which they are
operating, allowing them to better allocate their own research and
development resources, more efficiently obtain licenses, and accurately
value patent portfolios.
    Currently, a patent owner must pay $40 to record the assignment of
patent rights. During FY 2011 approximately 90 percent of assignments
were submitted electronically. This fee could be viewed as a barrier to
those involved in patent and application assignments. Given that patent
applications, patents, and the completeness of the patent record play
an important role in the markets for innovation and the long-term
health of the U.S. economy, the Office proposes to set two fees for
recording an assignment. When an assignment is submitted using the
Office's electronic system, the Office proposes to set the fee at $0.
When an assignment is sent to the Office in a manner other than using
the Office's electronic system, the Office proposes to set the fee at
the current amount of $40. Providing these patent prosecution options
for applicants benefits a majority of owners who typically record
assignments. In addition, the patent prosecution options for applicants
also benefit the overall IP system by reducing the financial barrier
for recording patent ownership information and facilitating a more
complete record of assigned applications and grants.

C. Fees With No Proposed Changes (or Changes of Less Than Plus or Minus
5 Percent and 10 Dollars)

    The Office proposes to set all other categories of fees not
discussed above at existing fee rates or at adjusted slightly fees
(i.e., less than plus or minus 5 percent and 10 dollars) to be rounded
to the nearest ten dollars by applying standard arithmetic rules. The
resulting proposed fee amounts will be convenient to patent users and
permit the Office to set micro entity fees at whole dollar amounts when
applying the fee reduction. These other fees, such as those related to
disclosing patent information to the public (excluding the PGPub fee)
and patent attorney/agent enrollment and discipline fees, are already
set at appropriate levels to achieve the Office's goals expressed in
this rulemaking.

D. Overall Comparison of the Proposed Patent Fee Schedule to the
Current Fees

    Overall, the total amount of fees under this proposed rule that
would be added together to obtain a basic patent decreases when
compared to the total fees paid for the same services under the current
fee schedule. This decrease is substantial (22 percent) from
application to issue (see Table 37). When additional processing options
such as RCEs are included, the decrease becomes smaller after the first
RCE (11 percent) and eventually begins increasing after a second RCE (6
percent) (see Tables 38 and 39). The staging of appeal fees proposed in
this rule offers similar decreases in the total fees paid when filing a
notice of appeal. Under the proposed fee schedule, the total fees for
both filing an appeal and to obtain a basic patent decrease from the
current fee schedule (21 percent) (see Table 40). If the appeal is
forwarded to the BPAI for a decision after the Examiner's Answer, then
the total fees increase (23 percent) (see Table 40). Once an applicant
has obtained a basic patent, the cost to maintain it remains
substantially the same through the second stage maintenance fee.
However, at the third stage maintenance fee, once the patent holder has
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 112 

more information on the value of the patent, the total fees increase
(26 percent) (see Table 41). This structure reflects the key policy
considerations for fostering innovation, facilitating effective
administration of the patent system, and offering patent
prosecution options to applicants. Additional details about each of
these payment structures are outlined below. To simplify the comparison
among fee schedules, the time value of money has not been estimated in
the examples below.

1. Routine Application Processing Fees and First RCE Fees Decrease

    The total amount paid for routine fees to obtain a basic patent
(i.e., filing, search, examination, publication, and issue) under the
proposed fee structure will decrease compared to the current fee
structure, as shown in Table 37. This overall decrease is possible
because the decrease in pre-grant patent application publication and
issue fees from $2,040 to $960 (a decrease of $1,080) more than offsets
the increase in large entity filing, search, and examination fees from
$1,250 to $1,600 (an increase of $350). The net effect is a $730 (or 22
percent) decrease in total fees paid under the proposed fee structure
when compared to the current fee structure. This fosters innovation by
reducing the cost to obtain a basic successful patent.


         Table 37 - Comparison of Proposed Patent Fee Schedule to the
                 Current Patent Fees From Filing Through Issue

                                                Proposed on    Proposed in
     Fee                           Current      2/7/2012       this NPRM

Filing, Search, and Examination    $1,250       $1,840         $1,600
Pre-Grant Publication and Issue     2,040          960            960

     Total                          3,290        2,800          2,560


    When an application for a first RCE is submitted to complete
prosecution, the total fees beginning with filing to obtain a basic
patent continue to remain less than would be paid under the current fee
schedule. This overall decrease continues to be possible because of the
decrease in pre-grant patent application publication and issue fees.
The net effect of the proposed fee schedule, including a first RCE, is
a $460 (or 11 percent) decrease in total fees paid under the proposed
fee structure when compared to the current fee structure, as shown in
Table 38.


           Table 38 - Comparison of the Proposed Patent Fees to the
          Current Patent Fees From Filing Through Issue with One RCE


                                                Proposed on    Proposed in
     Fee                           Current      2/7/2012       this NPRM

Filing, Search, and Examination    $1,250       $1,840         $1,600
First RCE                             930        1,700          1,200
Pre-Grant Publication and Issue     2,040          960            960

     Total                          4,220        4,500          3,760


    When adding a second RCE to prosecution, the total fees increase
slightly, by $310 (or 6 percent), as shown in Table 39. However, the
proposed total fees from applicant filing are $740 (or 12 percent) less
than the total fees included in the proposal delivered to PPAC on
February 7, 2012.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 113 



           Table 39 - Comparison of the Proposed Patent Fees to the
                       Current Patent Fees with Two RCEs

                                                Proposed on    Proposed in
     Fee                           Current      2/7/2012       this NPRM

Filing, Search, and Examination    $1,250       $1,840         $1,600
First RCE                             930        1,700          1,200
Second and subsequent RCE             930        1,700          1,700
Pre-Grant Publication and Issue     2,040          960            960

     Total                          5,150        6,200          5,460


2. Initial Appeals Fees Decrease

    Instead of filing an RCE, an applicant may choose to file a notice
of appeal. When adding the notice of appeal and the briefing filing
fees (allowing the applicant to receive the Examiner's Answer) to the
fees to obtain a basic patent, the total fees from application filing
decrease by $970 (or 21 percent) from the current total fees. If the
prosecution issues are not resolved prior to forwarding an appeal to
the Board, the fees increase because the Office proposes to recover
more of the appeals cost. In that instance, fees will increase by
$1,030 (or 23 percent) more than would be paid today for an appeal
decision. However, under this new proposal, the staging of fees allows
the applicant to pay less than under the current fee schedule in
situations where an application is either allowed or prosecution is
reopened before being forwarded to the Board. The proposed total fees
from applicant filing are $1,240 (or 18 percent) less than the total
fees included in the proposal that the Office delivered to PPAC on
February 7, 2012.


            Table 40 - Comparison of the Proposed Patent Fees and
                      Current Patent Fees, with an Appeal

                                                Proposed on    Proposed in
     Fee                           Current      2/7/2012       this NPRM

Filing, Search, and Examination    $1,250       $1,840         $1,600
Notice of Appeal and                1,240        1,500          1,000
 Filing a Brief
Pre-Grant Publication and Issue     2,040          960            960

     Subtotal for Fees paid
     before Examiner's Answer       4,530        4,300          3,560

Appeal Forwarding Fee              NEW           2,500          2,000

     Subtotal for Fees if Appeal
     is Forwarded to Board for
     Decision                       4,530        6,800          5,560


3. Maintenance Fees Increase

    When a patent holder begins maintaining an issued patent, he or she
will pay $260, (or 6 percent) less than is paid under the current fee
schedule from initial application filing through the first stage. To
maintain the patent through second stage, a patent holder will pay $490
(large entity), or 7 percent more than is paid today under the current
fee schedule. When a patent is maintained for full term, a patent
holder will pay $3,160 (or 26 percent) more than would be paid under
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 114 

the current fee schedule. The most significant maintenance fee increase
occurs after holding a patent for 11.5 years, which is when a patent
holder will be in a better position to determine whether the benefit
(value) from the patent exceeds the cost (maintenance fee) to maintain
the patent.


      Table 41 - Comparison of the Proposed Patent Fee Schedules to the
                         Current Fees, Life of Patent

                                                Proposed on    Proposed in
     Fee                           Current      2/7/2012       this NPRM

Filing, Search, and Examination    $1,250       $1,840         $1,600
Pre-Grant Publication and Issue     2,040          960            960

     Total Through Issue            3,290        2,800          2,560

First Stage Maintenance -           1,130        1,600          1,600
 3.5 years

        Cumulative Subtotal         4,420        4,400          4,160

Second Stage Maintenance -          2,850        3,600          3,600
 7.5 years

        Cumulative Subtotal         7,270        8,000          7,760

Third Stage Maintenance -           4,730        7,600          7,400
 11.5 years

    Total Fees for Life of Patent  12,000       15,600         15,160


VI. Discussion of Specific Rules

    Title 37 of the Code of Federal Regulations, Parts 1 and 41, are
proposed to be amended as follows:
    Section 1.16: Sections 1.16(a)(1), (b)(1), (c)(1), (d), (e)(1), (f)
through (s) would be amended to set forth the application filing,
excess claims, search, examination, and application size fees for
patent applications filed as authorized under section 10 of the Act.
This section would no longer distinguish between applications filed
before or after December 8, 2004, because section 11 of the AIA no
longer makes the distinction. The changes to the fee amounts indicated
in section 1.16 are shown in Table 42.


                                   Table 42

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section  Fee code        Description     Large Small  Large Small Micro

1.16(a)(1)   1011/2011/3011  Basic Filing    380   190    280   140   70
                             Fee - Utility
1.16(a)(1)             4011  Basic Filing    n/a    95    n/a    70   n/a
                             Fee - Utility
                             (electronic
                             filing for
                             small
                             entities).
1.16(b)(1)   1012/2012/3012  Basic Filing    250   125    180    90    45
                             Fee - Design
1.16(b)(1)   1017/2017/3017  Basic Filing    250   125    180    90    45
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 115 

                             Fee - Design
                             (CPA)
1.16(c)(1)   1013/2013/3013  Basic Filing    250   125    180    90    45
                             Fee - Plant
1.16(d)      1005/2005/3005  Provisional     250   125    260   130    65
                             Application
                             Filing Fee
1.16(e)(1)   1014/2014/3014  Basic Filing    380   190    280   140    70
                             Fee - Reissue
1.16(e)(1)   1019/2019/3019  Basic Filing    380   190    280   140    70
                             Fee - Reissue
                             (CPA)
1.16(f)      1051/2051/3051  Surcharge -     130    65    140    70    35
                             Late Filing
                             Fee, Search
                             Fee, Examination
                             Fee or Oath or
                             Declaration
1.16(g)      1052/2052/3052  Surcharge -      50    25     60    30    15
                             Late Provisional
                             Filing Fee or
                             cover sheet
1.16(h)      1201/2201/3201  Independent     250   125    420   210   105
                             Claims in
                             Excess of
                             Three
1.16(h)      1204/2204/3204  Reissue         250   125    420   210   105
                             Independent
                             Claims in
                             Excess of
                             Three
1.16(i)      1202/2202/3202  Claims in        60    30     80    40    20
                             Excess of
                             20
1.16(i)      1205/2205/3205  Reissue          60    30     80    40    20
                             Claims in
                             Excess of 20
1.16(j)      1203/2203/3203  Multiple        450   225    780   390   195
                             Dependent
                             Claim
1.16(k)      1111/2111/3111  Utility         620   310    600   300   150
                             Search
                             Fee
1.16(l)      1112/2112/3112  Design          120    60    120    60    30
                             Search
                             Fee
1.16(m)      1113/2113/3113  Plant           380   190    380   190    95
                             Search
                             Fee
1.16(n)      1114/2114/3114  Reissue         620   310    600   300   150
                             Search
                             Fee
1.16(o)      1311/2311/3311  Utility         250   125    720   360   180
                             Examination
                             Fee
1.16(p)      1312/2312/3312  Design          160    80    460   230   115
                             Examination
                             Fee
1.16(q)      1313/2313/3313  Plant           200   100    580   290   145
                             Examination
                             Fee
1.16(r)      1314/2314/3314  Reissue         750   375  2,160 1,080   540
                             Examination
                             Fee
1.16(s)      1081/2081/3081  Utility         310   155    400   200   100
                             Application
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 116 

                             Size Fee -
                             For Each
                             Additional
                             50 Sheets
                             That Exceeds
                             100 Sheets
1.16(s)      1082/2082/3082  Design          310   155    400   200   100
                             Application
                             Size Fee -
                             For Each
                             Additional
                             50 Sheets
                             That Exceeds
                             100 Sheets
1.16(s)      1083/2083/3083  Plant           310   155    400   200   100
                             Application
                             Size Fee -
                             For Each
                             Additional
                             50 Sheets
                             That Exceeds
                             100 Sheets
1.16(s)      1084/2084/3084  Reissue         310   155    400   200   100
                             Application
                             Size Fee -
                             For Each
                             Additional
                             50 Sheets
                             That Exceeds
                             100 Sheets
1.16(s)      1085/2085/3085  Provisional     310   155    400   200   100
                             Application
                             Size Fee -
                             For Each
                             Additional
                             50 Sheets
                             That Exceeds
                             100 Sheets


    Section 1.17: Sections 1.17(a)(1) through (a)(5), (c), (e) through
(t) would be amended and (d) and (e) would be added to set forth the
application processing fees as authorized under section 10 of the Act.
The changes to the fee amounts indicated in section 1.17 are shown in
Table 43.


                                   Table 43

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section  Fee code        Description     Large Small  Large Small Micro

1.17(a)(1)   1251/2251/3251  Extension for   150    75    200   100    50
                             Response
                             Within
                             First Month.
1.17(a)(2)   1252/2252/3252  Extension for   560   280    600   300   150
                             Response
                             Within
                             Second Month.
1.17(a)(3)   1253/2253/3253  Extension for 1,270   635  1,400   700   350
                             Response
                             Within
                             Third Month.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 117 

1.17(a)(4)   1254/2254/3254  Extension for 1,980   990  2,200 1,100   550
                             Response
                             Within
                             Fourth Month.
1.17(a)(5)   1255/2255/3255  Extension for 2,690 1,345  3,000 1,500   750
                             Response
                             Within
                             Fifth Month.
1.17(c)      1817/2817/3817  Request for   4,800 2,400  4,000 2,000 1,000
                             Prioritized
                             Examination.
1.17(d)                 NEW  Correct         NEW   NEW  1,000   500   250
                             Inventorship
                             After First
                             Action on
                             Merits.
1.17(e)      1801/2801/3801  Request for     930   465  1,200   600   300
                             Continued
                             Examination
                             (RCE) (1st
                             request)
                             (see 37 CFR
                             1.114).
1.17(e)                 NEW  Request for     NEW   NEW  1,700   850   425
                             Continued
                             Examination
                             (RCE)
                             (2nd and
                             subsequent
                             request).
1.17(f)      1462/2462/3462  Petitions       400   n/a    400   200   100
                             Requiring
                             the
                             Petition
                             Fee Set
                             Forth in
                             37 CFR
                             1.17(f)
                             (Group I).
1.17(g)      1463/2463/3463  Petitions       200   n/a    200   100    50
                             Requiring
                             the
                             Petition
                             Fee Set
                             Forth in
                             37 CFR
                             1.17(g)
                             (Group II).
1.17(h)      1464/2464/3464  Petitions       130   n/a    140    70    35
                             Requiring
                             the
                             Petition
                             Fee Set
                             Forth in
                             37 CFR
                             1.17(h)
                             (Group III).
1.17(i)      1053/2053/3053  Non-English     130   n/a    140    70    35
                             Specification.
1.17(i)                1808  Processing      130   n/a    130   n/a   n/a
                             Fee,
                             Except in
                             Provisional
                             Applications.
1.17(i)                1803  Request for     130   n/a    130   n/a   n/a
                             Voluntary
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 118 

                             Publication or
                             Republication.
1.17(k)                1802  Request for     900   n/a    900   450   225
                             Expedited
                             Examination
                             of a Design
                             Application.
1.17(l)      1452/2452/3452  Petition to     620   310    640   320   160
                             Revive
                             Unavoidably
                             Abandoned
                             Application.
1.17(m)      1453/2453/3453  Petition to   1,860   930  1,900   950   475
                             Revive
                             Unintentionally
                             Abandoned
                             Application.
1.17(p)      1806/2806/3806  Submission      180   n/a    180    90    45
                             of an
                             Information
                             Disclosure
                             Statement.
1.17(q)                1807  Processing       50   n/a     50   n/a   n/a
                             Fee for
                             Provisional
                             Applications.
1.17(r)      1809/2809/3809  Filing a        810   405    840   420   210
                             Submission
                             After Final
                             Rejection
                             (see 37 CFR
                             1.129(a)).
1.17(s)      1810/2810/3810  For Each        810   405    840   420   210
                             Additional
                             Invention
                             to be
                             Examined
                             (see 37 CFR
                             1.129(b)).
1.17(t)      1454/2454/3454  Acceptance    1,410   n/a  1,420   710   355
                             of an
                             Unintentionally
                             Delayed Claim
                             for Priority,
                             or for Filing
                             a Request for
                             the Restoration
                             of the Right of
                             Priority.


§ 1.17  Patent application and reexamination processing fees.

    (d) For correction of inventorship in an application after the
first Office action on the merits:

By a micro entity (§  1.29(a)).      $250.00
By a small entity (§  1.27(a)).      $500.00
By other than a small
or micro entity.                   $1,000.00


§ 1.17  Patent application and reexamination processing fees.

    (e) To request continued examination pursuant to § 1.114:
    (1) For filing a first request for continued examination pursuant
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 119 

to § 1.114 in an application:

By a micro entity.                   $300.00
By a small entity (§ 1.27(a)
 of this title).                     $600.00
By other than a small or
 micro entity                      $1,200.00

    (2) For filing a second or subsequent request for continued
examination pursuant to § 1.114 in an application:

By a micro entity                    $425.00
By a small entity
 (§ 1.27(a) of the title)            $850.00
By other than a small or
 micro entity                      $1,700.00

    Section 1.18: Sections 1.18(a) through (f) would be amended to set
forth the patent issue fees as authorized under section 10 of the Act.
The changes to the fee amounts indicated in § 1.18 are shown in Table 44.


                                   Table 44

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section  Fee code        Description     Large Small  Large Small Micro

1.18(a)      1501/2501/3501  Utility         1,740   870    960   480   240
                             Issue Fee
1.18(a)      1511/2511/3511  Reissue         1,740   870    960   480   240
                             Issue Fee
1.18(b)      1502/2502/3502  Design            990   495    560   280   140
                             Issue Fee
1.18(c)      1503/2503/3503  Plant           1,370   685    760   380   190
                             Issue Fee
1.18(d)(1)             1504  Publication       300   n/a      0   n/a   n/a
                             Fee for
                             Early,
                             Voluntary,
                             or Normal
                             Publication.
1.18(d)(2)             1505  Publication       300   n/a    300   n/a   n/a
                             Fee for
                             Republication.
1.18(e)                1455  Filing an         200   n/a    200   n/a   n/a
                             Application
                             for
                             Patent Term
                             Adjustment.
1.18(f)                1456  Request for       400   n/a    400   n/a   n/a
                             Reinstatement of
                             Term Reduced.


§ 1.18  Patent post allowance (including issue) fees.

(d)(1) Publication fee                         $0.00
(d)(2) Republication fee (§ 1.221(a))        $300.00


    Section 1.19: Sections 1.19(a)(1) through (a)(3), (b)(1)(i)(A)
through (b)(1)(i)(D), (b)(1)(ii)(A), (b)(1)(ii)(B), (b)(1)(ii)(C),
(b)(2)(i)(A), (b)(2)(i)(B), (b)(2)(ii), (b)(3), (b)(4), and (c) through
(g) would be amended to set forth the patent document supply fees as
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 120 

authorized under section 10 of the Act. The changes to the fee amounts
set are indicated in § 1.19 are shown in Table 45.


                                   Table 45

                                              Current
                                               fees          Proposed
                                              with CPI         fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.19(a)(1)         8001   Printed Copy of       3   n/a      3   n/a   n/a
                          Compact Disk or
                          Other Electronic
                          Form (e.g.,
                          compact disks
                          stored in
                          artifact folder),
                          Other Than as
                          Available in
                          1.19(b)(1);
                          First Physical
                          Electronic
                          Medium in a
                          Single Order.
1.19(b)(2)(i)(B)   8042   Additional Fee      15    n/a     15   n/a   n/a
                          for Each
                          Continuing Copy
                          of Patent-
                          Related File
                          Wrapper Contents
                          as Specified in
                          1.19(b)(2)(i)(A).
1.19(b)(2)(ii)     8043   Copy of Patent-     55    n/a      3   n/a   n/a
                          Patent w/o
                          Color,
                          Delivery by
                          USPS, USPTO
                          Box, or
                          Electronic
                          Means.
1.19(a)(2)         8003   Printed Copy of      15   n/a     15   n/a   n/a
                          Plant Patent
                          in Color.
1.19(a)(3)         8004  Color Copy of         25   n/a     25   n/a   n/a
                          Patent (other
                          than plant
                          patent) or
                          SIR
                          Containing
                          a Color
                          Drawing.
1.19(a)(1)         8005   Patent                3   n/a      3   n/a   n/a
                          Application
                          Publication
                          (PAP).
1.19(b)(1)(i)(A)   8007   Copy of Patent       20   n/a     20   n/a   n/a
                          Application
                          as Filed.
1.19(b)(1)(i)(B)   8008   Copy of Patent-     200   n/a    200   n/a   n/a
                          Related File
                          Wrapper and
                          Contents
                          of 400 or
                          Fewer Pages,
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 121 

                          if Provided
                          on Paper.
1.19(b)(1)(i)(C)   8009   Additional Fee       40   n/a     40   n/a   n/a
                          for Each
                          Additional 100
                          Pages of Patent-
                          Related File
                          Wrapper and
                          (Paper) Contents,
                          or Portion
                          Thereof.
1.19(b)(1)(i)(D)   8010   Individual           25   n/a     25   n/a   n/a
                          Application
                          Documents, Other
                          Than Application
                          as Filed, per
                          Document.
1.19(b)(1)(ii)(A)  8007   Copy of Patent       20   n/a     20   n/a   n/a
                          Application
                          as Filed.
1.19(b)(1)(ii)(B)  8011   Copy of Patent-      55   n/a     55   n/a   n/a
                          Related File
                          Wrapper and
                          Contents if
                          Provided
                          Electronically
                          or on a
                          Physical
                          Electronic
                          Medium as
                          Specified in
                          1.19(b)(1)(ii).
1.19(b)(1)(ii)(C)  8012   Additional Fee       15   n/a     15   n/a   n/a
                          for Each
                          Continuing Physical
                          Electronic Medium
                          in Single Order of
                          1.19(b)(1)(ii)(B).
1.19(b)(1)(iii)(A) 8007   Copy of Patent       20   n/a     20   n/a   n/a
                          Application
as Filed.
1.19(b)(1)(iii)(B) 8011   Copy of Patent-      55   n/a     55   n/a   n/a
                          Related File
                          Wrapper and
                          Contents if
                          Provided
                          Electronically
                          or on a Physical
                          Electronic Medium.
1.19(b)(2)(i)(A)   8041   Copy of Patent-      55   n/a     55   n/a   n/a
                          Related File
                          Wrapper Contents
                          That Were
                          Submitted and
                          Are Stored on
                          Compact Disk or
                          Other Electronic
                          Form (e.g.,
                          compact disks
                          stored in
                          artifact folder),
                          Other Than as
                          Available in
                          1.19(b)(1);
                          First Physical
                          Electronic
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 122 

                          Medium in a
                          Single Order.
1.19(b)(2)(i)(B)   8042   Additional Fee      15    n/a     15   n/a   n/a
                          for Each
                          Continuing Copy
                          of Patent-
                          Related File
                          Wrapper Contents
                          as Specified in
                          1.19(b)(2)(i)(A).
1.19(b)(2)(ii)     8043   Copy of Patent-     55    n/a     55   n/a   n/a
                          Related File
                          Wrapper Contents
                          That Were
                          Submitted and are
                          Stored on Compact
                          Disk, or Other
                          Electronic Form,
                          Other Than as
                          Available in
                          1.19(b)(1); If
                          Provided
                          Electronically
                          Other Than on a
                          Physical Electronic
                          Medium, per Order.
1.19(b)(3)         8013   Copy of Office      25    n/a     25   n/a   n/a
                          Records, Except
                          Copies of
                          Applications as
                          Filed.
1.19(b)(4)         8014   For Assignment      25    n/a     25   n/a   n/a
                          Records, Abstract
                          of Title and
                          Certification,
                          per Patent.
1.19(c)            8904   Library Service     50    n/a     50   n/a   n/a
1.19(d)            8015   List of U.S.         3    n/a      3   n/a   n/a
                          Patents and
                          SIRs in Subclass.
1.19(e)            8016   Uncertifidied       10    n/a     10   n/a   n/a
                          Statement re
                          Status of
                          Maintenance
                          Fee Payments.
1.19(f)            8017   Copy of Non-U.S.    25    n/a     25   n/a   n/a
                          Document
1.19(g)            8050   Petitions for  at cost    n/a at cost   n/a   n/a
                          Documents In Form
                          Other Than That
                          Provided By This
                          Part, or In Form
                          Other Than That
                          Generally
                          Provided by
                          Director, to be
                          Decided in
                          Accordance With
                          Merits.


