Chapter   2500  Maintenance Fees
---SECTION---2501 Introduction

35 U.S.C. 41 Patent fees; patent and trademark search systems.

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(b) The Commissioner shall charge the following fees for maintaining in
force all patents based on applications filed on or after December 12,
1980:

(1) 3 years and 6 months after grant, $650 [$1,050].

(2) 7 years and 6 months after grant, $1,310 [$2,100].

(3) 11 years and 6 months after grant, $1,980 [$3,160].

Unless payment of the applicable maintenance fee is received in the
Patent and Trademark Office on or before the date the fee is due or
within a grace period of six months thereafter, the patent will expire
as of the end of such grace period. The Commissioner may require the
payment of a surcharge as a condition of accepting within such six-month
grace period the late payment of the applicable maintenance fee. No fee
will be established for maintaining a design or plant patent in force.

Note: Under 35 U.S.C. 41(f), the amounts of the fees have been increased
by rule effective October 1, 1997 to the bracketed amounts; see 37 CFR
1.20(e) - (g) for current fee amounts.

(c)(1) The Commissioner may accept the payment of any maintenance fee
required by subsection (b) of this section which is made within
twenty-four months after the six-month grace period if the delay is
shown to the satisfaction of the Commissioner to have been
unintentional, or at any time after the six-month grace period if the
delay is shown to the satisfaction of the Commissioner to have been
unavoidable. The Commissioner may require the payment of a surcharge as
a condition of accepting payment of any maintenance fee after the
six-month grace period. If the Commissioner accepts payment of a
maintenance fee after the six-month grace period, the patent shall be
considered as not having expired at the end of the grace period.

(2) A patent, the term of which has been maintained as a result of the
acceptance of a payment of a maintenance fee under this subsection,
shall not abridge or affect the right of any person or that person's
successors in business who made, purchased, offered to sell, or used
anything protected by the patent within the United States, or imported
anything protected by the patent into the United States after the
6-month grace period but prior to the acceptance of a maintenance fee
under this subsection, to continue the use of, to offer for sale, or to
sell to others to be used, offered for sale, or sold, the specific thing
so made, purchased, offered for sale, used, or imported. The court
before which such matter is in question may provide for the continued
manufacture, use, offer for sale, or sale of the thing made, purchased,
offered for sale, or used within the United States, or imported into the
United States, as specified, or for the manufacture, use, offer for
sale, or sale in the United States of which substantial preparation was
made after the 6-month grace period but before the acceptance of a
maintenance fee under this subsection, and the court may also provide
for the continued practice of any process that is practiced, or for the
practice of which substantial preparation was made, after the 6-month
grace period but before the acceptance of a maintenance fee under this
subsection, to the extent and under such terms as the court deems
equitable for the protection of investments made or business commenced
after the 6-month grace period but before the acceptance of a
maintenance fee under this subsection.

Public Law 96-517, enacted December 12, 1980, established the
requirement to pay maintenance fees for applications filed on or after
that date. The statutory provisions regarding maintenance fees have been
subsequently modified by Public Law 97-247, enacted August 27, 1982;
Public Law 98-622, enacted November 8, 1984; Public Law 102-204, enacted
December 10, 1991; and Public Law 102-444, enacted October 23, 1992.

STATUS AND ENTITY DIVISION

The Status and Entity Division provides specialized advice and guidance
to the public on maintenance fee matters.

The Status and Entity Division determines the proper status of issued
patents which are subject to payment of maintenance fees, receives and
processes fee transmittals, determines small entity status, responds to
public inquiries on post-issuance status and maintenance fees,
determines if patents have expired, and determines if maintenance fees
are timely and properly computed. This Division also generates the data
necessary to produce Official Gazette notices of maintenance fees due
and of expiration of patents due to failure to pay maintenance fees.

