(iv) Unpublished abandoned applications (including provisional applications) that are identified or relied upon. The file contents of an unpublished, abandoned application may be made available to the public if the application is identified in a U.S. patent, a statutory invention registration, a U.S. patent application publication, or an international patent application publication of an international application that was published in accordance with PCT Article 21(2). An application is considered to have been identified in a document, such as a patent, when the application number or serial number and filing date, first named inventor, title and filing date or other application specific information are provided in the text of the patent, but not when the same identification is made in a paper in the file contents of the patent and is not included in the printed patent. Also, the file contents may be made available to the public, upon a written request, if benefit of the abandoned application is claimed under 35 U.S.C. 119(e), 120, 121, or 365 in an application that has issued as a U.S. patent, or has published as a statutory invention registration, a U.S. patent application publication, or an international patent application that was published in accordance with PCT Article 21(2). A copy of the application-as-filed, the file contents of the application, or a specific document in the file of the application may be provided to any person upon written request, and payment of the appropriate fee (§1.19(b)).

(v) Unpublished pending applications (including provisional applications) whose benefit is claimed. A copy of the file contents of an unpublished pending application may be provided to any person, upon written request and payment of the appropriate fee (§1.19(b)), if the benefit of the application is claimed under 35 U.S.C. 119(e), 120, 121, or 365 in an application that has issued as a U.S. patent, an application that has published as a statutory invention registration, a U.S. patent application publication, or an international patent application publication that was published in accordance with PCT Article 21(2). A copy of the application-as-filed, or a specific document in the file of the pending application may also be pro

vided to any person upon written request, and payment of the appropriate fee (§1.19(b)). The Office will not provide access to the paper file of a pending application, except as provided in paragraph (c) or (h) of this section.

(vi) Unpublished pending applications (including provisional applications) that are incorporated by reference or otherwise identified. A copy of the application as originally filed of an unpublished pending application may be provided to any person, upon written request and payment of the appropriate fee (§1.19(b)), if the application is incorporated by reference or otherwise identified in a U.S. patent, a statutory invention registration, a U.S. patent application publication, or an international patent application publication that was published in accordance with PCT Article 21(2). The Office will not provide access to the paper file of a pending application, except as provided in paragraph (c) or (h) of this section.

(vii) When a petition for access or a power to inspect is required. Applications that were not published or patented, that are not the subject of a benefit claim under 35 U.S.C. 119(e), 120, 121, or 365 in an application that has issued as a U.S. patent, an application that has published as a statutory invention registration, a U.S. patent application publication, or an international patent application publication that was published in accordance with PCT Article 21(2), or are not identified in a U.S. patent, a statutory invention registration, a U.S. patent application publication, or an international patent application that was published in accordance with PCT Article 21(2), are not available to the public. If an application is identified in the file contents of another application, but not the published patent application or patent itself, a granted petition for access (see paragraph (h)), or a power to inspect (see paragraph (c)) is necessary to obtain the application, or a copy of the application.

(2) Information concerning a patent application may be communicated to the public if the patent application is identified in paragraphs (a)(1)(i) through (a)(1)(vi) of this section. The information that may be communicated to the public (i.e., status information) includes:

203-136 D-2

(i) Whether the application is pending, abandoned, or patented;

(ii) Whether the application has been published under 35 U.S.C. 122(b);

(iii) The application "numerical identifier" which may be:

(A) The eight-digit application number (the two-digit series code plus the six-digit serial number); or

(B) The six-digit serial number plus any one of the filing date of the national application, the international filing date, or date of entry into the national stage; and

(iv) Whether another application claims the benefit of the application (i.e., whether there are any applications that claim the benefit of the filing date under 35 U.S.C. 119(e), 120, 121 or 365 of the application), and if there are any such applications, the numerical identifier of the application, the specified relationship between the applications (e.g., continuation), whether the application is pending, abandoned or patented, and whether the application has been published under 35 U.S.C. 122(b).

(b) Electronic access to an application. Where a copy of the application papers or access to the application may be made available pursuant to paragraphs (a)(1)(i) through (a)(1)(vi) of this section, the Office may at its discretion provide access to only an electronic copy of the specification, drawings, and file contents of the application.