    Section 1.20: Sections 1.20(a), (b), (c)(1) through (c)(4), (c)(6),
(c)(7), (d) through (k) would be amended to set forth the reexamination
excess claims fees, disclaimer fees, and maintenance fees as authorized
under section 10 of the Act. The changes to the fee amounts indicated
in § 1.20 are shown in Table 46.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 123 



                                   Table 46

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.20(a)            1811   Certificate          100   n/a    100   n/a   n/a
                          of Correction.
1.20(b)            1816   Processing Fee       130   n/a    130   n/a   n/a
                          for Correcting
                          Patent.
1.20(c)(1)         1812   Request for        2,520   n/a 15,000 7,500 3,750
                          Ex Parte
                          Reexamination.
1.20(c)(3) 1821/2821/3821 Reexamination        250   125    420   210   105
                          Independent
                          Claims in Excess
                          of Three and
                          also in Excess
                          of the Number
                          of Such Claims
                          in the Patent
                          Under Reexamination.
1.20(c)(4) 1822/2822/3822 Reexamination         60    30     80    40    20
                          Claims in Excess
                          of 20 and Also
                          in Excess of
                          the Number of
                          Claims in the
                          Patent Under
                          Reexamination.
1.20(c)(6)         NEW    Filing a Petition    NEW   NEW  1,940   970   485
                          in a
                          Reexamination
                          Proceeding,
                          Except for Those
                          Specifically
                          Enumerated in
                          § 1.550(i) and
                          1.937(d).
1.20(c)(7)         1812   For a Refused        830   n/a  3,600 1,800   900
                          Request for
                          Ex parte
                          Reexamination
                          Under § 1.510
                          (included in
                          the request
                          for ex parte
                          reexamination fee).
1.20(d)       1814/2814   Statutory            160    80    160   n/a   n/a
                          Disclaimer,
                          Including
                          Terminal
                          Disclaimer.
1.20(e)  1551/2551/3551   Maintenance Fee    1,130   565  1,600   800   400
                          Due at 3.5
                          Years.
1.20(f)  1552/2552/3552   Maintenance Fee    2,850 1,425  3,600 1,800   900
                          Due at 7.5
                          Years.
1.20(g)  1553/2553/3553   Maintenance Fee    4,730 2,365  7,400 3,700 1,850
                          Due at 11.5
                          Years.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 124 

1.20(h)  1554/2554/3554   Maintenance Fee      150    75    160    80    40
                          Surcharge -
                          3.5. Years -
                          Late Payment
                          Within 6
                          Months.
1.20(h)  1555/2555/3555   Maintenance Fee      150    75    160    80    40
                          Surcharge -
                          7.5. Years -
                          Late Payment
                          Within 6
                          Months.
1.20(h)  1556/2556/3556   Maintenance Fee      150    75    160    80    40
                          Surcharge -
                          11.5 Years -
                          Late Payment
                          Within 6
                          Months.
1.20(i)(1) 1557/2557/3557 Maintenance Fee      700   n/a    700    350  175
                          Surcharge After
                          Expiration -
                          Late Payment is
Unavoidable.
1.20(i)(2) 1558/2558/3558 Maintenance Fee    1,640   n/a  1,640    820  410
                          Surcharge After
                          Expiration -
                          Late Payment is
                          Unintentional.
1.20(j)(1)         1457   Extension of Term  1,120   n/a  1,120    n/a  n/a
                          of Patent.
1.20(j)(2)         1458   Initial              420   n/a    420    n/a  n/a
                          Application
                          for Interim
                          Extension
                          (see 37 CFR
                          1.790).
1.20(j)(3)         1459   Subsequent           220   n/a    220    n/a  n/a
                          Application
                          for Interim
                          Extension
                          (see 37 CFR
                          1.790).
1.20(k)(1)          NEW   Processing and       NEW   NEW  4,400  2,200 1,100
                          Treating a
                          Request for
                          Supplemental
                          Examination.
1.20(k)(2)          NEW   Ex Parte             NEW   NEW 13,600  6,800 3,400
                          Reexamination
                          Ordered as a
                          Result of a
                          Supplemental
                          Examination
                          Proceeding.
1.20(k)(3)(i)       NEW   For Processing       NEW   NEW    180    90    45
                          and Treating,
                          in a
                          Supplemental
                          Examination
                          Proceeding,
                          a Non-Patent
                          Document Over
                          20 Sheets in
                          Length, per
                          Document Between
                          21-50 Pages.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 125 

1.20(k)(3)(ii)      NEW   For Processing       NEW   NEW    280   140    70
                          and Treating, in
                          a Supplemental
                          Examination
                          Proceeding, a
                          Non-Patent
                          Document Over
                          20 Sheets in
                          Length, per
                          Document for
                          Each Additional
                          50 Sheets or
                          Fraction Thereof.


    Section 1.21: Sections 1.21(a)(1)(i), (a)(1)(ii)(A), (a)(1)(ii)(B),
(a)(10), (a)(2), (a)(4), (a)(4)(i), (a)(5)(i), (a)(5)(ii), (a)(7)(i)
through (a)(7)(iv), (a)(8), (a)(9)(i), (a)(9)(ii), (a)(10), (b)(3),
(e), (g) through (k), and (n) would be amended to set forth
miscellaneous fees and charges as authorized under section 10 of the
Act. The changes to the fee amounts indicated in § 1.21 are shown
in Table 47.


                                   Table 47

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.21(a)(1)(i)        9001 Application Fee       40   n/a     40   n/a   n/a
                          (non-refundable).
1.21(a)(1)(ii)(A)    9010 For Test             200   n/a    200   n/a   n/a
                          Administration
                          by Commercial
                          Entity.
1.21(a)(1)(ii)(B)    9011 For Test             450   n/a    450   n/a   n/a
                          Administration
                          by the USPTO.
1.21(a)(2)           9003 Registration to      100   n/a    100   n/a   n/a
                          Practice or
                          Grant of Limited
                          Recognition
                          under § 11.9(b)
                          or (c).
1.21(a)(2)           9025 Registration to      100   n/a    100   n/a   n/a
                          Practice for
                          Change of
                          Practitioner Type.
1.21(a)(4)           9005 Certificate of Good   10   n/a     10   n/a   n/a
                          Standing as
                          an Attorney
                          or Agent.
1.21(a)(4)(i)        9006 Certificate of Good   20   n/a     20   n/a   n/a
                          Standing as an
                          Attorney or Agent,
                          Suitable
                          for Framing.
1.21(a)(5)(i)        9012 Review of Decision   130   n/a    130   n/a   n/a
                          by the Director
                          of Enrollment
                          and Discipline
                          under § 11.2(c).
1.21(a)(5)(ii)       9013 Review of Decision   130   n/a    130   n/a   n/a
                          of the Director
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 126 

                          of Enrollment
                          and Discipline
                          under § 11.2(d).
1.21(a)(7)(i)        9015 Annual Fee for       118   n/a    120   n/a   n/a
                          Registered
                          Attorney or
                          Agent in
                          Active Status.
1.21(a)(7)(ii)       9016 Annual Fee for        25   n/a     25   n/a   n/a
                          Registered
                          Attorney or
                          Agent in
                          Voluntary
                          Inactive Status.
1.21(a)(7)(iii)      9017 Requesting            50   n/a     50   n/a   n/a
                          Restoration to
                          Active Status
                          from Voluntary
                          Inactive Status.
1.21(a)(7)(iv)       9018 Balance of Annual     93   n/a    100   n/a   n/a
                          Fee Due upon
                          Restoration to
                          Active Status
                          from Voluntary
                          Inactive Status.
1.21(a)(8)           9019 Annual Fee for       118   n/a    120   n/a   n/a
                          Individual
                          Granted Limited
                          Recognition.
1.21(a)(9)(i)        9020 Delinquency Fee       50   n/a     50   n/a   n/a
                          for Annual Fee.
1.21(a)(9)(ii)       9004 Reinstatement to     100   n/a    100   n/a   n/a
                          Practice.
1.21(a)(10)          9014 Application Fee    1,600   n/a  1,600   n/a   n/a
                          for Person
                          Disciplined,
                          Convicted of
                          a Felony or
                          Certain
                          Misdemeanors
                          under § 11.7(h).
1.21(e)              8020 International         40   n/a     40   n/a   n/a
                          Type Search
                          Report.
1.21(g)              8902 Self-Service        0.25   n/a   0.25   n/a   n/a
                          Copy Charge,
                          per Page.
1.21(h)(1)            NEW Recording Each       NEW   NEW      0   n/a   n/a
                          Patent
                          Assignment,
                          Agreement
                          or Other
                          Paper, per
                          Property if
                          Submitted
                          Electronically.
1.21(h)(2)           8021 Recording Each        40   n/a     40   n/a   n/a
                          Patent
                          Assignment,
                          Agreement
                          or Other
                          Paper, per
                          Property if
                          not Submitted
                          Electronically.
1.21(i)              8022 Publication in        25   n/a     25   n/a   n/a
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 127 

                          Official Gazette
1.21(j)              8023 Labor Charges for     40   n/a     40   n/a   n/a
                          Services,
                          per Hour or
                          Fraction
                          Thereof.
1.21(k)              8024 Unspecified      at cost   n/a at cost  n/a   n/a
                          Other Services,
                          Excluding Labor.
1.21(k)              9024 Unspecified      at cost   n/a at cost  n/a   n/a
                          Other Services,
                          Excluding Labor.
1.21(n)              8026 Handling Fee for     130   n/a     130  n/a   n/a
                          Incomplete
                          or Improper
                          Application.


§ 1.21  Miscellaneous fees and charges.

    (h) For recording each assignment, agreement, or other paper
relating to the property in a patent or application, per property:

(1) If submitted electronically            $0.00
(2) If not submitted electronically       $40.00


    Section 1.445: Sections 1.445(a)(1) through (a)(4) would be amended
to set forth the international application filing, processing, and
search fees as authorized under section 10 of the Act. The changes to
the fee amounts indicated in § 1.445 are shown in Table 48.


                                   Table 48

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.445(a)(1)         1601  PCT International    240   n/a    240   120    60
                          Stage
                          Transmittal Fee.
1.445(a)(2)         1602  PCT International  2,080   n/a  2,080 1,040   520
                          Stage Search
                          Fee - Regardless
                          of Whether
                          There is a
                          Corresponding
                          Application
                          (see 35 U.S.C.
                          361(d) and PCT
                          Rule 16).
                          1.445(a)(3).
1.445(a)(3)         1604  PCT International  2,080   n/a  2,080 1,040   520
                          Stage
                          Supplemental
                          Search Fee When
                          Required, per
                          Additional
                          Invention.
1.445(a)(4)         1621  Transmitting         240   n/a    240   120    60
                          Application to
                          International
                          Bureau to Act
                          as Receiving
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 128 

                          Office.


    Section 1.482: Sections 1.482(a)(1) and (a)(2) would be amended to
set forth the international application filing, processing, and search
fees as authorized under section 10 of the Act. The changes to the fee
amounts indicated in § 1.445 are shown in Table 49.


                                   Table 49

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.482(a)(1)(i)      1605  PCT International    600   n/a    600   300   150
                          Stage
                          Preliminary
                          Examination Fee -
                          U.S. was the ISA.
1.482(a)(1)(ii)     1606  PCT International    750   n/a    760   380   190
                          Stage
                          Preliminary
                          Examination Fee -
                          U.S. was not the ISA.
1.482(a)(2)         1607  PCT International    600   n/a    600   300   150
                          Stage
                          Supplemental
                          Examination Fee
                          per Additional
                          Invention.


    Section 1.492: Sections 1.492(a), (b)(1) through (b)(4), (c)(2),
(d) through (f), (h), (i) and (j) would be amended to set forth the
application filing, excess claims, search, examination, and application
size fees for international patent applications entering the national
stage as authorized under section 10 of the Act. The changes to the fee
amounts indicated in § 1.492 are shown in Table 50.


                                   Table 50

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

1.492(a)        1631/2631 Basic PCT            380   190    280   140    70
                          National
                          Stage Fee.
1.492(b)(1)     1640/2640 PCT National           0     0      0     0     0
                          Stage Search
                          Fee -  IPEA
                          and All Claims
                          Satisfy
                          PCT Article
                          33(1)-(4).
1.492(b)(2)     1641/2641 PCT National         120    60    120    60    30
                          Stage Search Fee -
                          U.S. was the ISA.
1.492(b)(3)     1642/2642 PCT National         490   245    480   240   120
                          Stage Search
                          Fee - Search
                          Report Prepared
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 129 

                          and Provided to
                          USPTO.
1.492(b)(4)     1632/2632 PCT National         620   310    600   300   150
                          Stage Search
                          Fee - All Other
                          Situations.
1.492(c)(1)     1643/2643 PCT National Stage     0     0      0     0     0
                          Examination
                          Fee - U.S. was
                          the ISA or IPEA
                          and All Claims
                          Satisfy PCT
                          Article 33(1)-(4).
1.492(c)(2)     1633/2633 National Stage       250   125    720   360   180
                          Examination Fee -
                          All Other
                          Situations.
1.492(d)        1614/2614 PCT National         250   125    420   210   105
                          Stage Claims -
                          Extra
                          Independent
                          (over three).
1.492(e)        1615/2615 PCT National          60    30     80    40    20
                          Stage Claims -
                          Extra Total
                          (over 20).
1.492(f)        1616/2616 PCT National         450   225    780   390   195
                          Stage Claims -
                          Multiple Dependent.
1.492(h)        1617/2617 Search Fee,          130    65    140    70    35
                          Examination
                          Fee or Oath
                          or Declaration
                          After Thirty
                          Months From
                          Priority
                          Date.
1.492(i)        1618/2618 English Translation  130   n/a    140    70    35
                          After Thirty
                          Months From
                          Priority Date.
1.492(j)        1681/2681 PCT National Stage   310   155    400   200   100
                          Application
                          Size Fee - for
                          Each Additional
                          50 Sheets that
                          Exceeds 100
                          Sheets.


    Section 41.20: Sections 41.20(a) and (b)(1) through (b)(4) would be
amended to set forth the appeal fees as authorized under section 10 of
the Act. The changes to the fee amounts indicated in § 41.20 are shown in
Table 51.


                                   Table 51

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

41.20(a)             1405 Petitions to         400   n/a    400   n/a   n/a
                          the Chief
                          Administrative
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 130 

                          Patent Judge
                          under 37 CFR
                          41.3.
41.20(b)(1)     1401/2401 Notice of            620   310  1,000   500   250
                          Appeal.
41.20(b)(2)(i)  1402/2402 Filing a Brief       620   310      0     0     0
                          in Support of an
                          Appeal in an
                          Application or
                          Ex Parte
                          Reexamination
                          Proceeding.
41.20(b)(2)(ii)       NEW Filing a Brief       NEW   NEW  2,000 1,000   500
                          in Support of
                          an Appeal in an
                          Inter Partes
                          Reexamination
                          Proceeding.
41.20(b)(3)     1403/2403 Request for        1,240   620  1,300   650   325
                          Oral Hearing.
41.20(b)(4)           NEW Forwarding an        NEW   NEW  2,000 1,000   500
                          Appeal in an
                          Application or
                          Ex Parte
                          Reexamination
                          Proceeding to
                          the Board.


    Section 41.20 Fees: Section 41.20 would be amended by revising
paragraphs (a) and (b) to read as follows:

§ 41.20  Fees.

* * * * *
    (a) Petition fee. The fee for filing a petition under this
part is $400.00.
    (b) Appeal fees.
    (1) For filing a notice of appeal from the examiner to the Board:

By a micro entity (§  1.29(a))             $250.00
By a small entity (§  1.27(a))             $500.00
By other than a small or micro entity    $1,000.00


    (2)(i) For filing a brief in support of an appeal in an application
or ex parte reexamination proceeding: $0.00.
    (ii) In addition to the fee for filing a notice of appeal, for
filing a brief in support of an appeal in an inter partes reexamination
proceeding:

By a micro entity (§  1.29(a))             $500.00
By a small entity (§  1.27(a))           $1,000.00
By other than a small or micro entity    $2,000.00

    (3) For filing a request for an oral hearing before the Board in an
appeal under 35 U.S.C. 134:

By a micro entity (§  1.29(a))             $325.00
By a small entity (§  1.27(a)) entity    $1,300.00


    (4) In addition to the fee for filing a notice of appeal, for
forwarding an appeal in an application or ex parte reexamination
proceeding to the Board:

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 131 

By a micro entity (§  1.29(a))             $500.00
By a small entity (§  1.27(a))           $1,000.00
By other than a small or micro entity    $2,000.00


    Section 41.37: Section 41.37 would be amended by revising
paragraphs (a) and (b) to read as follows:

§ 41.37  Appeal brief.

    (a) Timing. Appellant must file a brief under this section within
two months from the date of filing the notice of appeal under § 41.31.
The appeal brief fee in an application or ex parte reexamination
proceeding is $0.00, but if the appeal results in an Examiner's Answer,
the appeal forwarding fee set forth in § 41.20(b)(4) must be paid
within the time period specified in § 41.48 to avoid dismissal of
an appeal.
    (b) Failure to file a brief. On failure to file the brief within
the period specified in paragraph (a) of this section, the appeal will
stand dismissed.
* * * * *

    Section 41.45: Section 41.45 would be added to read as follows:


§ 41.45  Appeal forwarding fee.

    (a) Timing. Appellant in an application or ex parte reexamination
proceeding must pay the fee set forth in § 41.20(b)(4) within the
later of two months from the date of either the examiner's answer, or a
decision refusing to grant a petition under § 1.181 of this title
to designate a new ground of rejection in an examiner's answer.
    (b) Failure to pay appeal forwarding fee. On failure to pay the fee
set forth in § 41.20(b)(4) within the period specified in paragraph
(a) of this section, the appeal will stand dismissed.
    (c) Extensions of time. Extensions of time under § 1.136(a) of
this title for patent applications are not applicable to the time
period set forth in this section. See § 1.136(b) of this title for
extensions of time to reply for patent applications and § 1.550(c)
of this title for extensions of time to reply for ex parte
reexamination proceedings.
    Section 42.15: Sections 42.15 (a) through (d) would be amended to
set forth the inter partes review and post-grant review or covered
business method patent review of patent fees as authorized under
section 10 of the Act. The changes to the fee amounts indicated in
§ 42.15 are shown in Table 52.


                                   Table 52

                                               Current       Proposed
                                                fees           fees
                                              (dollars)      (dollars)
CFR section      Fee code Description        Large Small  Large Small Micro

42.15(a)(1)          NEW Inter Partes          NEW   NEW  9,000   n/a   n/a
                         Review Request
                         Fee.
42.15(a)(2)          NEW Inter Partes          NEW   NEW 14,000   n/a   n/a
                         Review Post-
                         Institution Fee.
42.15(a)(3)          NEW In Addition           NEW   NEW    200   n/a   n/a
                         to the Inter
                         Partes Review
                         Request Fee,
                         for Requesting
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 132 

                         Review of Each
                         Claim in Excess
                         of 20.
42.15(a)(4)          NEW In addition to        NEW   NEW    400   n/a   n/a
                         the Inter Partes
                         Post-Institution
                         Fee, for Requesting
                         Review of Each
                         Claim in Excess of
                         15.
42.15(b)(1)          NEW Post Grant or         NEW   NEW 12,000   n/a   n/a
                         Covered Business
                         Method Patent
                         Review Request
                         Fee.
42.15(b)(2)          NEW Post Grant or         NEW   NEW 18,000   n/a   n/a
                         Covered Business
                         Method Patent
                         Review Post-
                         Institution Fee.
42.15(b)(3)          NEW In Addition to        NEW   NEW    250   n/a   n/a
                         the Post Grant
                         or Covered
                         Business Method
                         Patent Review
                         Request Fee,
                         for Requesting
                         Review of Each
                         Claim in Excess
                         of 20.
42.15(b)(4)          NEW In Addition to        NEW   NEW    550   n/a   n/a
                         the Post Grant
                         or Covered
                         Business Method
                         Patent Review
                         Post-Institution
                         Fee, for
                         Requesting
                         Review of Each
                         Claim in Excess
                         of 15.
42.15(c)(1)          NEW Derivation            NEW   NEW    400   n/a   n/a
                         Petition.
42.15(c)(2)          NEW Derivation            NEW   NEW      0     0     0
                         Institution
                         and Trial Fee.
42.15(d)             NEW Request to            NEW   NEW    400   n/a   n/a
                         Make a Settlement
                         Agreement Available.


    Section 42.15: Section 42.15 would be added to read as follows:

§ 42.15  Fees.