OFFICE OF PUBLIC RECORDS DISSEMINATION SUPPORT DIVISION RECORDS BRANCH

The Records Branch updates patent post issuance automated files using
the following information:

(A) Change of Address

(B) Powers of Attorney and Revocations Thereof

(C) Withdrawals of Attorneys and Agents

(D) Small Entity Status

The official mailing address for submitting requests to update all
post-issuance patent information is:

Commissioner of Patents and Trademarks

ATTN: Dissemination Support Division

Box 9

Washington, D.C. 20231

---SECTION---2504 Patents Subject to Maintenance Fees

37 CFR 1.362 Time for payment of maintenance fees.

(a) Maintenance fees as set forth in Section  1.20(e) through (g) are
required to be paid in all patents based on applications filed on or
after December 12, 1980, except as noted in paragraph (b) of this
section, to maintain a patent in force beyond 4, 8, and 12 years after
the date of grant.

(b) Maintenance fees are not required for any plant patents or any
design patents. Maintenance fees are not required for a reissue patent
if the patent being reissued did not require maintenance fees.

(c) The application filing dates for purposes of payment of maintenance
fees are as follows:

(1) For an application not claiming benefit of an earlier application,
the actual United States filing date of the application.

(2) For an application claiming benefit of an earlier foreign
application under 35 U.S.C. 119, the United States filing date of the
application.

(3) For a continuing (continuation, division, continuation-in-part)
application claiming the benefit of a prior patent application under 35
U.S.C. 120, the actual United States filing date of the continuing
application.

(4) For a reissue application, the United States filing date of the
original non-reissue application on which the patent reissued is based.

(5) For an international application which has entered the United States
as a Designated Office under 35 U.S.C. 371, the international filing
date granted under Article 11 (1) of the Patent Cooperation Treaty which
is considered to be the United States filing date under 35 U.S.C. 363.

(d) Maintenance fees may be paid in patents without surcharge during the
periods extending respectively from:

(1) 3 years through 3 years and 6 months after grant for the first
maintenance fee,

(2) 7 years through 7 years and 6 months after grant for the second
maintenance fee, and

(3) 11 years through 11 years and 6 months after grant for the third
maintenance fee.

(e) Maintenance fees may be paid with the surcharge set forth in Section 
1.20(h) during the respective grace periods after:

(1) 3 years and 6 months and through the day of the 4th anniversary of
the grant for the first maintenance fee,

(2) 7 years and 6 months and through the day of the 8th anniversary of
the grant for the second maintenance fee, and

(3) 11 years and 6 months and through the day of the 12th anniversary of
the grant for the third maintenance fee.

(f) If the last day for paying a maintenance fee without surcharge set
forth in paragraph (d) of this section, or the last day for paying a
maintenance fee with surcharge set forth in paragraph (e) of this
section, falls on a Saturday, Sunday, or a federal holiday within the
District of Columbia, the maintenance fee and any necessary surcharge
may be paid under paragraph (d) or paragraph (e) respectively on the
next succeeding day which is not a Saturday, Sunday, or federal holiday.

(g) Unless the maintenance fee and any applicable surcharge is paid
within the time periods set forth in paragraphs (d), (e), or (f) of this
section, the patent will expire as of the end of the grace period set
forth in paragraph (e) of this section. A patent which expires for the
failure to pay the maintenance fee will expire at the end of the same
date (anniversary date) the patent was granted in the 4th, 8th, or 12th
year after grant.

Maintenance fees are required to be paid on all patents based on
applications filed on or after December 12, 1980, except for plant
patents and design patents. Furthermore, maintenance fees are not
required for a reissue patent if the patent being reissued did not
require maintenance fees.

Application filing dates for purposes of determining whether a patent is
subject to payment of maintenance fees are as follows:

(A) For an application not claiming benefit of an earlier application,
the actual United States filing date of the application.

(B) For an application claiming benefit of an earlier foreign
application under 35 U.S.C. 119(a)-(d), the actual United States filing
date of the application.

(C) For a continuing (continuation, division, continuation-in-part)
application claiming the benefit of a prior patent application under 35
U.S.C. 120, the actual United States filing date of the continuing
application.

(D) For a reissue application, including a continuing reissue
application claiming the benefit of a reissue application under 35
U.S.C. 120, the United States filing date of the original nonreissue
application on which the patent reissued is based.