(c) Power to inspect a pending or abandoned application. Access to an application may be provided to any person if the application file is available, and the application contains written authority (e.g., a power to inspect) granting access to such person. The written authority must be signed by:

(1) An applicant;

(2) An attorney or agent of record;

(3) An authorized official of an assignee of record (made of record pursuant to §3.71 of this chapter); or

(4) A registered attorney or agent named in the papers accompanying the application papers filed under §1.53 or the national stage documents filed under § 1.495, if an executed oath or declaration pursuant to §1.63 or §1.497 has not been filed.

(d) Applications reported to Department of Energy. Applications for patents

which appear to disclose, purport to disclose or do disclose inventions or discoveries relating to atomic energy are reported to the Department of Energy, which Department will be given access to the applications. Such reporting does not constitute a determination that the subject matter of each application so reported is in fact useful or is an invention or discovery, or that such application in fact discloses subject matter in categories specified by 42 U.S.C. 2181(c) and (d).

(e) Decisions by the Director or the Board of Patent Appeals and Interferences. Any decision by the Director or the Board of Patent Appeals and Interferences which would not otherwise be open to public inspection may be published or made available for public inspection if:

(1) The Director believes the decision involves an interpretation of patent laws or regulations that would be of precedential value; and

(2) The applicant, or a party involved in an interference for which a decision was rendered, is given notice and an opportunity to object in writing within two months on the ground that the decision discloses a trade secret or other confidential information. Any objection must identify the deletions in the text of the decision considered necessary to protect the information, or explain why the entire decision must be withheld from the public to protect such information. An applicant or party will be given time, not less than twenty days, to request reconsideration and seek court review before any portions of a decision are made public under this paragraph over his or her objection.

(f) Publication pursuant to §1.47. Information as to the filing of an application will be published in the Official Gazette in accordance with §1.47(c).

(g) International applications. (1) Copies of international application files for international applications which designate the U.S. and which have been published in accordance with PCT Article 21(2), or copies of a document in such application files, will be furnished in accordance with PCT Articles 30 and 38 and PCT Rules 94.2 and 94.3, upon written request including a showing that the publication of the application

has occurred and that the U.S. was designated, and upon payment of the appropriate fee (see §1.19(b)), if:

(i) With respect to the Home Copy (the copy of the international application kept by the Office in its capacity as the Receiving Office, see PCT Article 12(1)), the international application was filed with the U.S. Receiving Office;

(ii) With respect to the Search Copy (the copy of an international application kept by the Office in its capacity as the International Searching Authority, see PCT Article 12(1)), the U.S. acted as the International Searching Authority, except for the written opinion of the International Searching Authority which shall not be available until the expiration of thirty months from the priority date; or

(iii) With respect to the Examination Copy (the copy of an international application kept by the Office in its capacity as the International Preliminary Examining Authority), the United States acted as the International Preliminary Examining Authority, International Preliminary Examination Report has issued, and the United States was elected.

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(2) A copy of an English language translation of a publication of an international application which has been filed in the United States Patent and Trademark Office pursuant to 35 U.S.C. 154(d)(4) will be furnished upon written request including a showing that the publication of the application in accordance with PCT Article 21(2) has occurred and that the U.S. was designated, and upon payment of the appropriate fee (§1.19(b)(4)).

(3) Access to international application files for international applications which designate the U.S. and which have been published in accordance with PCT Article 21(2), or copies of a document in such application files, will be permitted in accordance with PCT Articles 30 and 38 and PCT Rules 44ter.1, 94.2 and 94.3, upon written request including a showing that the publication of the application has occurred and that the U.S. was designated.

(4) In accordance with PCT Article 30, copies of an international application-as-filed under paragraph (a) of this section will not be provided prior to

the international publication of the application pursuant to PCT Article 21(2). (5) Access to international application files under paragraphs (a)(1)(i) through (a)(1)(vi) and (g)(3) of this section will not be permitted with respect to the Examination Copy in accordance with PCT Article 38.

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(h) Access or copies in other circumstances. The Office, either sponte or on petition, may also provide access or copies of all or part of an application if necessary to carry out an Act of Congress or if warranted by other special circumstances. Any petition by a member of the public seeking access to, or copies of, all or part of any pending or abandoned application preserved in confidence pursuant to paragraph (a) of this section, or any related papers, must include:

(1) The fee set forth in §1.17(h); and

(2) A showing that access to the application is necessary to carry out an Act of Congress or that special circumstances exist which warrant petitioner being granted access to all or part of the application.