    (a) On filing a petition for inter partes review of a patent,
payment of the following fees are due:

(1) Inter Partes Review request fee                            $9,000.00
(2) Inter Partes Review Post-Institution fee                  $14,000.00
(3) In addition to the Inter Partes Review request fee, for      $200.00
 requesting review of each claim in excess of 20
(4) In addition to the Inter Partes Post-Institution             $400.00
 request fee, for requesting review of each claim in excess
 of 15

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 133 

    (b) On filing a petition for post-grant review or covered business
method patent review of a patent, payment of the following fees are
due:

(1) Post Grant or Covered Business Method Patent Review       $12,000.00
 request fee
(2) Post Grant or Covered Business Method Patent Review       $18,000.00
 Post-Institution fee
(3) In addition to the Post Grant or Covered Business            $250.00
 Method Patent Review request fee, for requesting review of
 each claim in excess of 20
(4) In addition to the Post Grant or Covered Business            $550.00
 Method Patent Review request fee Post-Institution request
 fee, for requesting review of each claim in excess of 15

    (c) On the filing of a petition for a derivation proceeding,
payment of the following fees is due:

(1) Derivation petition fee                                      $400.00
(2) Derivation institution and trial fee                           $0.00

    (d) Any request requiring payment of a fee under             $400.00
this part, including a written request to make a settlement
agreement available:

Rulemaking Considerations

A. Regulatory Flexibility Act

    The USPTO publishes this Initial Regulatory Flexibility Analysis
(IRFA) as required by the Regulatory Flexibility Act (RFA) (5 U.S.C.
601 et seq.) to examine the impact of the Office's proposed rules
implementing the fee-setting provisions of the Leahy-Smith America
Invents Act (Pub. L. 112-29, 125 Stat. 284) (the Act) on small entities
and to seek the public's views. Under the RFA, whenever an agency is
required by 5 U.S.C. 553 (or any other law) to publish a notice of
proposed rulemaking (NPRM), the agency must prepare and make available
for public comment an IRFA, unless the agency certifies under 5 U.S.C.
605(b) that the proposed rule, if implemented, will not have a
significant economic impact on a substantial number of small entities.
5 U.S.C. 603, 605.
    While the Office welcomes all comments on this IRFA, it
particularly seeks comments describing the type and extent of the
impact of the proposed patent fees on commenters' specific businesses.
In describing the impact, the Office requests biographic detail about
the impacted businesses or concerns, including the size, average annual
revenue, past patent activity (e.g., applications submitted, contested
cases pursued, maintenance fees paid, patents abandoned, etc.), and
planned patent activity of the impacted business or concern, where
feasible. The Office will use this information to further assess the
impact of the proposed rule on small entities. Where possible, comments
should also describe any recommended alternative methods of setting and
adjusting patent fees that would further reduce the impact on small
entities.
    Items 1-5 below discuss the five items specified in 5 U.S.C.
603(b)(1)-(5) to be addressed in an IRFA. Item 6 below discusses
alternatives to this proposal that the Office considered.

1. A Description of the Reasons Why the Action by the agency Is Being
Considered
    Section 10 of the Act authorizes the Director of the USPTO to set
or adjust by rule any patent fee established, authorized, or charged
under title 35, U.S.C., for any services performed, or materials
furnished, by the Office. Section 10 prescribes that patent fees may be
set or adjusted only to recover the aggregate estimated costs to the
Office for processing, activities, services, and materials relating to
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 134 

patents, including administrative costs to the Office with respect to
such patent fees. The proposed fee schedule will recover the aggregate
cost of patent operations while facilitating the effective
administration of the U.S. patent system. The reasons why the
rulemaking is being considered are further discussed in section 6.i
below and elsewhere in this IRFA and the NPRM.

2. The Objectives of, and Legal Basis for, the Proposed Rule
    The objective of the proposed rules is to implement the fee setting
provisions of section 10 of the Act by setting or adjusting patent fees
to recover the aggregate cost of patent operations, including
administrative costs, while facilitating the effective administration
of the U.S. patent system. The Act strengthened the patent system by
affording the USPTO the "resources it requires to clear the still
sizeable backlog of patent applications and move forward to deliver to
all American inventors the first rate service they deserve." H.R. Rep.
No. 112-98(I), at 163 (2011). In setting fees under the Act, the Office
seeks to secure a sufficient amount of aggregate revenue to recover the
aggregate cost of patent operations, including for achieving strategic
and operational goals, such as reducing the current patent application
backlog, decreasing patent pendency, improving patent quality,
upgrading its patent business information technology (IT) capability
and infrastructure, and implementing a sustainable funding model. As
part of these efforts, the Office will use a portion of the patent fees
to establish a patent operating reserve, a step toward achieving the
Office's financial sustainability goals. In addition, the Office
proposes to include multipart and staged fees for requests for
continued examination and appeals, both of which aim to foster
innovation and increase prosecution options. Additional information on
the Office's strategic goals may be found in the USPTO 2010-2015
Strategic Plan, available at http://www.uspto.gov/about/stratplan/USPTO_2010
2015_Strategic_Plan.pdf. Additional information on the
Office's goals and operating requirements may be found in the USPTO FY
2013 President's Budget (Budget), available at
http://www.uspto.gov/about/stratplan/budget/fy13pbr.pdr. The legal basis for
the proposed rules is section 10 of the Act.

3. A Description of and, Where Feasible, an Estimate of the Number of
Small Entities To Which the Proposed Rule Will Apply SBA Size Standard
    The Small Business Act (SBA) size standards applicable to most
analyses conducted to comply with the RFA are set forth in 13 CFR
121.201. These regulations generally define small businesses as those
with less than a specified 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. As
provided by the RFA, and after consulting with the Small Business
Administration, the Office formally adopted an alternate size standard
for the purpose of conducting an analysis or making a certification
under the RFA 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).
The Office's alternate small business size standard consists of SBA's
previously established size standard for entities entitled to pay
reduced patent fees. See 13 CFR 121.802.
    Unlike SBA's generally applicable small business size standards,
the size standard for the USPTO is not industry-specific. The Office's
definition of a small business concern for RFA 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 and could not be classified as an independent inventor, or to any
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 135 

concern that would not qualify as a nonprofit 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 67109 (Nov.
20, 2006), 1313 Off. Gaz. Pat. Office at 63 (Dec. 12, 2006).
    If a patent applicant self-identifies on a patent application as
qualifying as a small entity for reduced patent fees under the Office's
alternative size standard, the Office captures this data in the Patent
Application Location and Monitoring (PALM) database system, which
tracks information on each patent application submitted to the Office.
Small Entities Affected by This Rule
Small Entity Defined
    The Act provides that fees set or adjusted under section 10(a)
"for filing, searching, examining, issuing, appealing, and maintaining
patent applications and patents shall be reduced by 50 percent" with
respect to the application of such fees to any "small entity" (as
defined in 37 CFR 1.27) that qualifies for reduced fees under 35 U.S.C.
41(h)(1). 35 U.S.C. 41(h)(1), in turn, provides that certain patent
fees "shall be reduced by 50 percent" for a small business concern as
defined by section 3 of the SBA, and to any independent inventor or
nonprofit organization as defined in regulations described by the
Director.

Micro Entity Defined
    Section 10(g) of the Act creates a new category of entity called a
"micro entity." 35 U.S.C. 123; see also 125 Stat. at 318-19. Section
10(b) of the Act provides that the fees set or adjusted under section
10(a) "for filing, searching, examining, issuing, appealing, and
maintaining patent applications and patents shall be reduced * * * by
75 percent with respect to the application of such fees to any micro
entity as defined by [new 35 U.S.C.] 123." 125 Stat. at 315-17.
    35 U.S.C. 123(a) defines a "micro entity" as an applicant who
certifies that the applicant: (1) Qualifies as a small entity as
defined in 37 CFR 1.27; (2) has not been named as an inventor on more
than four previously filed patent applications, other than applications
filed in another country, provisional applications under 35 U.S.C.
111(b), or Patent Cooperation Treaty (PCT) applications for which the
basic national fee under 35 U.S.C. 41(a) was not paid; (3) did not, in the
calendar year preceding the calendar year in which the applicable fee is
being paid, have a gross income, as defined in section 61(a) of the Internal
Revenue Code of 1986 (26 U.S.C. 61(a)), exceeding three times the median
household income for that preceding calendar year, as most recently reported
by the Bureau of the Census; and (4) has not assigned, granted, conveyed,
and is not under an obligation by contract or law, to assign, grant, or
convey, a license or other ownership interest in the application
concerned to an entity exceeding the income limit set forth in (3)
above. See 125 Stat. at 318.
    35 U.S.C. 123(d) also defines a "micro entity" as an applicant
who certifies that: (1) The applicant's employer, from which the
applicant obtains the majority of the applicant's income, is an
institution of higher education as defined in section 101(1) of the
Higher Education Act of 1965 (20 U.S.C. 1001(a)); or (2) the applicant
has assigned, granted, conveyed, or is under an obligation by contract
or law, to assign, grant, or convey, a license or other ownership
interest in the particular applications to such an institution of
higher education.

Estimate of Number of Small Entities Affected
    The changes in the proposed rules will apply to any entity,
including small and micro entities, that pays any patent fee set forth
in the notice of proposed rulemaking. The reduced fee rates (50 percent
for small entities and 75 percent for micro entities) will apply to any
small entity asserting small entity status and to any micro entity
certifying micro entity status for filing, searching, examining,
issuing, appealing, and maintaining patent applications and patents.
    The Office reviews historical data to estimate the percentages of
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 136 

application filings asserting small entity status. Table 53 presents a
summary of such small entity filings by type of application (utility,
reissue, plant, design) over the last five years.


                   Table 53 - Number of Patent Applications
                           Filed in Last Five Years*

          FY 2011**    FY 2010     FY 2009    FY 2008     FY 2007   Average

Utility:
 All        504,089    479,332     458,901    466,258     439,578   469,632
 Small      126,878    122,329     113,244    116,891     112,953   118,459
 % Small       25.2       25.5        24.7       25.1        25.7      25.2

Reissue:
 All          1,139      1,138       1,035      1,080       1,057     1,090
 Small          265        235         237        258         238       247
 % Small       23.3       20.7        22.9       23.9        22.5      22.6

Plant:
 All          1,106      1,013         988      1,331       1,002     1,088
 Small          574        472         429        480         358       463
 % Small       51.9       46.6        43.4       36.1        35.7      42.7

Design:
 All         30,270     28,577      25,575     28,217      26,693    27,866
 Small       14,699     15,133      14,591     14,373      14,620    14,683
 % Small       48.6       53.0        57.1       50.9        54.8      52.9

    Total:
 All        536,604    510,060     486,499    496,886     468,330   499,676
 Small      142,416    138,169     128,501    132,002     128,169   133,851
  % Small      26.5       27.1        26.4       26.6        27.4      26.8

* The patent application filing data in this table includes RCEs.
** FY 2011 application data are preliminary and will be finalized in the FY
2012 Performance and Accountability Report (PAR).


    Because the percentage of small entity filings varies widely
between application types, the Office has averaged the small entity
filing rates over the past five years for those application types in
order to estimate future filing rates by small and micro entities.
Those average rates appear in the last column of Table 53. The Office
estimates that small entity filing rates will continue for the next
five years at these average historic rates.
    The Office forecasts the number of projected patent applications
(i.e., workload) for the next five years using a combination of
historical data, economic analysis, and subject matter expertise. The
Office estimates that utility, plant, and reissue (UPR) patent
application filings would grow by 6.0 percent each year in FY 2013 and
FY 2014, by 5.5 percent each year in FY 2015 and FY 2016, and by 5.0
percent in FY 2017. The Office forecasts design patent applications
independently of UPR applications because they exhibit different
behavior. The Office also previously estimated that design patent
application filings would grow by 2.0 percent each year in FY 2013 and
FY 2017. These filing estimates, however, are established prior to an
analysis of elasticity based on fee adjustments. The Budget (page 36,
"USPTO Fee Collection Estimates/Ranges") further describes the
Office's workload forecasting methodology, which involves reviewing
economic factors and other relevant indicators about the intellectual
property environment. Exhibit 12 of the Budget presents additional
performance goals and measurement data, including the forecasted patent
application filing growth rate as described above.
    Using the estimated filings for the next five years, the average
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 137 

historic rates of small entity filings, and the Office's elasticity
estimates, Table 53 presents the Office's estimates of the number of
patent application filings by all applicants, including small entities,
over the next five fiscal years by application type. As stated in Part
V. of this NPRM, and taking into account elasticity, the Office
estimates that applicants will file 1.3 percent fewer patent
applications during FY 2013 than the number estimated to be filed in
the absence of a fee increase (with new fee schedule implementation for
half the fiscal year). The Office further estimates that 2.7 percent fewer
patent applications will be filed during FY 2014 and 4.0 percent fewer
patent applications beginning in FY 2015, in response to the proposed fee
adjustment. Beginning in FY 2016, the growth in patent applications
filed will return the same levels anticipated in the absence of a fee
increase. The Office's estimate of the number of patent application
filings by small entities represents an upper bound. Some entities may
file more than one application in a given year.
    The Office has undertaken an elasticity analysis to examine how fee
adjustments may impact small entities, and in particular, whether
increases in fees would result in some such entities not submitting
applications. Elasticity measures how sensitive patent applicants and
patentees are to fee amounts or changes. If elasticity is low enough
(demand is inelastic), then fee increases will not reduce patenting
activity enough to negatively impact overall revenues. If elasticity is
high enough (demand is elastic), then increasing fees will decrease
patenting activity enough to decrease revenue. The Office analyzes
elasticity at the overall filing level across all patent applicants
regardless of entity size. Additional information about elasticity
estimates is available at
http://www.uspto.gov/aia_implementation/fees.jspheading-1 in the document
entitled "USPTO Section 10 Fee Setting - Description of Elasticity
Estimates." Table 53 reflects estimates for total numbers of applicants,
including the portion of small entity applicants; these estimates include
reductions in the application growth rate (as described in the previous
paragraph) based on the estimated elasticity effect included in Table 2 of
the aforementioned Description of Elasticity Estimates document. This
estimated elasticity effect is multiplied by the estimated number of
patent applications in the absence of a fee increase to obtain the
estimates in Table 54. See the appendix on elasticity for additional
detail on the Office's elasticity estimates and methodology.


            Table 54 - Estimated Numbers of Patent Applications in
                               FY 2013 - FY 2017


           FY 2012     FY 2013     FY 2014    FY 2015     FY 2016   FY 2017
          (current)
Utility:
 All        531,551    554,650     578,603    600,571     633,667   665,406
 Small      134,571    141,669     147,881    153,490     161,951   170,063

Reissue:
 All            690        685         678        672         692       713
 Small          152        151         149        148         152       157

Plant
 All          1,044      1,034       1,024      1,014       1,024     1,036
 Small          522        517         512        507         512       518

Design:
 All         32,062     31,994      31,910     31,810      32,446    33,094
 Small       16,031     15,997      15,955     15,905      16,223    16,547

    Total

 All        565,347    588,363     612,215    634,067     667,829   700,249
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 138 

 Small      151,276    158,334     164,497    170,051     178,837   187,285


4. A Description of the Projected Reporting, Recordkeeping and Other
Compliance Requirements of the Proposed Rule, Including an Estimate of
the Classes of Small Entities Which Will Be Subject to the Requirement
and Type of Professional Skills Necessary for Preparation of the Report
or Record
    If implemented, this rule will not change the burden of existing
reporting and recordkeeping requirements for payment of fees. The
current requirements for small entities will continue to apply to small
entities. The process to assess whether an entity can claim micro
entity status requires the same skill currently required to assess
whether an entity can claim small entity status. The projected
reporting and recordkeeping requirements for an entity to certify
eligibility for micro entity fee reductions are minimal (namely, a
brief certification). These minimal requirements will not require any
professional skills beyond those required to file and prosecute an
application. Therefore, the professional skills necessary to file and
prosecute an application through issue and maintenance remain unchanged
under this proposal. This action proposes only to adjust patent fees
and not to set procedures for asserting small or micro entity status,
as previously discussed.
    The full proposed fee schedule (see Part VI. Discussion of Specific
Rules) is set forth in this NPRM. The proposed fee schedule sets or
adjusts 352 patent fees. This fee schedule includes 9 new fees for
which there are no small or micro entity fee reductions, 94 fees for
which there are small entity fee reductions, and 93 fees for which
there are micro entity fee reductions. One fee, Statutory Disclaimer
(37 CFR 1.20(d)), was formerly eligible for a small entity fee
reduction, but is no longer eligible for such reduction under section
10(b) of the Act. Similarly, Basic Filing Fee - Utility (37 CFR
1.16(a)(1), electronic filing for small entities), is set expressly for
small entities in section 10(h) of the Act, and there is no
corresponding large or micro entity fee.
    Commensurate with changes to large entity fees, small entities will
pay more than they do currently for 48 percent of the fees currently
eligible for the 50 percent fee reduction. However, more fees are
reduced for small entities under the Act. As a result, they will pay
less than they do currently for 43 percent of the fees eligible for the
50 percent reduction (5 percent of the fees stay the same and the
balance are newly proposed fees). Additionally, micro entities are
eligible for fee reductions of 75 percent. Compared to what they would
have paid as small entities under the current fee schedule, micro
entities will pay less for 88 percent of the fees eligible for
reduction.

5. 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 examining and granting patents. It is solely
responsible for issuing rules to comply with section 10 of the AIA. No
other Federal, state, or local entity has 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 PCT). Nevertheless, the USPTO
believes that there are no other duplicative or overlapping rules.
6. 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
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 139 

    The USPTO considered several alternative approaches to the
proposal, discussed below, including retaining current fees, full cost
recovery of fees, an across-the-board adjustment to fees, and the
proposal submitted to the Patent Public Advisory Committee (PPAC) on
February 7, 2012. The discussion begins with a description of the
proposal in this rulemaking.
i. Alternative 1: Proposed Alternative - Set and Adjust Section 10 Fees
    The USPTO chose the alternative proposed herein because it will
enable the Office to achieve its goals effectively and efficiently
without unduly burdening small entities, erecting barriers to entry, or
stifling incentives to innovate. The alternative proposed here achieves
the aggregate revenue needed for the Office to offset aggregate costs,
and is therefore beneficial to all entities that seek patent
protection. Also, the alternative proposed here offers small entities a
50 percent fee reduction and micro entities a 75 percent fee reduction.
As discussed in Item 4 above, the proposed fee schedule includes a
total of 94 reduced fees for small entities and 93 reduced fees for
micro entities. Compared to the current patent fee schedule, small
entities will see 34 small entity fees decrease and micro entities will
see 74 fees decrease (when compared to the rate they would have paid as
a small entity under the current fee schedule).
    Given the three-month operating reserve target estimated to be
achieved in FY 2017 under this proposed alternative, small and micro
entities would pay some higher fees than under some of the other
alternatives considered. However, the fees are not as high as those
initially proposed to PPAC (Alternative 4), which achieved the three-
month target operating reserve in FY 2015. Instead, in this
alternative, the Office decided to slow the growth of the operating
reserve and lower key fee amounts in response to comments and feedback
the PPAC received from IP stakeholders and other interested members of
the public during and following the PPAC fee setting hearings.
    The proposed alternative secures the Office's required revenue to
meet its aggregate costs, while meeting the strategic goals of patent
pendency and patent application backlog reduction that will benefit all
applicants, and especially small and micro entities. Pendency is one of
the most important factors in an analysis of patent fee proposal
alternatives. Reducing patent pendency increases the private value of
patents because patents are granted sooner, thus allowing patent
holders to more quickly commercialize their innovations. Reducing
pendency may also allow for earlier disclosure of information and scope
of protection, which reduces uncertainty regarding the scope of patent
rights and validity of claims for patentees, competitors, and new
entrants. All patent applicants should benefit from the reduced
pendency that will be realized under the proposed alternative. While
some of the other alternatives discussed make progress toward the
pendency (and related backlog reduction) goal, the proposed alternative
is the only one that does so in a way that does not pose undue costs on
patent applicants and holders while still achieving the Office's other
strategic goals.
    The proposed alternative is also uniquely responsive to stakeholder
feedback in ways the other alternatives are not, including multipart
and staged fees for requests for continued examination, appeals, and
several of the new trial proceedings, including inter partes review and
post grant review. These inclusions in the proposed alternative aim to
foster innovation and increase patent prosecution options for
applicants and patent holders, as discussed in the Part V: Individual
Fee Rationale section of Supplementary Information in this NPRM. Two
examples illustrate how the proposed fee structure is responsive to
stakeholder feedback. First, the Office proposes two fees for RCEs. The
fee for an initial RCE is set below cost; the second and any subsequent
RCEs are set above the amount of the first RCE, but also estimated to
be at cost recovery. This structure recognizes stakeholder feedback and
Office data about how commonplace RCEs have become as a path to patent
protection. A lower first RCE fee continues to allow for use of this
option, when necessary; only the more intensive use of this process,
which impacts compact prosecution, requires higher fees. Second, the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 140 

Office proposes to stage the payment of the appeal fees to recover
additional cost at later points in time and thereby minimize the cost
impacts on applicants associated with withdrawn final rejections. The
Office proposes (1) a $1,000 notice of appeal fee, (2) a $0 fee when
filing the brief, and (3) a $2,000 fee when forwarding the appeal
file - containing the appellant's Brief and the Examiner's Answer - to
the BPAI for review. This structure aims to: provide patent prosecution
options for applicants and appellants, stabilize the fee structure by
recovering cost at the points in time where appeals cost is the most
significant, and seek ways to minimize the cost impact on applicants
associated with withdrawn rejections.
    When estimating aggregate revenue, the Office used a 1.9 percent
CPI increase (which was the figure included in the Budget) to estimate
the amount of aggregate revenue from October 1, 2012 to an estimated
date (primarily March 1, 2013, except for issue, pre-grant publication,
and assignment fee changes on January 1, 2014) the proposed fees in
this rule could be made final. The Office also included the fees in the
January and February 2012 Proposed Rules (as adjusted by the final
rules) in the aggregate revenue calculation. The proposed fee schedule
for this rulemaking, as compared to existing fees (labeled Alternative
1 - Proposed Alternative - Set and Adjust Section 10 Fees) is available
at http://www.uspto.gov/aia_implementation/fees.jspheading-1,
in the document entitled "USPTO Section 10 Fee Setting - IRFA Tables".
Fee changes for small and micro entities are included in the tables.
For the purpose of calculating the dollar and percent fee change, fees
for micro entities are compared to current fees for small entities. For
the comparison between proposed fees and current fees, as noted above,
the "current fees" column displays the fees that went into effect on
September 16, 2011, and include the fees proposed in the January and
February 2012 Proposed Rules (as adjusted by the final rules), but
unlike the aggregate revenue estimates, do not include an estimated CPI
fee amount.

ii. Other Alternatives Considered

    In addition to the proposed fee schedule set forth in Alternative
1, above, the Office considered several other alternative approaches.