(E) For an international application that has entered the United States
as a Designated Office under 35 U.S.C. 371, the international filing
date granted under Article 11(1) of the Patent Cooperation Treaty which
is considered to be the United States filing date under 35 U.S.C. 363.

---SECTION---2506 Times for Submitting Maintenance Fee Payments

37 CFR 1.362(d) sets forth the time periods when the maintenance fees
for a utility patent can be paid without surcharge. Those periods,
referred to generally as the "window period," are the 6-month periods
preceding each due date. The "due dates" are defined in 35 U.S.C. 41(b).
The window periods are (1) 3 years to 3 1/2 years after the date of
issue for the first maintenance fee payment, (2) 7 years to 7 1/2 years
after the date of issue for the second maintenance fee payment, and (3)
11 years to 11 1/2 years after the date of issue for the third and final
maintenance fee payment. A maintenance fee paid on the last day of a
window period can be paid without surcharge. The last day of a window
period is the same day of the month the patent was granted 3 years and 6
months, 7 years and 6 months, or 11 years and 6 months after grant of
the patent.

37 CFR 1.362(e) sets forth the time periods when the maintenance fees
for a utility patent can be paid with surcharge. Those periods, referred
to generally as the "grace period," are the 6-month periods immediately
following each due date. The grace periods are (1) 3 1/2 years and
through the day of the 4th anniversary of the grant of the patent, (2) 7
1/2 years and through the day of the 8th anniversary of the grant of the
patent and, (3) 11 1/2 years and through the day of the 12th anniversary
of the grant of the patent. A maintenance fee may be paid with the
surcharge on the same date (anniversary date) the patent was granted in
the 4th, 8th, or 12th year after grant to prevent the patent from
expiring.

Maintenance fees for a reissue patent are due based upon the schedule
established for the original utility patent.

If the day for paying a maintenance fee falls on a Saturday, Sunday, or
a Federal holiday within the District of Columbia, the maintenance fee
may be paid on the next succeeding day that is not a Saturday, Sunday,
or Federal holiday. For example, if the window period for paying a
maintenance fee without a surcharge ended on a Saturday, Sunday, or a
Federal holiday within the District of Columbia, the maintenance fee can
be paid without surcharge on the next succeeding day that is not a
Saturday, Sunday, or a Federal holiday within the District of Columbia.
Likewise, if the grace period for paying a maintenance fee with a
surcharge ended on a Saturday, Sunday, or a Federal holiday within the
District of Columbia, the maintenance fee can be paid with surcharge on
the next succeeding day that is not a Saturday, Sunday, or a Federal
holiday within the District of Columbia. In the latter situation, the
failure to pay the maintenance fee and surcharge on the next succeeding
day that is not a Saturday, Sunday, or a Federal holiday within the
District of Columbia will result in the patent expiring on a date (4, 8,
or 12 years after the date of grant) earlier than the last date on which
the maintenance fee and surcharge could be paid. This situation results
from the provisions of 35 U.S.C. 21, but those provisions do not extend
the expiration date of the patent if the maintenance fee and any
required surcharge are not paid when required.  For example, if the
grace period for paying a maintenance fee with a surcharge ended on a
Saturday, the maintenance fee and surcharge could be paid on the next
succeeding business day, e.g., Monday, but the patent will have expired
at midnight on Saturday if the maintenance fee and surcharge were not
paid on the following Monday. Therefor, if the maintenance fee and any
applicable surcharge are not paid, the patent will expire as of the end
of the grace period as listed above.  A patent that expires for failure
of payment will expire on the anniversary date the patent was granted in
the 4th, 8th, or 12th year after the grant.

---SECTION---2510 Mailing Address for Maintenance Fee Documents

The mailing address for all communications concerning maintenance fee
payments is:

Commissioner of Patents and Trademarks

Box M Fee

Washington, D.C.  20231

37 CFR 1.366(b) provides that the certificate of mailing procedures of 
37 CFR 1.8 or the mailing by "Express Mail" provisions of  37 CFR 1.10
may be utilized in paying maintenance fees. The specific requirements of
either  37 CFR 1.8 or 1.10 must be fully complied with if the benefits
of either are desired. See MPEP Section  512 and Section  513.