[68 FR 38624, June 30, 2003, as amended at 68 FR 59886, Oct. 20, 2003; 68 FR 67805, Dec. 4, 2003; 68 FR 71006, Dec. 22, 2003]

date later than the filing date of the provisional application:

.....

By a small entity (§1.27(a)) $25.00 By other than a small entity.. $50.00 (m) If the additional fees required by paragraphs (b), (c), (d), (i) and (j) of this section are not paid on filing or on later presentation of the claims for which the additional fees are due, they must be paid or the claims must be canceled by amendment, prior to the expiration of the time period set for reply by the Office in any notice of fee deficiency.

NOTE: See §§1.445, 1.482 and 1.492 for international application filing and processing fees.

[56 FR 65151, Dec. 13, 1991, as amended at 57 FR 38194, Aug. 21, 1992; 60 FR 20221, Apr. 25, 1995; 60 FR 41022, Aug. 11, 1995; 61 FR 39587, July 30, 1996; 61 FR 43400, Aug. 22, 1996; 62 FR 40452, July 29, 1997; 62 FR 53182, Oct. 10, 1997; 63 FR 67579, Dec. 8, 1998; 64 FR 67777, Dec. 3, 1999; 65 FR 49195, Aug. 11, 2000; 65 FR 78959. Dec. 18, 2000; 66 FR 39449, July 31, 2001; 67 FR 70849, Nov. 27, 2002; 68 FR 41534, July 14, 2003]

§ 1.17 Patent application and reexamination processing fees.

$385.00

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

(i) In addition to the basic filing fee in a reissue application, for filing or later presentation of each independent claim which is in excess of the number of independent claims in the original patent:

By a small entity (§1.27(a))
By other than a small entity

...

$43.00 $86.00

(2) For reply within second month: By a small entity (§1.27(a)) ... $210.00 By other than a small entity $420.00

(3) For reply within third month: By a small entity (§1.27(a)) .. $475.00 By other than a small entity $950.00 (4) For reply within fourth month: $740.00 By a small entity (§1.27(a)) .. By other than a small entity $1,480.00 (5) For reply within fifth month: By a small entity (§1.27(a)) .. $1.005.00 By other than a small entity $2,010.00

(b) For filing a notice of appeal from the examiner to the Board of Patent Appeals and Interferences:

(h) For filing a petition under one of the following sections which refers to this paragraph: $130.00.

§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. §1.53(e) to accord a filing date. $1.59 for expungement of information.

§1.84 for accepting color drawings or photographs.

§1.91-for entry of a model or exhibit. §1.102 to make an application special. §1.103(a) to suspend action in an application.

§1.138(c) to expressly abandon an application to avoid publication.

§1.182 for decision on a question not specifically provided for.

§1.183 to suspend the rules.

§1.295-for review of refusal to publish a statutory invention registration.

§1.314 to defer issuance of a patent. §1.377-for review of decision refusing to accept and record payment of a maintenance fee filed prior to expiration of a patent. §1.378(e) for reconsideration of decision on petition refusing to accept delayed payment of maintenance fee in an expired patent.

§1.644(e)-for petition in an interference. §1.644(f)—for request for reconsideration of a decision on petition in an interference. §1.666(b) for access to an interference settlement agreement.

§1.666(c) for late filing of interference settlement agreement.

§1.741(b) to accord a filing date to an application under §1.740 for extension of a patent term.

$5.12 for expedited handling of a foreign filing license.

§5.15 for changing the scope of a license. $5.25 for retroactive license.

§ 104.3 for waiver of a rule in Part 104 of this title.

(i) Processing fee for taking action under one of the following sections which refers to this paragraph: $130.00. §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 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. §1.99(e) for processing a belated submission under § 1.99.

§1.103(b) for requesting limited suspension of action, continued prosecution application (§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. §1.497(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) For filing a petition to institute a public use proceeding under §1.292— $1,510.00.

(k) For filing a request for expedited examination under §1.155(a)-$900.00.

(1) 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)): $55.00.
By other than a small entity: $110.00.

(m) For filing a petition for the revival of an unintentionally abandoned