a. Alternative 2: Fee Cost Recovery

    The USPTO considered setting most individual large entity fees at
the cost of performing the activities related to the particular
service, while implementing the small and micro entity fee reductions
for eligible fees. Fees that are not typically set using cost data as
an indicator have been set at current rates. Under this alternative,
maintenance fees are set at a level sufficient to ensure the Office is
able to recover the cost of mandatory expenses and offset the revenue
loss from small and micro entity discounts (approximately half of the
current maintenance fee rates). Additional information about the
methodology for determining the cost of performing the activities,
including the cost components related to respective fees, is available
for review at http://www.uspto.gov/aia_implementation/
fees.jspheading-1 in the document titled "USPTO Section 10
Fee Setting - Activity-Based Information and Costing Methodology." When
estimating aggregate revenue, the Office used a 1.9 percent CPI
increase (which was the figure included in the Budget) to estimate the
amount of aggregate revenue from October 1, 2012 to an estimated date
(March 1, 2013) the proposed fees in this rule could be made final. The
Office also included the fees in the January and February 2012 Proposed
Rules (as adjusted by the final rules) in the aggregate revenue
calculation.
    It is common practice in the Federal Government to set a particular
fee at a level to recover the cost of that service. In OMB Circular A-
25: User Charges, the OMB states that user charges (fees) should be
sufficient to recover the full cost to the Federal Government of
providing the particular service, resource, or good, when the
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 141 

Government is acting in its capacity as sovereign. However, the Office
projects a significant revenue shortfall under this alternative,
defeating the goals of this rulemaking.
    First, this alternative would not provide sufficient funds to
offset the required fee reductions for small and micro entities. Even
after adjusting maintenance fees upward, aggregate revenue would suffer
considerably. In response, it would be necessary for the Office to
reduce operating costs (i.e., examination capacity (hiring), IT system
upgrades, and various other initiatives), the loss of which would
negatively impact meeting the financial, strategic, and policy goals of
this rulemaking.
    Moreover, this alternative presents significant barriers to seeking
patent protection, because front-end fees would increase significantly
for all applicants, even with small and micro entity fee reductions.
The high costs of entry into the patent system could lead to a
significant decrease in the incentives to invest in innovative
activities among all entities, and especially for small and micro
entities. Likewise, there would be no improvements in fee design, such
as the multipart RCE fees or staging the appeal fees included in
Alternative 1.
    In sum, this alternative is inadequate to accomplish any of the
goals and strategies as stated in Part III of this rulemaking and so
the Office has not adopted it.
    The fee schedule for Alternative 2: Fee Cost Recovery is available
at http://www.uspto.gov/aia_implementation/fees.jsp#heading-1, in the
document entitled "USPTO Section 10 Fee Setting - IRFA Tables." Fee
changes for small and micro entities are included in the tables. For
the purpose of calculation the dollar and percent fee change, fees for
micro entities are compared to current fees for small entities. For the
comparison between proposed fees and current fees, the "current fees"
column displays the fees that went into effect on September 16, 2011,
and include the fees proposed in the January and February 2012 Proposed
Rules (as adjusted by the final rules), but does not include an
estimated CPI fee amount.

b. Alternative 3: Across-the-Board Adjustment

    In some past years, and as estimated to begin on October 1, 2012
(see 77 FR 8831 (May 14, 2012)), the USPTO used its authority to adjust
statutory fees annually according to changes in the consumer price
index (CPI), which is a commonly used measure of inflation. Building on
this prior approach, Alternative 3 would set fees by applying a 6.7
percent, multi-year, across-the-board inflationary increase to the
baseline (status quo) beginning in FY 2013. The increase would be in
addition to the CPI increase described in the aforementioned proposed
rule. The 6.7 percent represents the estimated cumulative inflationary
adjustment from FY 2013 through FY 2016. The Office selected this time
period to represent the fiscal year in which the fees would be
effective through the fiscal year in which the operating reserve will
be approaching the target level. As estimated by the Congressional
Budget Office, projected inflationary rates by fiscal year are: 1.4
percent in FY 2013, 1.5 percent in FY 2014, 1.6 percent in FY 2015, and
2.0 percent in FY 2016. Each percentage rate for a given year applies
to the following year, e.g., a 1.4 percent increase for FY 2013 is
applied to FY 2014. These rates are multiplied together to account for
the compounding effect occurring from year-to-year; the rounded result
is 6.7 percent. When estimating aggregate revenue, the Office used a
1.9 percent CPI increase (which was the figure included in the Budget)
to estimate the amount of aggregate revenue from October 1, 2012 to an
estimated date (March 1, 2013) the proposed fees in this rule could be
made final. The Office also included the fees in the January and
February 2012 Proposed Rules (as adjusted by the final rules) in the
aggregate revenue calculation.
    Under this alternative, the Office would not collect enough revenue
to achieve strategic goals identified in Part III and within the
timeframes identified in the Budget. This alternative would implement
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 142 

the small and micro entity fee reductions for eligible fees, but would
also retain the same fee relationships and subsidization policies as
the status quo (baseline) alternative. There would be no improvements
in fee design, such as the multipart RCE fees or staging the appeal
fees included in Alternative 1. Further, when looking at the aggregate
revenue generated from this alternative, the Office projects that
patent pendency would not change compared to the status quo. This means
that while patent pendency and application backlog will first start to
decrease due to the hiring initiative in FY 2012 (1,500 examiners), it
would thereafter increase because adequate funding would not be
available to continue hiring to increase examination capacity to work
off the patent application backlog, keep pace with new incoming
applications, and build an adequate operating reserve.
    The fee schedule for Alternative 3: Across-the-Board Adjustment is
available at http://www.uspto.gov/aia_implementation/fees.jsp#heading-1, in
the document entitled "USPTO Section 10 Fee Setting - IRFA
Tables." Fee changes for small and micro entities are included in the
tables. For the purpose of calculating the dollar and percent fee
change, fees for micro entities are compared to current fees for small
entities. For the comparison between proposed fees and current fees,
the "current fees" column displays the fees that went into effect on
September 16, 2011, and include the fees proposed
in the January and February 2012 Proposed Rules (as adjusted by the
final rule), but does not include an estimated CPI fee amount.

c. Alternative 4: Initial Proposal to the PPAC

    The fee structure initially delivered to the PPAC on February 7,
2012, and published during the public hearings in February 2012, which
is consistent with the Budget, would achieve the USPTO's strategic
goals and objectives, including reducing backlog and pendency.
    This alternative is nearly the same as the proposed Alternative 1.
As described in Part V. of this NPRM, some fees would be set to achieve
cost recovery for specific patent-related services, while many others
would be set either below or above cost. For example, like alternatives
1 and 3, under this alternative the Office would subsidize front-end
fees set below cost (e.g., file, search, and examination) by setting
back-end fees (e.g., issue and maintenance) above cost to enable a low
cost of entry into the patent system. In some cases, fee rates would be
set at a level during patent prosecution so that an applicant pays
certain fees at a point in time relative to the amount of information
available to make a decision about proceeding. Specifically, fees would
be set low during prosecution when there is less certainty about the
value of an applicant's invention, then begin to rise gradually
starting at issue and continuing through maintenance fees at different
stages of the patent lifecycle (e.g., 3.5, 7.5, and 11.5 years) when a
patent holder has greater certainty in the value of the invention. This
structure also considers the relationship among individual fees and the
cost of operational processes, including some targeted adjustments to
fees where the gap between cost and current fees is greatest.
    The fee schedule for this alternative would achieve higher revenue
than each of the other alternatives considered. It would permit the
Office to fund the operating reserve at a rapid pace, reaching its
three-month target level in FY 2015. When estimating aggregate revenue,
the Office used a 1.9 percent CPI increase (which was the figure
included in the Budget) to estimate the amount of aggregate revenue
from October 1, 2012, to an estimated date (primarily March 1, 2013,
except for issue and pre-grant publication fee changes on January 1,
2014) the proposed fees in this rule could be made final. The Office
also included the fees in the January and February 2012 Proposed Rules
in the aggregate revenue calculation.
    However, during the PPAC hearings and comment period, stakeholders
raised concerns about the rate of growth associated with the operating
reserve. While most of the Office's stakeholders agree with the need
for an operating reserve, many raised concerns about the need to reach
the target so quickly. Stakeholders opined that such a rate of growth
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 143 

would impose too great of a burden on the patent user community. Many
were also concerned that the fee rates associated with achieving the
operating reserve target so quickly would be too high. Although this
alternative would meet the Office's revenue goals, the Office
ultimately rejected this alternative because it would have a greater
economic impact on all entities (including small and micro entities)
than the alternative proposed in this NPRM. A modified version of this
alternative (with a number of lower fees) became the proposed
alternative in this rulemaking.
    The fee schedule for Alternative 4: Initial Proposal to PPAC is
available at http://www.uspto.gov/aia_implementation/fees.jsp#heading-1, in
the document entitled "USPTO Section 10 Fee Setting - IRFA
Tables." Fee changes for small and micro entities are included in the
tables. For the purpose of calculation the dollar and percent fee
change, fees for micro entities are compared to current fees for small
entities. For the comparison between proposed fees and current fees,
the "current fees" column displays the fees that went into effect on
September 16, 2011, and include the fees proposed in the January and
February 2012 Proposed Rules, but does not include an estimated CPI fee
amount.

d. Alternative 5: Retain Current Fees (Status Quo)

    The Office considered a no-action alternative. This alternative
would retain the status quo, meaning that the Office would not expand
the range of fees eligible for a small entity discount (50 percent),
nor would it go a step further and provide micro entities with the 75
percent fee reduction that Congress provided in section 10 of the Act.
This approach would not provide sufficient aggregate revenue to
accomplish the Office's goals as set forth in Part III of this NPRM or
the Strategic Plan, including hiring the examiners needed to decrease
the backlog of patent applications, meeting patent pendency goals,
improving patent quality, advancing IT initiatives, and achieving
sustainable funding. When estimating aggregate revenue, the Office
included the fees proposed in the January and February 2012 Proposed
Rules (as adjusted by the final rules) in the aggregate revenue
calculation.
    The status quo alternative would be detrimental to micro entities,
because the proposed rule includes a 75 percent fee reduction for micro
entities that will result in those applicants paying less under the
proposed fee structure than they would under the status quo. Moreover,
small entities generally would be harmed because fewer small entity
discounts would be available.
    The status quo approach would result in inadequate funding for
effective patent operations. It would result in increased patent
pendency levels and patent application backlog. It would also prevent
the USPTO from meeting the goals in its strategic plan that are
designed to achieve greater efficiency and improve patent quality.
These results would negatively impact small entities just as they would
negatively impact all other patent applicants. While the Office would
continue to operate and make some progress toward its goals, the
progress would be much slower, and in some cases, initial improvements
would be eradicated in the out-years (e.g., patent pendency and the
backlog would increase in the out-years as the Office fails to increase
examination capacity to keep up with incoming applications). Likewise,
IT improvement activities would continue, but at a slower rate due to
funding limitations.

iii. Alternatives Specified by the RFA

    The RFA provides that an agency also consider four specified
"alternatives" or approaches, namely: (1) Establishing different
compliance or reporting requirements or timetables that take into
account the resources available to small entities; (2) clarifying,
consolidating, or simplifying compliance and reporting requirements
under the rule for small entities; (3) using performance rather than
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 144 

design standards; and (4) exempting small entities from coverage of the
rule, or any part thereof. 5 U.S.C. 604(c). The USPTO discusses each of
these specified alternatives or approaches below, and describes how
this notice of proposed rulemaking is adopting these approaches.
Differing Requirements
    As discussed above, the changes proposed in this rulemaking would
establish differing requirements for small and micro entities that take
into account the reduced resources available to them. Specifically,
micro entities would pay a 75 percent reduction in patent fees under
this proposal.
    For non-micro small entities, this proposal would not only retain the
existing 50 percent patent fee reduction but also expand the
availability of such small entity fee reductions to 26 patent fees that
currently are not eligible for small entity reductions. The increased
availability of fee reductions for both small and micro entities arises
from the fact that section 10(b) of the Act provides that reductions
apply to all fees for "filing, searching, examining, issuing,
appealing, and maintaining patent applications and patents." Prior to
the AIA, small entity fee reductions applied only to fees set under 35
U.S.C. 41(a) and 41(b). By increasing the scope of fees eligible for
reductions, the AIA allows the USPTO to do more to ease burdens and
reduce the entry barriers for small and micro entities to take part in
the patent system.
    This rulemaking sets fee levels but does not set or alter
procedural requirements for asserting small or micro entity status. To
pay reduced patent fees, small entities must merely assert small entity
status to pay reduced patent fees. The small entity may make this
assertion by either checking a box on the transmittal form, "Applicant
claims small entity status," or by paying the small entity fee
exactly. The Office is similarly proposing that a micro entity submit a
form certifying micro entity status. (Changes to Implement Micro Entity
Status for Paying Patent Fees, 77 FR 31806 (May 30, 2012)). These
proposed rules do not change any reporting requirements for any small
entity. For both small and micro entities, the burden to establish
their status is nominal (making an assertion or submitting a
certification), and the benefit of the fee reductions (50 percent for
small entities and 75 percent for micro entities) is significant.
    This proposed rule makes the best use of differing requirements for
small and micro entities. It also makes the best use of the redesigned
fee structure, as discussed further below.
Clarification, Consolidation, or Simplification of Requirements
    The proposed changes here also clarify, consolidate, and simplify
the current requirements. These changes incorporate certain options to
stage fees (break fees into multiple parts), so that applicants can
space out the payment of fees and make decisions about some fees at
late stages in the application process when they have more information.
Applicants also can receive partial refunds when some parts of a
service prove not to be needed.
    For example, the Office proposes that appeal fees be spread out
across different stages of the appeal process so that an applicant can
pay a smaller fee to initiate the appeal, and then not pay for the bulk
of the appeal fee until if and when the appeal is forwarded to the BPAI
after the Examiner's Answer is filed. Thus, if a small or micro entity
initiates an appeal, but the appeal does not go forward because the
examiner withdraws the rejection, the small entity will pay less for
the appeal process than under the current fee structure (where the bulk
of the appeal fees would be paid up front even if the appeal does not
go forward). In another example, the Office proposes to set fees for
the administrative trials (inter partes review, post grant review, and
covered business method review) before the BPAI to be paid in multiple
parts. With inter partes review, for instance, the Office proposes to
return fees for post-institution services should a petition not be
instituted. Similarly, the Office proposes that fees paid for post-
institution review of a large number of claims be returned if the
Office only institutes the review of a subset of the requested claims.
These options for staging and splitting fees into multiple parts will
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 145 

benefit small and micro entities, who will be able to spread out their
payments of fees and in some instances, potentially receive refunds of
fees where only a portion of a particular service is ultimately
provided. See proposed 41.20 and 42.15.
    This proposed rule makes the best use of this alternative approach.
No other alternative considered above includes the full range of
redesign features.

Performance Standards

    Performance standards do not apply to the current rulemaking.

Exemption for Small Entities

    The proposed changes here include a new 75 percent reduction in
fees for micro entities, and an expansion of the 50 percent reduction
in fees for small entities. The Office considered exempting small and
micro entities from paying patent fees, but determined that the USPTO
would lack statutory authority for this approach. Section 10(b) of the
Act provides that "fees set or adjusted under subsection (a) for
filing, searching, examining, issuing, appealing, and maintaining
patent applications and patents shall be reduced by 50 percent [for
small entities] and shall be reduced by 75 percent [for micro
entities]." (Emphasis added). Neither the AIA nor any other statute
authorizes the USPTO simply to exempt small or micro entities, as a
class of applicants, from paying patent fees.

B. Executive Order 12866 (Regulatory Planning and Review)

    This rulemaking has been determined to be economically 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). The Office has developed a RIA as required for rulemakings
deemed to be economically significant. The complete RIA is available at
http://www.uspto.gov/aia_implementation/fees.jsp#heading-1.

C. Executive Order 13563 (Improving Regulation and Regulatory Review)

    The Office has complied with Executive Order 13563. Specifically,
the Office has, to the extent feasible and applicable: (1) Made a
reasoned determination that the benefits justify the costs of the rule;
(2) tailored the rule to impose the least burden on society consistent
with obtaining the regulatory objectives; (3) selected a regulatory
approach that maximizes net benefits; (4) specified performance
objectives; (5) identified and assessed available alternatives; (6)
involved the public in an open exchange of information and perspectives
among experts in relevant disciplines, affected stakeholders in the
private sector, and the public as a whole, and provided on-line access
to the rulemaking docket; (7) attempted to promote coordination,
simplification, and harmonization across Government agencies and
identified goals designed to promote innovation; (8) considered
approaches that reduce burdens and maintain flexibility and freedom of
choice for the public; and (9) ensured the objectivity of scientific
and technological information and processes.

D. Executive Order 13132 (Federalism)

    This rulemaking does not contain policies with federalism
implications sufficient to warrant preparation of a Federalism
Assessment under Executive Order 13132 (Aug. 4, 1999).

E. Congressional Review Act

    Under the Congressional Review Act provisions of the Small Business
Regulatory Enforcement Fairness Act of 1996 (5 U.S.C. 801-808), prior
to issuing any final rule, the United States Patent and Trademark
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 146 

Office 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.

F. 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 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. 1501-1571.

G. Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501-3549)
requires that the USPTO considers the impact of paperwork and other
information collection burdens imposed on the public. This proposed
rule involves information collection requirements that are subject to
review by the Office of Management and Budget (OMB) under the PRA. The
collection of information involved in this notice has been submitted to
OMB as a new information collection under OMB control number 0651-00xx.
The proposed collection will be available at the OMB's Information
Collection Review Web site at: www.reginfo.gov/public/do/PRAMain.

1. Summary

    This notice of proposed rulemaking proposes both collecting two
fees not specifically delineated in an existing information collection
request (listed in Table (A) below) and amending the fees in several
current information collections previously approved by OMB (listed in
Table (B) below). The USPTO is consolidating these fee burdens in order
to allow for fee burden adjustments to be requested through a single
fee information collection package entitled "America Invents Act
Section 10 Patent Fee Adjustments." This new, consolidated collection
will result in the unavoidable double counting of certain fees for a
short period of time. The USPTO will update the fee burden inventory in
existing information collections to correct the double counting by
submitting non-substantive change requests in each of the currently
existing information collection requests (in Table (B) below) with the
appropriate fee adjustments. Nothing associated with either this
rulemaking or this information collection request alters the existing
non-fee burden of any response to any information collection. However,
because a change in some fees will change the aggregate demand for
certain services, the total number of responses for some information
collections will change, which in turn will change the total number of
burden hours (defined as the total hour burden of a collection
multiplied by the total responses) and respondent cost burden (burden
hours multiplied by the attorney cost per hour) for some collections.
These changes are detailed in the supporting statement for this
information collection, and the USPTO will update the existing
information collections to account for this change when submitting the
non-substantive change requests described above.
    (A) Fees Included in this New Information Collection Request

                Amount (Large  Amount (Small  Amount (Micro
Fee               Entity)        Entity)        Entity)          Regulation

Correct             $1,000.00        $500.00        $250.00  37 CFR 1.17(d)
Inventorship after
First Action on the
Merits.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 147 

Petitions to Chief       $400           $400           $400     37 CFR 41.3
APJ Under 37 CFR
41.3.



 (B) Existing & Pending Collections Amended under the Proposed
Rulemaking

(1) 0651-0012 Admittance to Practice and Roster of Registered Patent
Attorneys and Agents Admitted to Practice Before the USPTO
(2) 0651-0016 Rules for Patent Maintenance Fees
(3) 0651-0020 Patent Term Extension
(4) 0651-0021 Patent Cooperation Treaty
(5) 0651-0027 Recording Assignments
(6) 0651-0031 Patent Processing (Updating)
(7) 0651-0032 Initial Patent Applications
(8) 0651-0033 Post Allowance and Refiling
(9) 0651-0036 Statutory Invention Registration
(10) 0651-0059 Certain Patent Petitions Requiring a Fee (formerly
Patent Petitions Charging the Fee Under 37 CFR 1.17(f))
(11) 0651-0063 Board of Patent Appeals and Interferences (BPAI) Actions
(12) 0651-0064 Patent Reexaminations
(13) 0651-00xx Patent Review and Derivation Proceedings
(14) 0651-00xx Matters Related to Patent Appeals

2. Data

    Section 10 of the Act authorizes the Director of the USPTO to set
or adjust all patent fees established, authorized, or charged under
Title 35 of the U.S. Code. Agency fees associated with information
collections are considered to be part of the burden of the collection
of information. The data associated with this information collection
request is summarized below and provided in additional detail in the
supporting statement for this information collection request, available
through the Information Collection Review Web site
(www.reginfo.gov/public/do/PRAMain).
    Section 10 also provides for the creation of a "micro entity
status." The information collection associated with micro entity
status will be addressed in a separate proposed rulemaking and a
separate PRA analysis.
    Needs and Uses: The Agency is authorized to collect these fees by
Section 10 of the Act. The public uses this information collection to
pay their required fees and communicate with the Office regarding their
applications and patents procedures. The Agency uses these fees to
process respondents' applications and patents, to process applicants'
requests for various procedures in application and post-grant patent
processing, and to provide all associated services of the Office.
    OMB Number: 0651-00xx.
    Title: America Invents Act Section 10 Patent Fee Adjustments.
    Form Numbers: None.
    Type of Review: New Collection.
    Likely Respondents/Affected Public: Individuals or households,
businesses or other for-profit institutions, not-for-profit
institutions, farms, Federal Government, and state, local, or tribal
governments.
A. Estimates For All Fees, Including Both Information Added In This
Collection And Information In Existing And Pending Collections

    Estimated Number of Respondents For All Fees: 5,832,472 responses
per year.
    Estimated Time per Response For All Fees: Except as noted below for
the two fees added to this collection, this
information collection will not result in any change in any time per
response.
    Estimated Total Annual (Hour) Respondent Cost Burden for All Fees:
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 148 

Except as noted below for the two fees added to this collection, this
information collection will not result in any change in any information
requirements associated with fees set or amended by this proposed
rulemaking. Other than the two fees added to this collection, the only
change in the total annual (hour) respondent cost burden results from
the change in responses, which is a result of two factors. First,
because the change in a fee for a particular service may cause a change
in demand for that service, the total number of respondents for each
service might change, altering the total annual (hour) respondent cost
burden for fees covered under approved collections. This change has
been fully detailed in the supporting statement and its appendices.
Second, response numbers of current inventories have been updated to
reflect the Office's most recent estimates.
    Estimated Total Annual (Non-Hour) Respondent Cost Burden for All
Fees: $2,594,521,312. The USPTO estimates that the total fees
associated with this collection, representing all fees collected across
the full panoply of patent processing services provided by the Office,
will be approximately $2,594,521,210 per year. (This number is
different than the total revenue cited elsewhere in this rule because
PRA estimates have been calculated by taking an average over three
years of estimated responses and because not every fee adjusted in this
rulemaking constitutes a burden under the PRA (e.g., self-service
copying fees).) The amount of these fees is a $358,711,017 change from
the fee amounts currently in the USPTO PRA inventory. Of this,
$349,621,825 directly results from this proposed rulemaking and
$9,089,192 results from non-rulemaking factors. Additionally, the USPTO
estimates that $102 of additional postage cost associated with the
items added in this collection will result from this collection.
Because the postage costs for items in existing collections have not
been altered by this rulemaking, they are not part of the burden of
this rulemaking.