---SECTION---2511 Submission of Maintenance Fee Documents by Facsimile

Payment of a maintenance fee is accepted via facsimile, when charged to
a deposit account. In addition, requests pertaining to post-issuance
documents, such as change of correspondence address, assignment of fee
address, etc., may be submitted by facsimile.

37 CFR 1.366(b) provides that the certificate of transmission procedure
of  37 CFR 1.8 may be utilized in paying maintenance fees. The specific
requirements of  37 CFR 1.8 must be fully complied with if the benefits
thereof are desired.

---SECTION---2515 Information Required for Submission of Maintenance Fee
Payment

37 CFR 1.366 Submission of maintenance fees.

(a) The patentee may pay maintenance fees and any necessary surcharges,
or any person or organization may pay maintenance fees and any necessary
surcharges on behalf of a patentee.  Authorization by the patentee need
not be filed in the Patent and Trademark Office to pay maintenance fees
and any necessary surcharges on behalf of the patentee.

(a) The patentee may pay maintenance fees and any necessary surcharges,
or any person or organization may pay maintenance fees and any necessary
surcharges on behalf of a patentee. Authorization by the patentee need
not be filed in the Patent and Trademark Office to pay maintenance fees
and any necessary surcharges on behalf of the patentee.

(b) A maintenance fee and any necessary surcharge submitted for a patent
must be submitted in the amount due on the date the maintenance fee and
any necessary surcharge are paid.  A maintenance fee or surcharge may be
paid in the manner set forth in Section  1.23 or by an authorization to
charge a deposit account established pursuant to Section  1.25.  Payment
of a maintenance fee and any necessary surcharge or the authorization to
charge a deposit account must be submitted within the periods set forth
in Section  1.362(d), (e), or (f).  Any payment or authorization of
maintenance fees and surcharges filed at any other time will not be
accepted and will not serve as a payment of the maintenance fee except
insofar as a delayed payment of the maintenance fee is accepted by the
Commissioner in an expired patent pursuant to a petition filed under
Section  1.378. Any authorization to charge a deposit account must
authorize the immediate charging of the maintenance fee and any
necessary surcharge to the deposit account.  Payment of less than the
required amount, payment in a manner other than that set forth Section 
1.23, or in the filing of an authorization to charge a deposit account
having insufficient funds will not constitute payment of a maintenance
fee or surcharge on a patent.  The procedures set forth in Section  1.8
or Section  1.10 may be utilized in paying maintenance fees and any
necessary surcharges.

(c) In submitting maintenance fees and any necessary surcharges,
identification of the patents for which maintenance fees are being paid
must include the following:

(1) The patent number; and

(2) The application number of the United States application for the
patent on which the maintenance fee is being paid.

(d) Payment of maintenance fees and any surcharges should identify the
fee being paid for each patent as to whether it is the 3 1/2-, 7 1/2-,
or 11 1/2-year fee, whether small entity status is being changed or
claimed, the amount of the maintenance fee and any surcharge being paid,
and any assigned customer number.  If the maintenance fee and any
necessary surcharge is being paid on a reissue patent, the payment must
identify the reissue patent by reissue patent number and reissue
application number as required by paragraph (c) of this section and
should also include the original patent number.

(e) Maintenance fee payments and surcharge payments relating thereto
must be submitted separate from any other payments for fees or charges,
whether submitted in the manner set forth in Section  1.23 or by an
authorization to charge a deposit account. If maintenance fee and
surcharge payments for more than one patent are submitted together, they
should be submitted on as few sheets as possible with the patent numbers
listed in increasing patent number order. If the payment submitted is
insufficient to cover the maintenance fees and surcharges for all the
listed patents, the payment will be applied in the order the patents are
listed, beginning at the top of the listing.