B. Estimates for Fees not Specifically Delineated in an Existing
Information Collection Request (A Subset of All Fees in Part A. Above)

    Estimated Number of Respondents for Information Added In This
Collection: 665 responses per year.
    Estimated Time Per Response For Information Added In This
Collection: The USPTO estimates that it will take the public between 2
and 4 hours to gather the necessary information, prepare the
appropriate form or other documents, and submit the information to the
USPTO.
    Estimated Total Annual Respondent Burden Hours For Information
Added In This Collection: 1,660 hours per year.
    Estimated Total Annual (Hour) Respondent Cost Burden For
Information Added In This Collection: $615,860 per year.
    Estimated Annual (Non-Hour) Respondent Cost Burden For Information
Added In This Collection: $493,852 per year. Of this amount, $427,750
directly results from this rulemaking, $66,000 results from non-
rulemaking factors, and $102 results from postage.

3. Solicitation

    The agency is soliciting comments to: (1) Evaluate whether the
proposed information requirement is necessary for the proper
performance of the functions of the agency, including whether the
information will have practical utility; (2) evaluate the accuracy of
the agency's estimate of the burden; (3) enhance the quality, utility,
and clarity of the information to be collected; and (4) minimize the
burden of collecting the information on those who are to respond,
including by using appropriate automated, electronic, mechanical, or
other technological collection techniques or other forms of information
technology.
    Interested persons are requested to send comments regarding this
information collection by November 5, 2012 to: (1) The Office of
Information and Regulatory Affairs, Office of Management and Budget,
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 149 

New Executive Office Building, Room 10202, 725 17th Street NW.,
Washington, DC 20503, Attention: Nicholas A. Fraser, the Desk Officer
for the United States Patent and Trademark Office, and via email at
nfraser@omb.eop.gov; and (2) Michelle Picard via email to
fee.setting@uspto.gov, or by mail addressed to: Mail Stop - Office of
the Chief Financial Officer, Director of the United States Patent and
Trademark Office, P.O. Box 1450, Alexandria, VA 22313-1450, marked to
the attention of Michelle Picard.
    Notwithstanding any other provision of law, no person is required
to respond to nor shall a person be subject to a penalty for failure to
comply with a collection of information subject to the requirements of
the Paperwork Reduction Act unless that collection of information
displays a currently valid OMB control number.

List of Subjects

37 CFR Part 1

    Administrative practice and procedure, Courts, Freedom of
Information, Inventions and patents, Reporting and recordkeeping
requirements, Small Businesses.

37 CFR Part 41

    Administrative practice and procedure, Inventions and patents,
Lawyers.

37 CFR Part 42

    Trial practice before the Patent Trial and Appeal Board.
    For the reasons set forth in the preamble, 37 CFR parts 1, 41, and
42 are proposed to be amended as follows:

PART 1 - RULES OF PRACTICE IN PATENT CASES

    1. The authority citation for 37 CFR Part 1 continues to read as
follows:

    Authority: 35 U.S.C. 2(b)(2).

    2. Section 1.16 is amended by revising paragraphs (a) through (s)
to read as follows:


§ 1.16  National application filing, search, and examination fees.

    (a) Basic fee for filing each application under 35 U.S.C. 111 for
an original patent, except design, plant, or provisional applications:

By a micro entity (§ 1.29(a))                                $70.00
By a small entity (§ 1.27(a))                               $140.00
By a small entity (§ 1.27(a)) if the application is          $70.00
 submitted in compliance with the Office electronic filing
 system (§ 1.27(b)(2))
By other than a small or micro entity                       $280.00

    (b) Basic fee for filing each app lication for an original design
patent:

By a micro entity (§ 1.29(a))                                $45.00
By a small entity (§ 1.27(a))                                $90.00
By other than a small or micro entity                       $180.00

    (c) Basic fee for filing each application for an original plant
patent:

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 150 

By a micro entity (§ 1.29(a))                                $45.00
By a small entity (§ 1.27(a))                                $90.00
By other than a small or micro entity                       $180.00

    (d) Basic fee for filing each provisional application:

By a micro entity (§ 1.29(a))                                $65.00
By a small entity (§ 1.27(a))                               $130.00
By other than a small or micro entity                       $260.00

    (e) Basic fee for filing each application for the reissue of a
patent:

By a micro entity (§ 1.29(a))                                $70.00
By a small entity (§ 1.27(a))                               $140.00
By other than a small or micro entity                       $280.00

    (f) Surcharge for filing any of the basic filing fee, the search
fee, the examination fee, or the oath or declaration on a date later
than the filing date of the application, except provisional
applications:

By a micro entity (§ 1.29(a))                                $35.00
By a small entity (§ 1.27(a))                                $70.00
By other than a small or micro entity                       $140.00

    (g) Surcharge for filing the basic filing fee or cover sheet
(§ 1.51(c)(1)) on a date later than the filing date of the provisional
application:

By a micro entity (§ 1.29(a))                                $15.00
By a small entity (§ 1.27(a))                                $30.00
By other than a small or micro entity                        $60.00

    (h) In addition to the basic filing fee in an application, other
than a provisional application, for filing or later presentation at any
other time of each claim in independent form in excess of 3:

By a micro entity (§ 1.29(a))                               $105.00
By a small entity (§ 1.27(a))                               $210.00
By other than a small or micro entity                       $420.00

    (i) In addition to the basic filing fee in an application, other
than a provisional application, for filing or later presentation at any
other time of each claim (whether dependent or independent) in excess
of 20 (note that § 1.75(c) indicates how multiple dependent claims
are considered for fee calculation purposes):

By a micro entity (§ 1.29(a))                                $20.00
By a small entity (§ 1.27(a))                                $40.00
By other than a small or micro entity                        $80.00

    (j) In addition to the basic filing fee in an application, other
than a provisional application, that contains, or is amended to
contain, a multiple dependent claim, per application:

By a micro entity (§ 1.29(a))                               $195.00
By a small entity (§ 1.27(a))                               $390.00
By other than a small or micro entity                       $780.00

    (k) Search fee for each application filed under 35 U.S.C. 111 for
an original patent, except design, plant, or provisional applications:

By a micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 151 


    (l) Search fee for each application for an original design patent:

By a micro entity (§ 1.29(a))                                $30.00
By a small entity (§ 1.27(a))                                $60.00
By other than a small or micro entity                       $120.00

    (m) Search fee for each application for an original plant patent:

By a micro entity (§ 1.29(a))                                $95.00
By a small entity (§ 1.27(a))                               $190.00
By other than a small or micro entity                       $380.00

    (n) Search fee for each application for the reissue of a patent:

By a micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00

    (o) Examination fee for each application filed under 35 U.S.C. 111
for an original patent, except design, plant, or provisional
applications:

By a micro entity (§ 1.29(a))                               $180.00
By a small entity (§ 1.27(a))                               $360.00
By other than a small or micro entity                       $720.00

    (p) Examination fee for each application for an original design
patent:

By a micro entity (§ 1.29(a))                               $115.00
By a small entity (§ 1.27(a))                               $230.00
By other than a small or micro entity                       $460.00

    (q) Examination fee for each application for an original plant patent:

By a micro entity (§ 1.29(a))                               $145.00
By a small entity (§ 1.27(a))                               $290.00
By other than a small or micro entity                       $580.00

    (r) Examination fee for each application for the reissue of a patent:

By a micro entity (§ 1.29(a))                               $540.00
By a small entity (§ 1.27(a))                             $1,080.00
By other than a small or micro entity                     $2,160.00

    (s) Application size fee for any application filed under 35 U.S.C.
111 for the specification and drawings which exceed 100 sheets of
paper, for each additional 50 sheets or fraction thereof:

By a micro entity (§ 1.29(a))                               $100.00
By a small entity (§ 1.27(a))                               $200.00
By other than a small or micro entity                       $400.00

* * * * *

    3. Section 1.17 is amended by revising paragraphs (a) through (i),
removing and reserving paragraph (j), and revising paragraphs (k)
through (m) and (p) through (t) to read as follows:

§ 1.17  Patent application and reexamination processing fees.

    (a) Extension fees pursuant to § 1.136(a):
    (1) For reply within first month:

By a micro entity (§ 1.29(a))                                $50.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 152 

By a small entity (§ 1.27(a))                               $100.00
By other than a small or micro entity                       $200.00

    (2) For reply within second month:

By a micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00

    (3) For reply within third month:

By a micro entity (§ 1.29(a))                               $350.00
By a small entity (§ 1.27(a))                               $700.00
By other than a small or micro entity                     $1,400.00

    (4) For reply within fourth month:

By a micro entity (§ 1.29(a))                               $550.00
By a small entity (§ 1.27(a))                             $1,100.00
By other than a small or micro entity                     $2,200.00

    (5) For reply within fifth month:

By a micro entity (§ 1.29(a))                               $750.00
By a small entity (§ 1.27(a))                             $1,500.00
By other than a small or micro entity                     $3,000.00

    (b) For fees in proceedings before the Board of Patent Appeals and
Interferences, see § 41.20 of this title.
    (c) For filing a request for prioritized examination under § 1.102(e):

By a micro entity (§ 1.29(a))                             $1,000.00
By a small entity (§ 1.27(a))                             $2,000.00
By other than a small or micro entity                     $4,000.00

    (d) For correction of inventorship in an application after the
first Office action on the merits:

By a micro entity (§ 1.29(a))                               $250.00
By a small entity (§ 1.27(a))                               $500.00
By other than a small or micro entity                     $1,000.00

    (e) To request continued examination pursuant to § 1.114:
    (1) For filing a first request for continued examination pursuant
to § 1.114 in an application:

By a micro entity                                           $300.00
By a small entity (§ 1.27(a))                               $600.00
By other than a small or micro entity                     $1,200.00

    (2) For filing a second or subsequent request for continued
examination pursuant to § 1.114 in an application:

By a micro entity                                           $425.00
By a small entity (§ 1.27(a))                               $850.00
By other than a small or micro entity                     $1,700.00

    (f) For filing a petition under one of the following sections which
refers to this paragraph:

By a micro entity (§ 1.29(a))                               $100.00
By a small entity (§ 1.27(a))                               $200.00
By other than a small or micro entity                       $400.00

    § 1.36(a) - for revocation of a power of attorney by fewer than
all of the applicants.
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 153 

    § 1.53(e) - to accord a filing date.
    § 1.57(a) - to accord a filing date.
    § 1.182 - for decision on a question not specifically provided for.
    § 1.183 - to suspend the rules.
    § 1.378(e) - for reconsideration of decision on petition
refusing to accept delayed payment of maintenance fee in an expired
patent.
    § 1.741(b) - to accord a filing date to an application under
§ 1.740 for extension of a patent term.
    (g) For filing a petition under one of the following sections which
refers to this paragraph:

By a micro entity (§ 1.29(a))                                $50.00
By a small entity (§ 1.27(a))                               $100.00
By other than a small or micro entity                       $200.00

    § 1.12 - for access to an assignment record.
    § 1.14 - for access to an application.
    § 1.47 - for filing by other than all the inventors or a person
not the inventor.
    § 1.59 - for expungement of information.
    § 1.103(a) - to suspend action in an application.
    § 1.136(b) - for review of a request for extension of time when
the provisions of § 1.136 (a) are not available.
    § 1.295 - for review of refusal to publish a statutory invention
registration.
    § 1.296 - to withdraw a request for publication of a statutory
invention registration filed on or after the date the notice of intent
to publish issued.
    § 1.377 - for review of decision refusing to accept and record
payment of a maintenance fee filed prior to expiration of a patent.
    § 1.550(c) - for patent owner requests for extension of time in
ex parte reexamination proceedings.
    § 1.956 - for patent owner requests for extension of time in
inters partes reexamination proceedings.
    § 5.12 - for expedited handling of a foreign filing license.
    § 5.15 - for changing the scope of a license.
    § 5.25 - for retroactive license.

    (h) For filing a petition under one of the following sections which
refers to this paragraph:

By a micro entity (§ 1.29(a))                                $35.00
By a small entity (§ 1.27(a))                                $70.00
By other than a small or micro entity                       $140.00

    § 1.19(g) - to request documents in a form other than provided
in this part.
    § 1.84 - for accepting color drawings or photographs.
    § 1.91 - for entry of a model or exhibit.
    § 1.102(d) - to make an application special.
    § 1.138(c) - to expressly abandon an application to avoid
publication.
    § 1.313 - to withdraw an application from issue.
    § 1.314 - to defer issuance of a patent.

    (i) Processing fee for taking action under one of the following
sections which refers to this paragraph:

By a micro entity (§ 1.29(a))                                $35.00
By a small entity (§ 1.27(a))                                $70.00
By other than a small or micro entity                       $140.00

    § 1.28(c)(3) - for processing a non-itemized fee deficiency
based on an error in small entity status.
    § 1.41 - for supplying the name or names of the inventor or
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 154 

inventors after the filing date without an oath or declaration as
prescribed by § 1.63, except in provisional applications.
    § 1.48 - for correcting inventorship, except in provisional
applications.
    § 1.52(d) - for processing a nonprovisional application filed
with a specification in a language other than English.
    § 1.53(b)(3) - to convert a provisional application filed under
§ 1.53(c) into a nonprovisional application under § 1.53(b).
    § 1.55 - for entry of late priority papers.
    § 1.71(g)(2) - for processing a belated amendment under § 1.71(g).
    § 1.99(e) - for processing a belated submission under § 1.99.
    § 1.102(e) - for requesting prioritized examination of an
application.
    § 1.103(b) - for requesting limited suspension of action,
continued prosecution application for a design patent (§ 1.53(d)).
    § 1.103(c) - for requesting limited suspension of action,
request for continued examination (§ 1.114).
    § 1.103(d) - for requesting deferred examination of an
application.
    § 1.217 - for processing a redacted copy of a paper submitted in
the file of an application in which a redacted copy was submitted for
the patent application publication.
    § 1.221 - for requesting voluntary publication or republication
of an application.
    § 1.291(c)(5) - for processing a second or subsequent protest by
the same real party in interest.
    § 1.497(d) - for filing an oath or declaration pursuant to 35
U.S.C. 371(c)(4) naming an inventive entity different from the
inventive entity set forth in the international stage.
    § 3.81 - for a patent to issue to assignee, assignment submitted
after payment of the issue fee.

    (j) [Reserved]
    (k) For filing a request for expedited examination under § 1.155(a):

By a micro entity (§ 1.29(a))                               $225.00
By a small entity (§ 1.27(a))                               $450.00
By other than a small or micro entity                       $900.00

    (l) For filing a petition for the revival of an unavoidably
abandoned application under 35 U.S.C. 111, 133, 364, or 371, for the
unavoidably delayed payment of the issue fee under 35 U.S.C. 151, or
for the revival of an unavoidably terminated reexamination proceeding
under 35 U.S.C. 133 (§ 1.137(a)):

By a micro entity (§ 1.29(a))                               $160.00
By a small entity (§ 1.27(a))                               $320.00
By other than a small or micro entity                       $640.00

    (m) For filing a petition for the revival of an unintentionally
abandoned application, for the unintentionally delayed payment of the fee
for issuing a patent, or for the revival of an unintentionally
terminated reexamination proceeding under 35 U.S.C. 41(a)(7) (§1.137(b)):

By a micro entity (§ 1.29(a))                               $475.00
By a small entity (§ 1.27(a))                               $950.00
By other than a small or micro entity                     $1,900.00

* * * * *

    (p) For an information disclosure statement under § 1.97(c) or
(d) or a submission under § 1.9:

By a micro entity (§ 1.29(a))                                $45.00
By a small entity (§ 1.27(a))                                $90.00
By other than a small or micro entity                       $180.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 155 


    (q) Processing fee for taking action under one of the following
sections which refers to this paragraph: $50.00

    § 1.41 - to supply the name or names of the inventor or
inventors after the filing date without a cover sheet as prescribed by
§ 1.51(c)(1) in a provisional application § 1.48 - for
correction of inventorship in a provisional application.
    § 1.53(c)(2) - to convert a nonprovisional application filed
under § 1.53(b) to a provisional application under § 1.53(c)

    (r) For entry of a submission after final rejection under § 1.129(a):

By a micro entity (§ 1.29(a))                               $210.00
By a small entity (§ 1.27(a))                               $420.00
By other than a small or micro entity                       $840.00

    (s) For each additional invention requested to be examined under
§ 1.129(b):

By a micro entity (§ 1.29(a))                               $210.00
By a small entity (§ 1.27(a))                               $420.00
By other than a small or micro entity                       $840.00

    (t) For the acceptance of an unintentionally delayed claim for
priority under 35 U.S.C. 119, 120, 121, or 365(a) or (c) (Sec. § 1.55
and 1.78) or for filing a request for the restoration of the right
of priority under:

By a micro entity (§ 1.29(a))                               $355.00
By a small entity (§ 1.27(a))                               $710.00
By other than a small or micro entity                     $1,420.00

    4. Section 1.18 is revised to read as follows:

§ 1.18  Patent post allowance (including issue) fees.

    (a) Issue fee for issuing each original patent, except a design or
plant patent, or for issuing each reissue patent:

By a micro entity (§ 1.29(a))                               $240.00
By a small entity (§ 1.27(a))                               $480.00
By other than a small or micro entity                       $960.00

    (b) Issue fee for issuing an original design patent:

By a micro entity (§ 1.29(a))                               $140.00
By a small entity (§ 1.27(a))                               $280.00
By other than a small or micro entity                       $560.00

    (c) Issue fee for issuing an original plant patent:

By a micro entity (§ 1.29(a))                               $190.00
By a small entity (§ 1.27(a))                               $380.00
By other than a small or micro entity                       $760.00

    (d)

Publication fee                                               $0.00
Republication fee (§ 1.221(a))                              $300.00

    (e) For filing an application for patent term adjustment under
§ 1.705:                                                    $200.00

    (f) For filing a request for reinstatement of all or part of the
term reduced pursuant to § 1.704(b) in an application for patent
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 156 

term adjustment under § 1.705:                              $400.00

    5. Section 1.19 is revised to read as follows:

§ 1.19  Document Supply Fees.

    The United States Patent and Trademark Office will supply copies of
the following patent-related documents upon payment of the fees
indicated. Paper copies will be in black and white unless the original
document is in color, a color copy is requested and the fee for a color
copy is paid.
    (a) Uncertified copies of patent application publications and
patents:
    (1) Printed copy of the paper portion of a patent application
publication or patent including a design patent, statutory invention
registration, or defensive publication document. Service includes
preparation of copies by the Office within two to three business days
and delivery by United States Postal Service; and preparation of copies
by the Office within one business day of receipt and delivery to an
Office Box or by electronic means (e.g., facsimile, electronic mail):
$3.00
    (2) Printed copy of a plant patent in color:             $15.00

    (3) Color copy of a patent (other than a plant patent) or statutory
invention registration containing a color drawing:           $25.00

    (b) Copies of Office documents to be provided in paper, or in
electronic form, as determined by the Director (for other patent-
related materials see § 1.21(k)):
    (1) Copy of a patent application as filed, or a patent-related file
wrapper and contents, stored in paper in a paper file wrapper, in an
image format in an image file wrapper, or if color documents, stored in
paper in an Artifact Folder:
    (i) If provided on paper:
    (A) Application as filed:                                $20.00

    (B) File wrapper and contents of 400 or fewer pages:    $200.00

    (C) Additional fee for each additional 100 pages or portion thereof
of file wrapper and contents:                                $40.00

    (D) Individual application documents, other than application as
filed, per document:                                         $25.00

    (ii) If provided on compact disc or other physical electronic
medium in single order:
    (A) Application as filed:                                $20.00

    (B) File wrapper and contents, first physical electronic
medium:                                                      $55.00

    (C) Additional fee for each continuing physical electronic medium
in the single order of paragraph (b)(1)(ii)(B) of this section: $15.00
    (iii) If provided electronically (e.g., by electronic transmission)
other than on a physical electronic medium as specified in paragraph
(b)(1)(ii) of this section:
    (A) Application as filed:                                $20.00

    (B) File wrapper and contents:                           $55.00

    (iv) If provided to a foreign intellectual property office pursuant to
a priority document exchange agreement (see § 1.14 (h)(1)):   $0.00

    (2) Copy of patent-related file wrapper contents that were
submitted and are stored on compact disc or other electronic form
(e.g., compact discs stored in an Artifact Folder), other than as
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 157 

available in paragraph (b)(1) of this section:
    (i) If provided on compact disc or other physical electronic medium
in a single order:
    (A) First physical electronic medium in a single order:  $55.00

    (B) Additional fee for each continuing physical electronic medium
in the single order of paragraph (b)(2)(i) of this section:  $15.00

    (ii) If provided electronically other than on a physical electronic
medium per order:                                            $55.00

    (3) Copy of Office records, except copies available under paragraph
(b)(1) or (2) of this section:                               $25.00

    (4) For assignment records, abstract of title and certification,
per patent: $25.00
    (c) Library service (35 U.S.C. 13): For providing to libraries
copies of all patents issued annually, per annum:            $50.00

    (d) For list of all United States patents and statutory invention
registrations in a subclass:                                  $3.00

    (e) Uncertified statement as to status of the payment of
maintenance fees due on a patent or expiration of a patent:  $10.00

    (f) Uncertified copy of a non-United States patent document, per
document:                                                    $25.00

    (g) Petitions for documents in a form other than that provided by
this part, or in a form other than that generally provided by the
Director, will be decided in accordance with the merits of each
situation. Any petition seeking a decision under this section must be
accompanied by the petition fee set forth in § 1.17 (h) and, if the
petition is granted, the documents will be provided at cost.

   6. Section 1.20 is revised to read as follows:

§ 1.20  Post issuance fees.