(f) Notification of any change in status resulting in loss of
entitlement to small entity status must be filed in a patent prior to
paying, or at the time of paying, the earliest maintenance fee due after
the date on which status as a small entity is no longer appropriate. See
Section  1.28(b).

(g) Maintenance fees and surcharges relating thereto will not be
refunded except in accordance with Section Section  1.26 and 1.28(a).

37 CFR 1.366 establishes the guidelines and procedures for submission of
maintenance fees, including any necessary surcharges. The patentee may
pay maintenance fees and any necessary surcharges or any person or
organization may pay maintenance fees and any necessary surcharges on
behalf of the patentee without filing in the Office evidence of
authorization by the patentee to pay maintenance fees. This will enable
patentees to pay the maintenance fees and any necessary surcharges
themselves or authorize some person or organization to pay maintenance
fees and any necessary surcharges on their behalf. No verification of
the authority to pay maintenance fees and any necessary surcharges in a
particular patent will be made by the Office. While anyone may pay the
maintenance fees and any necessary surcharges on a patent, any Office
notices relating to maintenance fees will be mailed to the "fee address"
set forth in  37 CFR 1.363.

A maintenance fee and any necessary surcharge for a patent must be
submitted in the amount due on the date the maintenance fee and any
necessary surcharge are paid, and at the proper time, i.e., within the
periods set forth in  37 CFR 1.362. If the amount of the maintenance fee
is correct on the date it is paid and credited to the patent, a later
change in the maintenance fees to reflect a new fee amount will not
require a modification in the amount paid.  However, in order for the
maintenance fee to be considered paid, it must be submitted in
accordance with  37 CFR 1.366.

Maintenance fee payments and any necessary surcharges must include the
Patent Number and the Application Number as required by 37 CFR 1.366(c).
The application number required to be submitted is not that of a prior
parent application, but rather the actual application that matured into
the patent for which maintenance fees are to be paid. If the maintenance
fee is being paid on a reissue patent, the application number required
is that of the reissue application. Since this required information will
be used as a cross-check to ensure that the maintenance fee is properly
credited, the application number must correspond to the patent that
issued therefrom. If less than the required information is submitted,
the Office will not credit the payment. Additionally, if notice is
required that the proper identifying data has not been submitted, it
would result in requiring the payment of a surcharge if the necessary
data is submitted after the window period closes. If the required
information is not submitted until after the end of the grace period,
the patent would have expired because of the failure to properly
identify the patent to which the maintenance fee payment is to be
credited prior to the expiration of the grace period. The patentee in
such circumstance could proceed under 37 CFR 1.378 (see MPEP Section 
2590), if appropriate, or could file a petition under 37 CFR 1.377 (see
MPEP Section  2580) within the period set therein seeking to have the
maintenance fee accepted as timely even though all of the required
identifying data was not present prior to expiration of the grace
period.

Under 37 CFR 1.366(d), the following information should also be
submitted for each patent on which a maintenance fee or surcharge is
paid (37 CFR 1.366(d)):

(A) the Fee Year (e.g., 3 1/2, 7 1/2, or 11 1/2 year fee),

(B) the amount of the maintenance fee and any surcharge being submitted,

(C) any assigned customer number, and

(D) whether small entity status is being changed or claimed with the
payment.

Where the payment is a maintenance fee and any necessary surcharge on a
reissue patent, in addition to the information requested for all
payments, it is requested that the original patent number be furnished.
Although the submission of the information requested under 37 CFR
1.366(d) is not mandatory, it would expedite the processing of
maintenance fee payments. It is also suggested that the telephone number
of the person submitting the maintenance fee be supplied.

The required information is considered to be the least that can be
required to make a cross-check and thus ensure that the maintenance fee
is being credited to the proper patent. If there was an error in either
the patent number or the U.S. application number such that they were not
in agreement, the payment would not be accepted and credited until
correction was made. The date of the correction would be the date the
maintenance fee payment is credited as being made.

The Maintenance Fee Transmittal Form, PTO/SB/45 is suggested when
submitting maintenance fees. This form is available, upon request, from
the Status and Entity Division.