    (a) For providing a certificate of correction for applicant's
mistake (§ 1.323):                                          $100.00

    (b) Processing fee for correcting inventorship in a patent
(§ 1.324):                                                  $130.00

    (c) In reexamination proceedings:
    (1) For filing a request for ex parte reexamination (§ 1.510(a)):

By a micro entity (§ 1.29(a))                             $3,750.00
By a small entity (§ 1.27(a))                             $7,500.00
By other than a small or micro entity                    $15,000.00

    (2) [Reserved]
    (3) For filing with a request for reexamination or later
presentation at any other time of each claim in independent form in
excess of 3 and also in excess of the number of claims in independent
form in the patent under reexamination:

By a micro entity (§ 1.29(a))                               $105.00
By a small entity (§ 1.27(a))                               $210.00
By other than a small or micro entity                       $420.00

    (4) For filing with a request for reexamination or later
presentation at any other time of each claim (whether dependent or
independent) in excess of 20 and also in excess of the number of claims
in the patent under reexamination (note that § 1.75(c) indicates
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 158 

how multiple dependent claims are considered for fee calculation
purposes):

By a micro entity (§ 1.29(a))                                $20.00
By a small entity (§ 1.27(a))                                $40.00
By other than a small or micro entity                        $80.00

    (5) If the excess claims fees required by paragraphs (c)(3) and (4)
of this section are not paid with the request for reexamination or on
later presentation of the claims for which the excess claims fees are
due, the fees required by paragraphs (c)(3) and (4) must be paid or the
claims canceled by amendment prior to the expiration of the time period
set for reply by the Office in any notice of fee deficiency in order to
avoid abandonment.
    (6) For filing a petition in a reexamination proceeding, except for
those specifically enumerated in Sec. § 1.550(i) and 1.937(d):

By a micro entity (§ 1.29(a))                               $485.00
By a small entity (§ 1.27(a))                               $970.00
By other than a small or micro entity                     $1,940.00

    (7) For a refused request for ex parte reexamination under § 1.510
(included in the request for ex parte reexamination fee):

By a micro entity (§ 1.29(a))                               $900.00
By a small entity (§ 1.27(a))                             $1,800.00
By other than a small or micro entity                     $3,600.00

    (d) For filing each statutory disclaimer (§ 1.321):

By other than a small or micro entity                       $160.00

    (e) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond four years, the fee being due by three years and
six months after the original grant:

By a micro entity (§ 1.29(a))                               $400.00
By a small entity (§ 1.27(a))                               $800.00
By other than a small or micro entity                     $1,600.00

    (f) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond eight years, the fee being due by seven years and
six months after the original grant:

By a micro entity (§ 1.29(a))                               $900.00
By a small entity (§ 1.27(a))                             $1,800.00
By other than a small or micro entity                     $3,600.00

    (g) For maintaining an original or reissue patent, except a design
or plant patent, based on an application filed on or after December 12,
1980, in force beyond twelve years, the fee being due by eleven years
and six months after the original grant:

By a micro entity (§ 1.29(a))                            $1 ,850.00
By a small entity (§ 1.27(a))                             $3,700.00
By other than a small or micro entity                     $7,400.00

    (h) Surcharge for paying a maintenance fee during the six-month
grace period following the expiration of three years and six months,
seven years and six months, and eleven years and six months after the
date of the original grant of a patent based on an application filed on
or after December 12, 1980:

By a micro entity (§ 1.29(a))                                $40.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 159 

By a small entity (§ 1.27(a))                                $80.00
By other than a small or micro entity                       $160.00

    (i) Surcharge for accepting a maintenance fee after expiration of a
patent for non-timely payment of a maintenance fee where the delay in
payment is shown to the satisfaction of the Director to have been -
    (1) Unavoidable:

By a micro entity (§ 1.29(a))                               $175.00
By a small entity (§ 1.27(a))                               $350.00
By other than a small or micro entity                       $700.00

    (2) Unintentional:

By a micro entity (§ 1.29(a))                               $410.00
By a small entity (§ 1.27(a))                               $820.00
By other than a small or micro entity                     $1,640.00

    (j) For filing an application for extension of the term of a patent
    (1) Application for extension under § 1.740:          $1,120.00

    (2) Initial application for interim extension under
§ 1.790:                                                    $420.00

    (3) Subsequent application for interim extension under
§ 1.790:                                                    $220.00

    (k) In supplemental examination proceedings:
    (1) For processing and treating a request for supplemental
examination:

By a micro entity (§ 1.29(a))                             $1,100.00
By a small entity (§ 1.27(a))                             $2,200.00
By other than a small or micro entity                     $4,400.00

    (2) For ex parte reexamination ordered as a result of a
supplemental examination proceeding:

By a micro entity (§ 1.29(a))                             $3,400.00
By a small entity (§ 1.27(a))                             $6,800.00
By other than a small or micro entity                    $13,600.00

    (3) For processing and treating, in a supplemental examination
proceeding, a non-patent document over 20 sheets in length, per
document:
    (i) Between 21 and 50 sheets:

By a micro entity (§ 1.29(a))                               $45.00
By a small entity (§ 1.27(a))                               $90.00
By other than a small or micro entity                      $180.00

    (ii) For each additional 50 sheets or a fraction thereof:

By a micro entity (§ 1.29(a))                               $70.00
By a small entity (§ 1.27(a))                              $140.00
By other than a small or micro entity                      $280.00

    7. Section 1.21 is amended by:
    a. Revising paragraph (a);
    b. Removing and reserving paragraph (d);
    c. Revising paragraph (e);
    d. Revising paragraphs (g) through (k);
    e. Revising paragraph (n); and
    f. Removing paragraph (o).

    The revisions read as follows:
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 160 


§ 1.21  Miscellaneous fees and charges.

* * * * *
    (a) Registration of attorneys and agents:
    (l) For admission to examination for registration to practice:
    (i) Application Fee (non-refundable):                    $40.00

    (ii) Registration Examination Fee.

    (A) For test administration by commercial entity:       $200.00

    (B) For test administration by the USPTO:               $450.00

    (2) On registration to practice or grant of limited recognition
under § 11.9(b) or (c):                                     $100.00

    (3) [Reserved]
    (4) For certificate of good standing as an attorney or
agent:                                                       $10.00

    (i) Suitable for framing:                                $20.00

    (ii) [Reserved]
    (5) For review of decision:
    (i) By the Director of Enrollment and Discipline under
§ 11.2(c):                                                  $130.00

    (ii) Of the Director of Enrollment and Discipline under
§ 11.2(d):                                                  $130.00

    (6) [Reserved]
    (7) Annual practitioner maintenance fee for registered attorney or
agent.
    (i) Active Status:                                      $120.00

    (ii) Voluntary Inactive Status:                          $25.00

    (iii) Fee for requesting restoration to active status from
voluntary inactive status:                                   $50.00

    (iv) Balance due upon restoration to active status from voluntary
inactive status:                                            $100.00

    (8) Annual practitioner maintenance fee for individual granted
limited recognition:                                        $120.00

    (9)(i) Delinquency fee:                                  $50.00

    (ii) Administrative reinstatement fee:                  $100.00

    (10) On application by a person for recognition or registration
after disbarment or suspension on ethical grounds, or resignation
pending disciplinary proceedings in any other jurisdiction; on
application by a person for recognition or registration who is
asserting rehabilitation from prior conduct that resulted in an adverse
decision in the Office regarding the person's moral character; and on
application by a person for recognition or registration after being
convicted of a felony or crime involving moral turpitude or breach of
fiduciary duty; on petition for reinstatement by a person excluded or
suspended on ethical grounds, or excluded on consent from practice before
the Office:                                               $1,600.00

* * * * *

    (e) International type search reports: For preparing an
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 161 

international type search report of an international type search made
at the time of the first action on the merits in a national patent
application:                                                 $40.00

    (g) Self-service copy charge, per page:                   $0.25

    (h) For recording each assignment, agreement, or other paper
relating to the property in a patent or application, per property:
    (1) If submitted electronically:                          $0.00

    (2) If not submitted electronically:                     $40.00

    (i) Publication in Official Gazette: For publication in the
Official Gazette of a notice of the availability of an application or a
patent for licensing or sale: Each application or patent:    $25.00

    (j) Labor charges for services, per hour or fraction
thereof:                                                     $40.00

    (k) For items and services that the Director finds may be supplied,
for which fees are not specified by statute or by this part, such
charges as may be determined by the Director with respect to each such
item or service:                                        Actual cost

* * * * *
    (n) For handling an application in which proceedings are terminated
pursuant to § 1.53(e);                                      $130.00

    8. Section 1.445 is amended by revising paragraph (a) introductory
text and paragraphs (a)(1)(i), (a)(2) through (4), and (b) to read as
follows:

§ 1.445  International application filing, processing and search fees.

    (a) The following fees and charges for international applications
are established by law or by the Director under the authority of 35
U.S.C. 376:
    (1) A transmittal fee (see 35 U.S.C. 361(d) and PCT Rule 14)
consisting of:
    (i) A basic portion:

By a micro entity (§ 1.29(a))                                $60.00
By a small entity (§ 1.27(a))                               $120.00
By other than a small or micro entity                       $240.00

* * * * *

    (2) A search fee (see 35 U.S.C. 361(d) and PCT Rule 16):

By a micro entity (§ 1.29(a))                               $520.00
By a small entity (§ 1.27(a))                             $1,040.00
By other than a small or micro entity                     $2,080.00

    (3) A supplemental search fee when required, per additional
invention:

By a micro entity (§ 1.29(a))                               $520.00
By a small entity (§ 1.27(a))                             $1,040.00
By other than a small or micro entity                     $2,080.00

    (4) A fee equivalent to the transmittal fee in paragraph (a)(1) of
this section for transmittal of an international application to the
International Bureau for processing in its capacity as a Receiving
Office (PCT Rule 19.4):

By a micro entity (§ 1.29(a))                               $60.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 162 

By a small entity (§ 1.27(a))                              $120.00
By other than a small or micro entity                      $240.00

    (b) The international filing fee shall be as prescribed in PCT Rule
15.
    9. Section 1.482 is revised to read as follows:

§ 1.482  International preliminary examination fees.

    (a) The following fees and charges for international preliminary
examination are established by the Director under the authority of 35
U.S.C. 376:
    (1) The following preliminary examination fee is due on filing the
Demand:
    (i) If 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 micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00

    (ii) If the International Searching Authority for the international
application was an authority other than the United States Patent and
Trademark:

By a micro entity (§ 1.29(a))                               $190.00
By a small entity (§ 1.27(a))                               $380.00
By other than a small or micro entity                       $760.00

    (2) An additional preliminary examination fee when required, per
additional invention:

By a micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00

    (b) The handling fee is due on filing the Demand and shall be
prescribed in PCT Rule 57.

    10. Section 1.492 is revised to read as follows:

§ 1.492  National stage fees.

    The following fees and charges are established for international
applications entering the national stage under 35 U.S.C. 371:

    (a) The basic national fee for an international application
entering the national stage under 35 U.S.C. 371:

By a micro entity (§ 1.29(a))                                $70.00
By a small entity (§ 1.27(a))                               $140.00
By other than a small or micro entity                       $280.00

    (b) Search fee for an international application entering the
national stage under 35 U.S.C. 371:
    (1) If an international preliminary examination report on the
international application prepared by the United States International
Preliminary Examining Authority or a written opinion on the
international application prepared by the United States International
Searching Authority states that the criteria of novelty, inventive step
(non-obviousness), and industrial applicability, as defined in PCT
Article 33(1) to (4) have been satisfied for all of the claims
presented in the application entering the national stage:

By a micro entity (§ 1.29(a))                                 $0.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 163 

By a small entity (§ 1.27(a))                                 $0.00
By other than a small or micro entity                         $0.00

    (2) If the 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 micro entity (§ 1.29(a))                                $30.00
By a small entity (§ 1.27(a))                                $60.00
By other than a small or micro entity                       $120.00

    (3) If an international search report on the international
application has been prepared by an International Searching Authority
other than the United States International Searching Authority and is
provided, or has been previously communicated by the International
Bureau, to the Office:

By a micro entity (§ 1.29(a))                               $120.00
By a small entity (§ 1.27(a))                               $240.00
By other than a small or micro entity                       $480.00

    (4) In all situations not provided for in paragraphs (b)(1), (2),
or (3) of this section:

By a micro entity (§ 1.29(a))                               $150.00
By a small entity (§ 1.27(a))                               $300.00
By other than a small or micro entity                       $600.00

    (c) The examination fee for an international application entering
the national stage under 35 U.S.C. 371:
    (1) If an international preliminary examination report on the
international application prepared by the United States International
Preliminary Examining Authority or a written opinion on the
international application prepared by the United States International
Searching Authority states that the criteria of novelty, inventive step
(non-obviousness), and industrial applicability, as defined in PCT
Article 33(1) to (4) have been satisfied for all of the claims
presented in the application entering the national stage:

By a micro entity (§ 1.29(a))                                 $0.00
By a small entity (§ 1.27(a))                                 $0.00
By other than a small or micro entity                         $0.00

    (2) In all situations not provided for in paragraph (c)(1) of this
section:

By a micro entity (§ 1.29(a))                               $180.00
By a small entity (§ 1.27(a))                               $360.00
By other than a small or micro entity                       $720.00

    (d) In addition to the basic national fee, for filing or on later
presentation at any other time of each claim in independent form in
excess of 3:

By a micro entity (§ 1.29(a))                               $105.00
By a small entity (§ 1.27(a))                               $210.00
By other than a small or micro entity                       $420.00

    (e) In addition to the basic national fee, for filing or on later
presentation at any other time of each claim (whether dependent or
independent) in excess of 20 (note that § 1.75(c) indicates how
multiple dependent claims are considered for fee calculation purposes):

By a micro entity (§ 1.29(a))                                $20.00
By a small entity (§ 1.27(a))                                $40.00
By other than a small or micro entity                        $80.00
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 164 


    (f) In addition to the basic national fee, if the application
contains, or is amended to contain, a multiple dependent claim, per
application:

By a micro entity (§ 1.29(a))                               $195.00
By a small entity (§ 1.27(a))                               $390.00
By other than a small or micro entity                       $780.00

    (g) If the excess claims fees required by paragraphs (d) and (e) of
this section and multiple dependent claim fee required by paragraph (f)
of this section are not paid with the basic national fee or on later
presentation of the claims for which excess claims or multiple
dependent claim fees are due, the fees required by paragraphs (d), (e),
and (f) of this section must be paid or the claims canceled by
amendment prior to the expiration of the time period set for reply by
the Office in any notice of fee deficiency in order to avoid
abandonment.
    (h) Surcharge for filing any of the search fee, the examination
fee, or the oath or declaration after the date of the commencement of
the national stage (§ 1.491(a)) pursuant to § 1.495(c):

By a micro entity (§ 1.29(a))                                $35.00
By a small entity (§ 1.27(a))                                $70.00
By other than a small or micro entity                       $140.00

    (i) For filing an English translation of an international
application or any annexes to an international preliminary examination
report later than thirty months after the priority date (§ 1.495(c)
and (e)):

By a micro entity (§ 1.29(a))                                $35.00
By a small entity (§ 1.27(a))                                $70.00
By other than a small or micro entity                       $140.00

    (j) Application size fee for any international application, the
specification and drawings of which exceed 100 sheets of paper, for
each additional 50 sheets or fraction thereof:

By a micro entity (§ 1.29(a))                               $100.00
By a small entity (§ 1.27(a))                               $200.00
By other than a small or micro entity                       $400.00


PART 41 - PRACTICE BEFORE THE BOARD OF PATENT APPEALS AND INTERFERENCES

    11. The authority citation for part 41 continues to read as
follows:

    Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 134,
135.

    12. Section 41.20 is revised to read as follows:

§ 41.20  Fees.

    (a) Petition fee. The fee for filing a petition under this
part is:                                                    $400.00

    (b) Appeal fees. (1) For filing a notice of appeal from the
examiner to the Patent Trial and Appeal Board:

By a micro entity (§ 1.29(a))                               $250.00
By a small entity (§ 1.27(a))                               $500.00
By other than a small or micro entity                     $1,000.00

 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 165 

    (2)(i) For filing a brief in support of an appeal in an application
or ex parte reexamination proceeding:                         $0.00

    (ii) In addition to the fee for filing a notice of appeal, for
filing a brief in support of an appeal in an inter partes reexamination
proceeding:

By a micro entity (§ 1.29(a))                               $500.00
By a small entity (§ 1.27(a))                             $1,000.00
By other than a small or micro entity                     $2,000.00

    (3) For filing a request for an oral hearing before the Board in an
appeal under 35 U.S.C. 134:

By a micro entity (§ 1.29(a))                               $325.00
By a small entity (§ 1.27(a))                               $650.00
By other than a small or micro entity                     $1,300.00

    (4) In addition to the fee for filing a notice of appeal, for
forwarding an appeal in an application or ex parte reexamination
proceeding to the Board:

By a micro entity (§ 1.29(a))                               $500.00
By a small entity (§ 1.27(a))                             $1,000.00
By other than a small or micro entity                     $2,000.00

    13. Section 41.37 is amended by revising paragraphs (a) and (b) to
read as follows:

§ 41.37  Appeal brief.

    (a) Timing. Appellant must file a brief under this section within
two months from the date of filing the notice of appeal under § 41.31.
The appeal brief fee in an application or ex parte reexamination
proceeding is $0.00, but if the appeal results in an examiner's answer,
the appeal forwarding fee set forth in § 41.20(b)(4) must be paid
within the time period specified in § 41.48 to avoid dismissal of
an appeal.
    (b) Failure to file a brief. On failure to file the brief within
the period specified in paragraph (a) of this section, the appeal will
stand dismissed.

* * * * *

    14. Section 41.45 is added to read as follows:

§ 41.45  Appeal forwarding fee.

    (a) Timing. Appellant in an application or ex parte reexamination
proceeding must pay the fee set forth in § 41.20(b)(4) within the
later of two months from the date of either the examiner's answer, or a
decision refusing to grant a petition under § 1.181 of this chapter
to designate a new ground of rejection in an examiner's answer.
    (b) Failure to pay appeal forwarding fee. On failure to fee set
forth in § 41.20(b)(4) within the period specified in paragraph (a)
of this section, the appeal will stand dismissed.
    (c) Extensions of time. Extensions of time under § 1.136(a) of
this title for patent applications are not applicable to the time
period set forth in this section. See § 1.136(b) of this title for
extensions of time to reply for patent applications and § 1.550(c)
of this title for extensions of time to reply for ex parte
reexamination proceedings.

PART 42 - TRIAL PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD

    15. The authority citation for part 42 continues to read as
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 166 

follows:

    Authority: 35 U.S.C. 2(b)(2), 6, 21, 23, 41,135, 311, 312, 316,
321-326 and Leahy-Smith America Invents Act, Pub. L. 112-29,
sections 6(c), 6(f) and 18, 125 Stat. 284, 304, 311, and 329 (2011).

    16. Section 42.15, as added at August 14, 2012, at 77 FR 48669,
effective September 16, 2012, is revised to read as follows:

§ 42.15  Fees

    (a) On filing a petition for inter partes review of a patent,
payment of the following fees are due:

    (1) Inter Partes Review request fee:                  $9,000.00

    (2) Inter Partes Review Post-Institution fee:        $14,000.00

    (3) In addition to the Inter Partes Review request fee, for
requesting review of each claim in excess of 20:            $200.00

    (4) In addition to the Inter Partes Post-Institution request fee,
for requesting review of each claim in excess of 15:        $400.00

    (b) On filing a petition for post-grant review or covered business
method patent review of a patent, payment of the following fees are
due:
    (1) Post Grant or Covered Business Method Patent Review request
fee:                                                     $12,000.00

    (2) Post Grant or Covered Business Method Patent Review Post-
Institution fee:                                         $18,000.00

    (3) In addition to the Post Grant or Covered Business Method Patent
Review request fee, for requesting review of each claim in excess of
20:                                                         $250.00

    (4) In addition to the Post Grant or Covered Business Method Patent
Review request fee Post-Institution request fee, for requesting review
of each claim in excess of 15:                              $550.00

    (c) On the filing of a petition for a derivation proceeding,
payment of the following fees is due:

    (1) Derivation petition fee:                            $400.00

    (2) Derivation institution and trial fee:                 $0.00

    (d) Any request requiring payment of a fee under this part,
including a written request to make a settlement agreement
available:

August 29, 2012                                             DEBORAH S. COHN
                                                Commissioner for Trademarks
                                  United States Patent and Trademark Office
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 167 

Errata
                                     Errata

   "All reference to Patent No. 8,256,580 to Randall Keith Roberts, et al
of Hebron, CT for ELEVATOR DISPATCHING CONTROL FOR SWAY MITIGATION appearing
in the Official Gazette of September 04, 2012 should be deleted since no
patent was granted."

   "All reference to Patent No. 8,256,606 to Lothar Wilhelm, et al of Karben,
Germany for BOTTLING CONTAINER FILLING MACHINE AND OTHER ROTARY BOTTLE OR
CONTAINER HANDLING MACHINES IN A BOTTLING OR CONTAINER FILLING PLANT AND A
DRIVE THEREFOR appearing in the Official Gazette of September 04, 2012 should
be deleted since no patent was granted."

   "All reference to Patent No. 8,256,693 to Hans-Jurgen Nolte, et al of
Besigheim, Germany for ROTARY ATOMIZER WITH A SPRAYING BODY appearing in the
Official Gazette of September 04, 2012 should be deleted since no patent was
granted."

   "All reference to Patent No. 8,256,882 to Akihisa Wanibe, et al of
Nagano-Ken, Japan for LIQUID CONTAINER, METHOD OF FILLING LIQUID INTO LIQUID
CONTAINER, AND REMANUFACTURING METHOD OF LIQUID CONTAINER appearing in the
Official Gazette of September 04, 2012 should be deleted since no patent was
granted."

   "All reference to Patent No. 8,257,266 to Edmund J. Roschak, et al of
Mission Viejo, CA for METHOD AND SYSTEM FOR MEASURING PULMONARY ARTERY
CIRCULATION INFORMATION appearing in the Official Gazette of September 04,
2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,257,937 to Ety Klinger of Tel Aviv, Israel
for PROCESS FOR THE MEASUREMENT OF THE POTENCY OF GLATIRAMER ACETATE
appearing in the Official Gazette of September 04, 2012 should be deleted
since no patent was granted."

   "All reference to Patent No. 8,258,036 to Ravi Pillarisetty, et al of
Portland, OR for TRIGATE STATIC RANDOM-ACCESS MEMORY WITH INDEPENDENT SOURCE
AND DRAIN ENGINERRING, AND DEVICES THEREFROM appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,258,157 to Brian Budzik, et al of
Collegeville, PA for COMPUNDS WHICH HAVE ACTIVITY AT M1 RECEPTOR AND THEIR
USES IN MEDICINE appearing in the Official Gazette of September 04, 2012
should be deleted since no patent was granted."

   "All reference to Patent No. 8,258,507 to Kenji Okumoto, et al of Kyoto,
Japan for ORAGNIC ELECTROLUMINESCENCE ELEMENT AND MANUFACTURING METHOD
THEREOF appearing in the Official Gazette of September 04, 2012 should be
deleted since no patent was granted."

   "All reference to Patent No. 8,258,580 to Yoshihiro Sato, et al of Toyama,
Japan for SEMICONDUCTOR DEVICE AND METHOD FOR FABRICATING THE SAME appearing
in the Official Gazette of September 04, 2012 should be deleted since no
patent was granted."

   "All reference to Patent No. 8,258,871 to Jari Heikkinen, et al of Espoo,
Finland for AMPLIFIER appearing in the Official Gazette of September 04, 2012
should be deleted since no patent was granted."

   "All reference to Patent No. 8,258,967 to Stephen A. Dixon, et al of
Cincinnati, OH for HOSPITAL BED HAVING ALERT LIGHT appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,259,041 to Jun Koyama of Kanagawa, Japan
for EL DISPLAY DEVICE AND ELECTRONIC DEVICE appearing in the Official Gazette
of September 04, 2012 should be deleted since no patent was granted."
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 168 


   "All reference to Patent No. 8,259,230 to Masatoshi Kimura of Kawasaki,
Japan for METHOD OF CONTROLLING FIRST INFORMATION APPARATUS CONNECTABLE TO
SECOND INFORMATION APPARATUS appearing in the Official Gazette of September
04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,259,288 to Akimistu Ebihara of Fukaya-Shi,
Japan for EXPOSURE APPARATUS, AND DEVICE MANUFACTURING METHOD appearing in
the Official Gazette of September 04, 2012 should be deleted since no patent
was granted."

   "All reference to Patent No. 8,259,329 to Takashi Saikawa of Nagano, Japan
for MEDIUM PROCESSING APPARATUS AND CONTROLLING METHOD OF THE SAME appearing
in the Official Gazette of September 04, 2012 should be deleted since no
patent was granted."

   "All reference to Patent No. 8,259,607 to Hao Wu of Shenzhen, China for
METHOD AND SYSTEM FOR ADJUSTING CONFIGURATION OF BORDER OBJECT appearing in
the Official Gazette of September 04, 2012 should be deleted since no patent
was granted."

   "All reference to Patent No. 8,259,638 to Jin Hua, et al of Shenzhen,
China for WIRELESS CONNECTION METHOD AND DEVICE appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,259,639 to Jin Hua, et al of Shenzhen,
China for WIRELESS CONNECTION METHOD AND DEVICE appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,259,665 to Joon Kui Ahn, et al of Seoul
Korea, Republic of for METHOD FOR ACQUIRING RESOURCE REGION INFORMATION FOR
WHICH AND METHOD OF RECEIVING PDCCH appearing in the Official Gazette of
September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,259,979 to Jae-Hoon Lee of Seoul Korea,
Republic of for AUDIO/VIDEO DEVICE HAVING A VOLUME CONTROL FUNCTION FOR AN
EXTERNAL AUDIO REPRODUCTION UNIT BY USING VOLUME CONTROL BUTTONS OF A REMOTE
CONTROLLER AND VOLUME CONTROL METHOD THEREFOR appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,260,088 to Masanori Matsuzaki of Yokohama-
Shi, Japan for IMAGE PROCESSING APPARATUS, IMAGE PROCESSING METHOD, AND
PROGRAM TO EXECUTE THE IMAGE PROCESSING METHOD appearing in the Official
Gazette of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,260,221 to Kazuo Nagatani, et al of
Kawasaki, Japan for DISTORTION COMPENSATION APPARATUS AND METHOD appearing in
the Official Gazette of September 04, 2012 should be deleted since no patent
was granted."

   "All reference to Patent No. 8,260,243 to Zisan Zhang, et al of Villach,
Austria for DOWN-CONVERSION MIXER WITH SIGNAL PROCESSING appearing in the
Official Gazette of September 04, 2012 should be deleted since no patent was
granted."

   "All reference to Patent No. 8,260,304 to Mikio Iwamura, et al of Kanagwa,
Japan for USER APPARATUS AND PAGING CHANNEL RECEPTION METHOD appearing in the
Official Gazette of September 04, 2012 should be deleted since no patent was
granted."

   "All reference to Patent No. 8,260,318 to Hui Ni of Shenzhen, China for
LOCATION SERVER, LOCATION CONTROLLER, METHOD AND SYSTEM FOR IMPLEMENTING
LOCATION-BASED SERVICE appearing in the Official Gazette of September 04,
2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,260,937 to Andrew Grieve, et al of
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 169 

Waterloo, Canada for CROSS-DOMAIN COMMUNICATIONS WITH A SHARED WORKER
APPLICATION appearing in the Official Gazette of September 04, 2012 should be
deleted since no patent was granted."

   "All reference to Patent No, 8,261,007 to Tetsuo Furuichi, et al of Osaka,
Japan for MEMORY SYSTEM AND COMPUTER SYSTEM appearing in the Official Gazette
of September 04, 2012 should be deleted since no patent was granted."

   "All reference to Patent No. 8,261,045 to Megumi Ukai of Kawasaki, Japan
for PROCESSING DEVICE appearing in the Official Gazette of September 04, 2012
should be deleted since no patent was granted."
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 170 

Erratum
                                    Erratum

   In the notice of Certificate of Correction appearing in November 17,
2009, delete all reference to Patent No. 7,576,242, issue of October 27,
2009. The certificate of correction was requested in error by the applicant.
The second inventor name is spelled correctly on the title page of patent.
The certificate of correction was submitted in error and should not have
been issued.
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 171 

Certificates of Correction
                           Certificates of Correction
                             for September 11, 2012

6,304,530             7,997,043             8,167,085             8,207,125
6,415,335C1           7,997,323             8,167,240             8,207,126
6,475,221             8,002,170             8,167,600             8,207,127
6,788,796             8,003,104             8,168,389             8,207,288
6,949,978             8,003,364             8,168,416             8,207,493
6,989,058             8,003,603             8,168,795             8,207,555
7,025,966             8,003,796             8,169,966             8,207,638
7,037,798             8,005,134             8,170,490             8,207,770
7,089,266             8,007,601             8,171,904             8,208,121
7,109,766             8,007,603             8,172,243             8,208,123
7,119,416             8,007,941             8,172,409             8,208,688
7,136,759             8,012,854             8,172,834             8,208,808
7,170,053             8,013,572             8,172,865             8,209,330
7,180,157             8,013,853             8,172,894             8,209,556
7,188,620             8,017,753             8,172,903             8,209,642
7,297,130             8,021,851             8,173,370             8,209,796
7,339,166             8,023,468             8,174,205             8,209,993
7,345,034             8,025,690             8,174,758             8,210,025
7,374,551             8,026,054             8,175,117             8,210,264
7,391,909             8,026,257             8,175,372             8,210,523
7,419,478             8,028,315             8,175,521             8,210,630
7,422,101             8,028,651             8,175,680             8,210,689
7,428,355             8,028,766             8,175,897             8,210,698
7,433,927             8,032,624             8,176,325             8,210,759
7,447,855             8,033,054             8,176,816             8,210,865
7,454,138             8,038,854             8,177,188             8,210,869
7,466,010             8,039,153             8,177,585             8,210,937
7,488,968             8,045,748             8,177,751             8,211,052
7,491,341             8,046,292             8,178,241             8,211,627
7,491,930             8,050,185             8,178,681             8,211,937
7,511,552             8,050,288             8,178,701             8,212,019
7,514,676             8,055,014             8,178,901             8,212,147
7,522,200             8,056,034             8,179,236             8,212,779
7,525,552             8,060,192             8,179,437             8,213,025
7,537,546             8,060,436             8,179,783             8,213,916
7,541,576             8,060,577             8,180,024             8,214,066
7,552,255             8,061,447             8,180,097             8,214,291
7,558,235             8,062,687             8,180,321             8,214,465
7,559,898             8,064,694             8,180,455             8,214,902
7,569,544             8,065,627             8,180,989             8,215,228
7,583,346             8,068,143             8,181,286             8,215,399
7,599,460             8,070,787             8,181,425             8,215,482
7,612,162             8,071,783             8,181,596             8,215,502
7,625,315             8,074,169             8,181,804             8,215,731
7,629,027             8,078,386             8,181,856             8,215,958
7,645,212             8,086,234             8,182,751             8,215,993
7,645,409             8,088,145             8,182,914             8,216,075
7,649,011             8,093,591             8,183,067             8,216,632
7,658,698             8,095,595             8,183,071             8,217,011
7,666,169             8,097,031             8,183,375             8,217,164
7,682,345             8,098,762             8,183,541             8,217,217
7,688,341             8,098,890             8,184,149             8,217,303
7,691,085             8,098,920             8,184,429             8,217,311
7,691,896             8,104,647             8,184,564             8,217,394
7,703,402             8,105,306             8,184,726             8,217,395
7,707,352             8,105,804             8,184,901             8,217,439
7,707,947             8,109,628             8,185,057             8,217,501
7,707,949             8,109,987             8,185,417             8,217,873
7,709,516             8,112,079             8,185,564             8,217,903
7,732,126             8,112,311             8,185,794             8,218,128
7,732,860             8,113,935             8,185,923             8,218,239
7,733,008             8,114,127             8,186,058             8,218,271
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 172 

7,733,437             8,114,899             8,186,109             8,218,322
7,736,554             8,117,447             8,186,369             8,218,337
7,739,604             8,119,455             8,186,706             8,218,458
7,740,650             8,119,785             8,187,084             8,218,504
7,743,833             8,120,084             8,187,128             8,218,674
7,749,111             8,122,004             8,187,622             8,218,707
7,749,261             8,123,792             8,187,804             8,219,049
7,756,172             8,124,111             8,187,922             8,219,270
7,766,861             8,124,455             8,188,194             8,219,739
7,778,599             8,125,285             8,188,284             8,219,819
7,781,647             8,127,223             8,188,474             8,219,952
7,786,772             8,130,074             8,189,073             8,220,160
7,787,418             8,130,241             8,189,191             8,220,739
7,790,854             8,130,362             8,189,512             8,220,785
7,794,082             8,130,512             8,189,671             8,220,968
7,794,163             8,130,811             8,189,969             8,221,081
7,803,217             8,133,709             8,190,149             8,221,245
7,806,060             8,133,727             8,190,190             8,221,270
7,811,810             8,133,903             8,190,765             8,221,324
7,812,150             8,134,975             8,190,827             8,221,528
7,814,844             8,136,129             8,190,930             8,221,589
7,822,141             8,136,223             8,191,019             8,221,640
7,833,672             8,137,667             8,191,074             8,221,642
7,837,721             8,137,764             8,191,100             8,221,856
7,838,647             8,138,371             8,192,488             8,222,375
7,843,910             8,140,586             8,192,870             8,222,478
7,844,472             8,140,745             8,192,999             8,222,934
7,846,192             8,141,141             8,193,333             8,223,006
7,853,131             8,142,100             8,193,386             8,223,522
7,858,601             8,142,502             8,193,543             8,224,447
7,862,599             8,142,726             8,193,809             8,224,526
7,863,288             8,143,106             8,194,009             8,224,654
7,869,382             8,143,107             8,194,069             8,224,752
7,869,822             8,143,271             8,194,133             8,224,883
7,871,429             8,144,009             8,194,909             8,224,900
7,872,052             8,144,819             8,195,021             8,225,405
7,880,067             8,145,054             8,195,051             8,225,657
7,881,056             8,145,241             8,195,541             8,226,974
7,881,228             8,145,901             8,195,683             8,226,975
7,881,309             8,146,037             8,195,818             8,227,235
7,887,605             8,146,126             8,196,060             8,227,728
7,890,745             8,147,862             8,196,200             8,227,964
7,893,025             8,147,871             8,196,808             8,228,454
7,898,080             8,148,410             8,196,956             8,229,007
7,898,986             8,149,312             8,197,337             8,229,199
7,899,527             8,150,320             8,197,471             8,229,618
7,899,941             8,150,376             8,197,700             8,230,240
7,900,542             8,150,518             8,198,415             8,230,457
7,902,004             8,150,680             8,198,431             8,230,508
7,909,191             8,150,706             8,199,529             8,230,656
7,914,566             8,152,634             8,199,708             8,231,095
7,924,922             8,153,388             8,199,717             8,231,263
7,926,682             8,153,475             8,200,244             8,232,086
7,929,608             8,153,505             8,200,635             8,232,113
7,931,682             8,153,635             8,200,992             8,232,484
7,932,881             8,153,818             8,201,031             8,233,619
7,933,368             8,153,868             8,201,396             8,234,154
7,936,754             8,154,510             8,201,817             8,234,222
7,957,936             8,154,670             8,201,953             8,234,294
7,959,885             8,155,500             8,202,060             8,235,237
7,960,059             8,155,519             8,202,517             8,235,492
7,960,371             8,155,701             8,202,632             8,238,741
7,960,816             8,156,308             8,202,968             8,238,935
7,962,843             8,156,360             8,203,079             8,238,989
7,965,861             8,159,413             8,203,174             8,239,678
7,966,411             8,160,671             8,203,347             8,239,766
 October 2, 2012 US PATENT AND TRADEMARK OFFICE 1383 OG 173 

7,969,924             8,161,066             8,203,859             8,239,833
7,971,151             8,161,319             8,203,948             D. 585,92
7,975,260             8,161,542             8,203,995             D. 611,96
7,975,308             8,161,580             8,204,042             D. 621,96
7,976,572             8,162,741             8,204,197             D. 627,75
7,982,683             8,162,752             8,204,287             D. 642,25
7,984,397             8,163,277             8,204,849             D. 649,39
7,984,637             8,163,481             8,205,255             D. 658,03
7,985,664             8,163,531             8,205,413             D. 661,54
7,985,669             8,163,667             8,205,698             D. 662,97
7,991,157             8,163,726             8,206,153             D. 664,12
7,991,512             8,163,777             8,206,212             RE. 42,85
7,993,616             8,163,986             8,206,320             RE. 42,94
7,993,747             8,164,908             8,206,692             RE. 43,22
7,993,993             8,165,819             8,206,874             RE. 43,30
7,994,171             8,166,141             8,207,014
7,995,024             8,166,520             8,207,022
Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print This Notice 1383 OG 174 

Summary of Final Decisions Issued by the Trademark Trial and Appeal Board

SUMMARY OF FINAL DECISIONS ISSUED BY THE TRADEMARK TRIAL AND APPEAL BOARD
August 27 – August 31, 2012
 

Date Issued Type of Case(1) Proceeding or Appn. Number Party or Parties TTAB Panel (2) Issue(s) TTAB Decision Opposer’s or Petitioner’s mark and goods or services Applicant’s or Respondent’s mark and goods or services Mark and goods or services cited by Examining Attorney Issued as Precedent of TTAB
8-27 OPP (ACR)
 
91192293 L-com, Inc. v. Elecom Co., Ltd. Bucher Kuhlke* Shaw 2(d) Opposition Sustained L-COM [wire ties (Class 6)] [modular, coaxial and fiber crimp and termination tools (Class 8)] [a wide variety of computer, communication, electric and electronic equipment (Class 9)] L-COM (stylized) [a wide variety of computer products and accessories (Class 9)] ELECOM (stylized) [a wide variety of data processing items, computer equipment, telecommunications equipment, software, alarms, video and audio equipment (Class 9)] [various types of cases, bags, backpacks, trunks and luggage (Class 18)]   No
8-28 EX 77616247 77844718 77844736 Apple, Inc. Holtzman Bergsman* Shaw
 
2(e)(1);
1, 2 & 45 (specimen)
Both Refusals Reversed in 77616247; 2(e)(1) Refusal Reversed in other two cases; Specimen Refusal Affirmed in these two cases   OPENCL (one in standard character and two with design) [application programming interface computer software for use in developing applications for execution on central processing units (CPU) or graphic processor units (GPU), sold as an integral component of computer operating software]   No
8-28 EX 85255304 Caribbean Cigar Holdings Group Co., S.A. Cataldo* Bergsman Lykos 2(d) Refusal Affirmed   HUMO JAGUAR [cigars] JAGUAR (and design) [cigarette lights and ashtrays (neither of precious metal)] JAGUAR [cigarette lighters of precious and semi-precious metals; watches; clocks; jewelry] No
8-28 OPP 91185497 Pizzeria Uno Corporation v. Bruno’s Adore Pizza Holding Company, Inc. Holtzman Zervas Kuczma* 2(d) Opposition Sustained BRUNO (and design) [restaurant services] BRUNO’S PIZZA [restaurant services]   No
8-29 EX 77930437 Fourth Wall Restaurants, LLC Zervas Wellington Kuczma* 2(d) Refusal Affirmed   THE HURRICANE CLUB [bar and restaurant services provided in the style and motif of a Polynesian supper club] HURRICANE GRILL AND WINGS (and design) HURRICANE GRILL – WINGS (and design) [restaurant and cocktail lounge services] No
8-29 EX 77819424 Cantor G&W, L.P. Quinn* Zervas
Taylor
2(e)(1) Refusal Affirmed in each class   IN-RUNNING [gaming and gambling machines, including mobile and wireless machines; hardware and software and various services, some for wagering through wireless devices (Class 9)] [various wagering, casino, gaming, gambling and betting services, including online (Class 41)]   No
8-29 EX 85056363 General Welding and Fabricating, Inc. Seeherman* Holtzman Mermelstein 2(e)(1) Refusal in Class 25 Affirmed in Absence of Disclaimer; Refusal in Class 35 Affirmed   THE ORIGINAL MADE IN AMERICA STORE [t-shirts, socks, shorts, caps, flip flops, long-sleeve and short-sleeve shirts, pants, hoodies (Class 25)] [retail store services featuring clothing, coasters, furniture, fire rings, grills, toys, games, camping and sports goods, food and beverages, flags, greeting cards and art (Class 35)]   No
8-29 EX 77782734 Genworth Financial, Inc. Bucher Wolfson* Shaw 2(d) Refusal Affirmed   COLONY [life insurance underwriting] COLONY MEMBER ARGO GROUP (and design) [insurance services, namely, writing commercial excess and surplus insurance] No
8-30 EX 85083690 Werner Media Partners, LLC Quinn* Wellington Shaw 2(e)(1) Refusal Affirmed   ORTHOPEDIC [beds, mattresses, foundations, frames, headboards, bedsteads, mattress toppers and other sleep products]   No
8-30 EX 85196678 Rowland Reading Foundation, Inc. Seeherman* Kuhlke Wolfson 2(d) Refusal Affirmed   THE SCIENCE OF READING THE ART OF TEACHING [seminars, workshops and symposia in pre-k and primary reading and language arts instruction] THEARTOF-TEACHING [classes, seminars, conferences and workshops for K-12 teachers for improving teaching] No
8-31 CANC 92051279 Red Hen Bread LLC v. Norm Oeding Seeherman* Holtzman Cataldo 2(d); Nonuse on the identified goods Petition to Cancel Granted on Both Grounds RED HEN BREAD [bread buns, bagels, bread rolls, baguettes, croissants, cookies, muffins, scones, Danish, tarts and assorted pastries] LITTLE RED HEN BAKERY [bread, buns, bagels, bread rolls and baguettes]   No
8-31 OPP 91192733 Virgin Enterprises Limited v. Steven E. Moore Holtzman Bergsman* Wellington 2(d); 43(c) Opposition Dismissed VIRGIN, VIRGIN MOBILE, VIRGIN ATLANTIC, VIRGIN UNITE and VIRGIN AMERICA [various goods and services] VIRGIN FARMS (and design) [agricultural grains for planting; agricultural seeds; bulbs for agricultural purposes; plantable seed paper comprised primarily of seeds for agricultural purposes; seeds for agricultural purposes; spores and spawn; unprocessed seeds for agricultural use]   No

(1) EX=Ex Parte Appeal; OPP=Opposition; CANC=Cancellation; CU=Concurrent Use; (SJ)=Summary Judgment; (R)=Request for Reconsideration; (MD)=Motion to Dismiss (2) *=Opinion Writer; (D)=Dissenting Panel Member
 



Top of Notices Top of Notices October 2, 2012 US PATENT AND TRADEMARK OFFICE Print Appendix 1383 OG 

Mailing and Hand Carry Addresses for Mail to the United States Patent and Trademark Office
                     MAILING AND HAND CARRY ADDRESSES FOR
             MAIL TO THE UNITED STATES PATENT AND TRADEMARK OFFICE

              MAIL TO BE DIRECTED TO THE COMMISSIONER FOR PATENTS

   For most correspondence (e.g., new patent applications) no mail stop
is required because the processing of the correspondence is routine.
If NO mail stop is included on the list below, no mail stop is required
for the correspondence. See the listing under "Mail to be Directed to the
Director of the Patent And Trademark Office" for additional mail stops
for patent-related correspondence. Only the specified type of document
should be placed in an envelope addressed to one of these special mail
stops. If any documents other than the specified type identified for each
special mail stop are addressed to that mail stop, they will be
significantly delayed in reaching the appropriate area for which they are
intended. The mail stop should generally appear as the first line in
the address.

   Most correspondence may be submitted electronically. See the USPTO's
Electronic Filing System (EFS-Web) internet page
http://www.uspto.gov/patents/process/file/efs/index.jsp for additional
information.

   Please address mail to be delivered by the United States Postal Service
(USPS) as follows:

        Mail Stop _____
        Commissioner for Patents
        P.O. Box 1450
        Alexandria, VA 22313-1450

   If no Mail Stop is indicated below, the line beginning Mail Stop should
be omitted from the address.

   NEW: Effective September 16, 2012, the Mail Stop description for Mail
Stop Ex Parte Reexam is being revised and a new Mail Stop for supplemental
examination requests is being added as Mail Stop Supplemental Examination.

   Except correspondence for Maintenance Fee payments, Deposit Account
Replenishments (see 37 CFR 1.25(c)(4)), and Licensing and Review (see 37 CFR
5.1(c) and 5.2(c)), please address patent-related correspondence to be
delivered by other delivery services (Federal Express (Fed Ex), UPS, DHL,
Laser, Action, Purolator, etc.) as follows:

        United States Patent and Trademark Office
        Customer Service Window, Mail Stop _____
        Randolph Building
        401 Dulany Street
        Alexandria, VA 22314


Mail Stop
Designations            Explanation

Mail Stop 12            Contributions to the Examiner Education Program.

Mail Stop 313(c)        Petitions under 37 CFR 1.313(c) to withdraw a
                        patent application from issue after payment of
                        the issue fee and any papers associated with the
                        petition, including papers necessary for a
                        continuing application or a request for
                        continued examination (RCE).

Mail Stop AF            Amendments and other responses after final
                        rejection (e.g., a notice of appeal (and any
                        request for pre-appeal brief conference)),
                        other than an appeal brief.

Mail Stop Amendment     Information disclosure statements, drawings, and
                        replies to Office actions in patent applications
                        with or without an amendment to the application or
                        a terminal disclaimer. (Use Mail Stop AF for
                        replies after final rejection.)

Mail Stop Appeal        For appeal briefs or other briefs under
 Brief-Patents          part 41 of title 37 of the Code of Federal
                        Regulations (e.g., former 37 CFR 1.192).

Mail Stop               Public comments regarding patent-related
 Comments-Patent        regulations and procedures.


Mail Stop Conversion    Requests under 37 CFR 1.53(c)(2) to convert a
                        nonprovisional application to a provisional
                        application and requests under 37 CFR 1.53(c)(3)
                        to convert a provisional application to a
                        nonprovisional application.

Mail Stop EBC           Mail for the Electronic Business Center including:
                        Certificate Action Forms, Request for Customer
                        Number, and Requests for Customer Number Data
                        Change (USPTO Forms PTO-2042, PTO/SB/124A and 125A,
                        respectively) and Customer Number Upload
                        Spreadsheets and Cover Letters.

Mail Stop Expedited     Only to be used for the initial filing of
 Design                 design applications accompanied by a
                        request for expedited examination under
                        37 CFR 1.155.

Mail Stop Express       Requests for abandonment of a patent
 Abandonment            application pursuant to 37 CFR 1.138,
                        including any petitions under 37 CFR
                        1.138(c) to expressly abandon an
                        application to avoid publication of the
                        application.

Mail Stop               Applications under 35 U.S.C. 156 for patent term
 Hatch-Waxman PTE       extension based on regulatory review of a product
                        subject to pre-market review by a regulating
                        agency. This mail stop is also to be used for
                        additional correspondence regarding the
                        application for patent term extension under
                        35 U.S.C. 156. It is preferred that such initial
                        requests be hand-carried to:

                        Office of Patent Legal Administration
                        Room MDW 7D55
                        600 Dulany Street (Madison Building)
                        Alexandria, VA 22314

Mail Stop ILS           Correspondence relating to international patent
                        classification, exchanges and standards.

Mail Stop Issue Fee     All communications following the receipt of a
                        PTOL-85, "Notice of Allowance and Fee(s)
                        Due," and prior to the issuance of a patent
                        should be addressed to Mail Stop Issue Fee,
                        unless advised to the contrary.

                        Assignments are the exception. Assignments
                        (with cover sheets) should be faxed to
                        571-273-0140, electronically submitted
                        (http://epas.uspto.gov), or submitted in a
                        separate envelope and sent to Mail Stop
                        Assignment Recordation Services,
                        Director - U.S. Patent and Trademark Office
                        as shown below.

Mail Stop L&R           All documents pertaining to applications subject
                        to secrecy order pursuant to 35 U.S.C. 181, or
                        national-security classified and required to be
                        processed accordingly. Such papers, petitions for
                        foreign filing license pursuant to 37 CFR 5.12(b)
                        for which expedited handling is requested, and
                        petitions for retroactive license under 37 CFR
                        5.25 may also be hand carried to Licensing and
                        Review:

                        Technology Center 3600, Office of the Director
                        Room 4B41
                        501 Dulany Street (Knox Building)
                        Alexandria, VA 22314

Mail Stop Missing       Requests for a corrected filing receipt and
 Parts                  replies to OPAP notices such as the Notice
                        of Omitted Items, Notice to File Corrected
                        Application Papers, Notice of Incomplete
                        Application, Notice to Comply with Nucleotide
                        Sequence Requirements, and Notice to File Missing
                        Parts of Application, and associated papers and
                        fees.

Mail Stop MPEP          Submissions concerning the Manual of Patent
                        Examining Procedure.

Mail Stop Patent Ext.   Applications for patent term extension or
                        adjustment under 35 U.S.C. 154 and any
                        communications relating thereto. This mail stop
                        is limited to petitions for patent term extension
                        under 35 U.S.C. 154 for applications filed
                        between June 8, 1995 and May 29, 2000, and patent
                        term adjustment (PTA) under 35 U.S.C. 154 for
                        applications filed on or after May 29, 2000.
                        For applications for patent term extension under
                        35 U.S.C. 156, use Mail Stop Hatch-Waxman PTE.
                        For applications for patent term extension or
                        adjustment under 35 U.S.C. 154 that are mailed
                        together with the payment of the issue fee, use
                        Mail Stop Issue Fee.

Mail Stop Patent        Submission of comments regarding search templates.
 Search Template
 Comments

Mail Stop PCT           Mail related to international applications filed
                        under the Patent Cooperation Treaty in the
                        international phase and in the national phase
                        under 35 U.S.C. 371 prior to mailing of a
                        Notification of Acceptance of Application Under
                        35 U.S.C. 371 and 37 CFR 1.495 (Form
                        PCT/DO/EO/903).

Mail Stop Petition      Petitions to be decided by the Office of Petitions,
                        including petitions to revive and petitions to
                        accept late payment of issue fees or maintenance
                        fees.

Mail Stop PGPUB         Correspondence regarding publication of patent
                        applications not otherwise provided, including:
                        requests for early publication made after filing,
                        rescission of a non-publication request, corrected
                        patent application publication, and refund of
                        publication fee.

Mail Stop Post          In patented files: requests for changes of
 Issue                  correspondence address, powers of attorney,
                        revocations of powers of attorney, withdrawal as
                        attorney or agent and submissions under 37
                        CFR 1.501. Designation of, or changes to, a fee
                        address should be addressed to Mail Stop M
                        Correspondence. Requests for Certificate of
                        Correction need no special mail stop, but
                        should be mailed to the attention of Certificate
                        of Correction Branch.

Mail Stop RCE           Requests for continued examination under
                        37 CFR 1.114.

Mail Stop               Correspondence pertaining to the reconstruction
 Reconstruction         of lost patent files.

Mail Stop Ex Parte      Original requests for Ex Parte Reexamination
 Reexam                 and all subsequent correspondence other
                        than correspondence to the Office of the Solicitor
                        (see 37 CFR 1.1(a)(3) and 1.302(c)). Effective
                        September 16, 2012, this mail stop is also to be
                        used for any papers to be filed in an ex parte
                        reexamination proceeding ordered as a result of
                        a supplemental examination proceeding.

Mail Stop Inter         Original requests for Inter Partes Reexamination
 Partes Reexam          and all subsequent correspondence other than
                        correspondence to the Office of the Solicitor
                        (see 37 CFR 1.1(a)(3) and 1.302(c)).

Mail Stop Reissue       All new and continuing reissue application filings.

Mail Stop Sequence      Submission of the computer readable form (CRF) for
                        applications with sequence listings, when the CRF
                        is not being filed with the patent application.

Mail Stop Supplemental  (Effective September 16, 2012). Requests for
 Examination            Supplemental Examination, including original
                        request papers and any other correspondence, other
                        than correspondence to the Office of the
                        Solicitor (see 37 CFR Secs. 1.1(a)(3) AND 1.302(c)).
                        This mail stop is limited to original request papers
                        and any other papers that are to be filed in a
                        supplemental examination proceeding. For any papers
                        to be filed in an ex parte reexamination proceeding
                        ordered as a result of a supplemental examination
                        proceeding, use "Mail Stop Ex Parte Reexam".

Information for addressing patent-related correspondence may also be found
on the USPTO's web site at http://www.uspto.gov/patents/mail.jsp.


            MAIL TO BE DIRECTED TO THE COMMISSIONER FOR TRADEMARKS

   Please address trademark-related correspondence to be delivered by the
United States Postal Service (USPS), except documents sent to the Assignment
Services Division for recordation, requests for copies of trademark
documents, and documents directed to the Madrid Processing Unit, as follows:

        Commissioner for Trademarks
        P.O. Box 1451
        Alexandria, VA 22313-1451

   Mail to be delivered by the USPS to the Office's Madrid Processing Unit,
must be mailed to:

        Madrid Processing Unit
        600 Dulany Street
        MDE-7B87
        Alexandria, VA 22314-5796

   Mail to be delivered by the USPS to the Office's Deputy Commissioner for
Trademark Policy regarding Letters of Protest must be mailed to:

        Letter of Protest
        ATTN: Deputy Commissioner for Trademark Policy
        600 Dulany Street
        Alexandria, VA 22314-5796

   Mail to be delivered by the USPS to the Director regarding the Fastener
Quality Act (FQA) must be mailed to:

        Director, USPTO
        ATTN: FQA
        600 Dulany Street, MDE-10A71
        Alexandria, VA 22314-5793

   Mail to be delivered by the USPS to the Commissioner regarding the
recordal of a Native American Tribal Insignia (NATI) must be mailed to:

        Native American Tribal Insignia
        ATTN: Commissioner for Trademarks
        600 Dulany Street
        MDE-10A71
        Alexandria, VA 22314-5793

Do NOT send any of the following via USPS certified mail or with a
"signature required" option: submissions to the Madrid Processing Unit,
Letters of Protest, applications for recordal of insignia under the
Fastener Quality Act, notifications of Native American Tribal Insignia.

   Trademark-related mail to be delivered by hand or other private courier
or delivery service (e.g., UPS, Federal Express) to the Trademark Operation,
the Trademark Trial and Appeal Board, or the Office's Madrid Processing Unit,
must be delivered to:

        Trademark Assistance Center
        Madison East, Concourse Level Room C 55
        600 Dulany Street
        Alexandria, VA 22314

Information for addressing trademark-related correspondence may also be found
on the USPTO's web site at http://www.uspto.gov/trademarks/mail.jsp.


           MAIL TO BE DIRECTED TO THE DIRECTOR OF THE UNITED STATES
                          PATENT AND TRADEMARK OFFICE

   Please address correspondence to be directed to a mail stop identified
below to be delivered by the United States Postal Service (USPS) as follows
(unless otherwise instructed):

        Mail Stop _____
        Director of the U.S. Patent and Trademark Office
        P.O. Box 1450
        Alexandria, VA 22313-1450

Mail Stop
Designations            Explanation

Mail Stop 3             Mail for the Office of Personnel from NFC.

Mail Stop 6             Mail for the Office of Procurement.

Mail Stop 8             All papers for the Office of the Solicitor except
                        communications relating to pending litigation and
                        disciplinary proceedings; papers relating to pending
                        litigation in court cases shall be mailed only to
                        Office of the Solicitor, P.O. Box 15667, Arlington,
                        VA 22215 and papers related to pending disciplinary
                        proceedings before the Administrative Law Judge or
                        the Director shall be mailed only to the Office of
                        the Solicitor, P.O. Box 16116, Arlington, VA 22215.

Mail Stop 11            Mail for the Electronic Ordering Service (EOS).

Mail Stop 13            Mail for the Employee and Labor Relations Division.

Mail Stop 16            Mail related to refund requests, other than
                        requests for refund of a patent application
                        publication fee. Such requests should be directed
                        to Mail Stop PGPub.

Mail Stop 17            Invoices directed to the Office of Finance.

Mail Stop 24            Mail for the Inventor's Assistance Program,
                        including complaints about Invention Promoters.

Mail Stop 171           Vacancy Announcement Applications.

Mail Stop Assignment    All assignment documents, security interests,
 Recordation Services   and other documents to be recorded in the
                        Assignment records. Note that documents with
                        cover sheets that are faxed to 571-273-0140 or
                        submitted electronically (http://epas.uspto.gov)
                        are processed much more quickly than those
                        submitted by mail.

Mail Stop Document      All requests for certified or uncertified
 Services               copies of patent or trademark documents.

Mail Stop EEO           Mail for the Office of Civil Rights.

Mail Stop External      Mail for the Office of External Affairs.
 Affairs

Mail Stop Interference  Communications relating to interferences and
                        applications and patents involved in interference.

Mail Stop M             Mail to designate or change a fee
 Correspondence         address, or other correspondence related to
                        maintenance fees, except payments of
                        maintenance fees in patents. See below for
                        the address for maintenance fee payments.

Mail Stop OED           Mail for the Office of Enrollment and Discipline.


                           Maintenance Fee Payments

   Unless submitted electronically over the Internet at www.uspto.gov,
payments of maintenance fees in patents should be mailed through the
United States Postal Service to:

        United States Patent and Trademark Office
        P.O. Box 979070
        St. Louis, MO 63197-9000

   Alternatively, payment of maintenance fees in patents (Attn: Maintenance
Fee) using hand-delivery and delivery by private courier may be made to:

        Director of the U.S. Patent and Trademark Office
        Attn: Maintenance Fee
        2051 Jamieson Avenue, Suite 300
        Alexandria, Virginia 22314


                        Deposit Account Replenishments

   To send payment to replenish deposit accounts, send the payments through
the United States Postal Service to:

        United States Patent and Trademark Office
        P.O. Box 979065
        St. Louis, MO 63197-9000

   Alternatively, deposit account replenishments (Attn: Deposit Accounts)
using hand-delivery and delivery by private courier (e.g., FedEx, UPS, etc.)
may be delivered to:

        Director of the U.S. Patent and Trademark Office
        Attn: Deposit Accounts
        2051 Jamieson Avenue, Suite 300
        Alexandria, VA 22314

   Information abount deposit account replenishments may also be found on
the USPTO's web site at
http://www.uspto.gov/about/offices/cfo/finance/Deposit_Account_
Replenishments.jsp
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Reference Collections of U.S. Patents Available for Public Use in Patent and Trademark Resource Centers
             Reference Collections of U.S. Patents Available for
             Public Use in Patent and Trademark Resource Centers

The following libraries, designated as Patent and Trademark Resource Centers
(PTRCs), provide public access to patent and trademark information received
from the United States Patent and Trademark Office (USPTO). This
information includes all issued patents, all registered trademarks, the
Official Gazette of the U.S. Patent and Trademark Office, search tools such
as the Cassis CD-ROM suite of products and supplemental information in a
variety of formats including online, optical disc, microfilm and paper.
Each PTRC also offers access to USPTO resources on the Internet and to
PubWEST (Web based examiner search tool), a system used by patent examiners
that is not available on the Internet.

Staff assistance and training is provided in the use of this information.
All information is available free of charge. However, there may be charges
associated with the use of photocopying and related services. Hours of
service to the public vary, and anyone contemplating use of these
collections at a particular library is urged to contact that library in
advance about its services and hours to avoid inconvenience.

State                   Name of Library                  Telephone Contact

Alabama                 Auburn University Libraries         (334) 844-1737
                        Birmingham Public Library           (205) 226-3620
Alaska                  Fairbanks: Keith B. Mather Library,
                        Geophysical Institute,
                        University of Alaska, Fairbanks     (907) 474-2636
Arkansas                Little Rock: Arkansas State
                        Library                             (501) 682-2053
California              Los Angeles Public Library          (213) 228-7220
                        Riverside: University of
                        California, Riverside, Orbach
                        Science Library                     (951) 827-3316
                        Sacramento: California State
                        Library                             (916) 654-0261
                        San Diego Public Library            (619) 236-5813
                        San Francisco Public Library        (415) 557-4500
                        Sunnyvale Public Library            (408) 730-7300
Colorado                Denver Public Library               (720) 865-1711
Connecticut             Fairfield: Ryan-Matura Library
                        Sacred Heart University             (203) 371-7726
Delaware                Newark: University of Delaware
                        Library                             (302) 831-2965
Dist. of Columbia       Washington: Howard University
                        Libraries                           (202) 806-7252
Florida                 Fort Lauderdale: Broward County
                        Main Library                        (954) 357-7444
                        Miami-Dade Public Library           (305) 375-2665
                        Orlando: University of Central
                        Florida Libraries                   (407) 823-2562
Georgia                 Atlanta: Library and Information
                        Center, Georgia Institute of
                        Technology                          (404) 385-7185
Hawaii                  Honolulu: Hawaii State Library      (808) 586-3477
Illinois                Chicago Public Library              (312) 747-4450
                        Macomb:  Western Illinois
                        University Libraries                (309) 298-2722
Indiana                 Indianapolis-Marion County Public
                        Library                             (317) 269-1741
                        West Lafayette Siegesmund
                        Engineering Library,
                        Purdue University                   (765) 494-2872
Iowa                    Davenport: Davenport Public Library (563) 326-7832
Kansas                  Wichita: Ablah Library, Wichita
                        State University                  1 (800) 572-8368
Kentucky                Louisville Free Public Library      (502) 574-1611
Louisiana               Baton Rouge: Troy H. Middleton
                        Library, Louisiana State University (225) 388-8875
Maine                   Orono: Raymond H. Fogler Library,
                        University of Maine                 (207) 581-1678
Maryland                Baltimore: University of Baltimore
                        Law Library                         (410) 837-4554
                        College Park: Engineering and
                        Physical Sciences Library,
                        University of Maryland              (301) 405-9157
Massachusetts           Amherst: Physical Sciences Library,
                        University of Massachusetts         (413) 545-2765
                        Boston Public Library               (617) 536-5400
                                                                 Ext. 4256
Michigan                Ann Arbor: Art, Architecture &
                        Engineering Library,
                        University of Michigan              (734) 647-5735
                        Big Rapids: Ferris Library for
                        Information, Technology &
                        Education, Ferris State
                        University                          (231) 592-3602
                        Detroit: Public Library             (313) 481-1391
Minnesota               Hennepin County Library
                        Minneapolis Central Library         (612) 543-8000
Mississippi             Jackson: Mississippi Library
                        Commission                          (601) 961-4111
Missouri                Kansas City: Linda Hall Library     (816) 363-4600
                                                                  Ext. 724
                        St. Louis Public Library            (314) 352-2900
Montana                 Butte: Montana Tech Library of
                        the University of Montana           (406) 496-4281
Nebraska                Lincoln: Engineering Library,
                        University of Nebraska-Lincoln      (402) 472-3411
New Hampshire           Concord: University of New
                        Hampshire School of Law             (603) 513-5130
Nevada                  Reno: University of Nevada, Reno,
                        Mathewson-IGT Knowledge Center      (775) 784-6500
                                                                  Ext. 257
New Jersey              Newark Public Library               (973) 733-7779
                        Piscataway: Library of Science and
                        Medicine, Rutgers University        (732) 445-2895
New Mexico              Albuquerque: University of
                        New Mexico General Library          (505) 277-4412
New York                Albany: New York State Library      (518) 474-5355
                        Buffalo and Erie County Public
                        Library                             (716) 858-7101
                        Rochester Public Library            (716) 428-8110
                        New York: New York Public Library,
                        Science Industry & Business Library (212) 592-7000
North Carolina          Charlotte: J. Murrey Atkins
                        Library,                            (704) 687-2241
                        University of North Carolina at
                        Charlotte                           (919) 515-2935
North Dakota            Grand Forks: Chester Fritz Library,
                        University of North Dakota          (701) 777-4888
Ohio                    Akron - Summit County Public        (330) 643-9075
                        Library
                        Cincinnati and Hamilton County,
                        Public Library of                   (513) 369-6932
                        Cleveland Public Library            (216) 623-2870
                        Dayton: Paul Laurence Dunbar
                        Library, Wright State University    (937) 775-3521
                        Toledo/Lucas County Public Library  (419) 259-5209
Oklahoma                Stillwater: Oklahoma State
                        University Edmon Low Library        (405) 744-6546
Pennsylvania            Philadelphia, The Free Library of   (215) 686-5394
                        Pittsburgh, Carnegie Library of     (412) 622-3138
                        University Park: PAMS Library,
                        Pennsylvania State University       (814) 865-7617
Puerto Rico             Bayamon: Learning Resources Center,
                        University of Puerto Rico           (787) 993-0000
                                                                 Ext. 3222
                        Mayaquez General Library,
                        University of Puerto Rico           (787) 832-4040
                                                                 Ext. 2023
                        Bayamon, Learning Resources Center,
                        University of Puerto Rico           (787) 786-5225
Rhode Island            Providence Public Library           (401) 455-8027
South Carolina          Clemson University Libraries        (864) 656-3024
South Dakota            Rapid City: Devereaux Library,
                        South Dakota School of Mines and
                        Technology                          (605) 394-1275
Tennessee               Nashville: Stevenson Science and
                        Engineering Library, Vanderbilt
                        University                          (615) 322-2717
Texas                   Austin: McKinney Engineering
                        Library, University of Texas at
                        Austin                              (512) 495-4511
                        College Station: West Campus
                        Library, Texas A & M University     (979) 845-2111
                        Dallas Public Library               (214) 670-1468
                        Houston: The Fondren Library, Rice
                        University                          (713) 348-5483
                        Lubbock: Texas Tech University      (806) 742-2282
                        San Antonio Public Library          (210) 207-2500
Utah                    Salt Lake City: Marriott Library,
                        University of Utah                  (801) 581-8394
Vermont                 Burlington: Bailey/Howe Library,
                        University of Vermont               (802) 656-2542
Washington              Seattle: Engineering Library,
                        University of Washington            (206) 543-0740
West Virginia           Morgantown: Evansdale Library,
                        West Virginia University            (304) 293-4695
Wisconsin               Wendt Commons Library,
                        University of Wisconsin-Madison     (608) 262-0696
                        Milwaukee Public Library            (414) 286-3051
Wyoming                 Cheyenne: Wyoming State Library     (307) 777-7281
Top of Notices Top of Notices
Patent Technology Centers
PATENT TECHNOLOGY CENTERS
AVERAGE FILING DATE OF APPLICATIONS RECEIVING A FIRST OFFICE ACTION IN THE LAST 3 MONTHS1
Technology
Center
GAU Avg Filing Date
1600 BIOTECHNOLOGY, AND ORGANIC CHEMISTRY
  1610 02/27/2011
  1620 03/02/2011
  1630 02/18/2011
  1640 04/20/2011
  1650 02/15/2011
  1660 07/02/2011
  TOTAL 03/08/2011
     
1700 CHEMICAL AND MATERIALS ENGINEERING AND DESIGNS
  1710 08/10/2010
  1720 09/19/2010
  1730 12/28/2010
  1740 01/12/2011
  1750 08/25/2010
  1760 03/20/2011
  1770 12/10/2010
  1780 11/03/2010
  1790 06/01/2010
  TOTAL 11/22/2010
     
2100 COMPUTER ARCHITECTURE AND SOFTWARE
  2110 10/10/2010
  2120 06/20/2010
  2140 06/04/2010
  2150 02/15/2011
  2160 03/26/2011
  2170 09/16/2010
  2180 08/25/2010
  2190 11/25/2009
  TOTAL 09/04/2010
     
2400 NETWORKING, MULTIPLEXING, CABLE AND SECURITY
  2420 07/20/2010
  2430 08/13/2010
  2440 10/13/2010
  2450 09/25/2010
  2460 06/16/2010
  2470 06/16/2010
  2480 03/23/2010
  2490 07/05/2010
  TOTAL 07/17/2010
     
2600 COMMUNICATIONS
  2610 08/19/2010
  2620 05/20/2010
  TOTAL 07/02/2010
     
2800   SEMICONDUCTORS/MEMORY, CIRCUITS/MEASURING AND TESTING, OPTICS/PHOTOCOPYING
  2810 02/27/2011
  2820 01/06/2011
  2830 11/28/2010
  2850 09/10/2010
  2860 01/18/2011
  2870 11/06/2010
  2880 12/22/2010
  2890 03/20/2011
  TOTAL 12/13/2010
     
2900    
  2910 11/03/2011
  TOTAL 11/03/2011
     
3600     TRANSPORTATION, CONSTRUCTION, ELECTRONIC COMMERCE, AGRICULTURE, NATIONAL SECURITY AND LICENSE AND REVIEW
  3610 02/09/2011
  3620 01/03/2011
  3630 01/18/2011
  3640 12/01/2010
  3650 09/25/2010
  3660 08/04/2010
  3670 01/09/2011
  3680 01/12/2011
  3690 06/23/2011
  TOTAL 12/22/2010
     
3700   MECHANICAL ENGINEERING, MANUFACTURING AND PRODUCTS
  3710 12/16/2010
  3720 08/28/2010
  3730 09/25/2010
  3740 02/15/2010
  3750 08/01/2010
  3760 09/25/2010
  3770 08/16/2010
  3780 08/10/2010
  TOTAL 08/13/2010
     
  1 Report last updated on 8-31-12.
Top of Notices Top of Notices