The Office processes fees in the order in which they are presented. If
payment submitted is insufficient to cover the maintenance fees and
surcharges for all patents listed, and there is no authorization to
charge a deposit account, the payment will be applied in the order the
patents are listed, beginning at the top of the listing.

---SECTION---2520 Maintenance Fee Amounts

37 CFR 1.20(e)-(h) sets the fee amounts for the maintenance fees and the
grace period surcharge. The maintenance fee amounts are subject to
adjustment to reflect fluctuations occurring in the Consumer Price Index
pursuant to 35 U.S.C. 41(f). The maintenance fee amounts (37 CFR
1.20(e)-(h)) are subject to a 50% reduction for small entities pursuant
to 35 U.S.C. 41(h). The Status and Entity Division may be contacted for
the current maintenance fee amounts.

37 CFR 1.366(g) provides that maintenance fees and surcharges relating
thereto will not be refunded except in accordance with 37 CFR 1.26 and
1.28(a). A patentee cannot obtain a refund of a maintenance fee which
was due and payable on the patent. Any duplicate payment will be
refunded to the fee address.

---SECTION---2522 Methods of Payment

The maintenance fee and any necessary surcharge may be paid in the
manner set forth in 37 CFR 1.23; i.e., it should be in United States
specie (e.g., cash), Treasury notes, national bank notes, post office
money orders, or by certified check. As indicated in 37 CFR 1.23, if the
maintenance fee and any necessary surcharge is sent in any other form,
the Office may delay or cancel the credit until collection is made. For
example, a personal or other uncertified check drawn on a U.S. bank that
is not immediately negotiable, e.g., because of a lack of a signature or
insufficient funds, will not constitute payment of a maintenance fee
and/or surcharge. Any remittance from a foreign country must be payable
and immediately negotiable in the United States for the full amount of
the maintenance fee and/or surcharge required.

37 CFR 1.366(b) provides that maintenance fees and any necessary
surcharge may be paid by authorization to charge a deposit account
established pursuant to 37 CFR 1.25. The authorization to charge the
deposit account must be submitted within an appropriate window or grace
period and must be limited to maintenance fees and surcharges payable on
the date of submission. The authorization to charge the deposit account
cannot be submitted prior to the third, seventh, or eleventh year after
grant of the patent. If an authorization to charge a deposit account
were submitted to pay the maintenance due at 3 years and 6 months after
grant, a new authorization to charge a deposit account or other form of
payment will have to be submitted at the appropriate time for each of
the maintenance fees due at 7 years and 6 months and 11 years and 6
months. Any payment or authorization filed at any time other than that
set forth in 37 CFR 1.362(d), (e), or (f) will not serve as a payment of
the maintenance fee, except insofar as a delayed payment of the
maintenance fee is accepted by the Commissioner pursuant to 37 CFR
1.378. See MPEP Section  2590. A payment of less than the required
amount, a payment in a manner other than that set forth in 37 CFR 1.23,
or the filing of an authorization to charge a deposit account having
insufficient funds, will not constitute payment of a maintenance fee on
a patent. The authorization is required to authorize the immediate
charging of the maintenance fee to the deposit account. An authorization
would be improper if it only authorized the maintenance fee to be
charged at a later date, e.g., on the last possible day of payment
without surcharge. Such an authorization would not serve as payment of
the maintenance fee. Any payment which fails to result in the entire
proper amount of the maintenance fee being present on the due date will
not constitute payment of the maintenance fee.

Maintenance fee payments and any surcharges relating thereto must be
submitted separate from any other payments for fees or charges, whether
submitted in the manner set forth in 37 CFR 1.23 or by authorization to
charge a deposit account. 37 CFR 1.366(e). Maintenance fee payments and
surcharge payments relating thereto that are comingled with payments for
other fees or charges, e.g., application filing fees, issue fees,
document supply fees, etc., will not be accepted. Maintenance fees
require processing by a separate area of the Office and are not
processed in the same manner as other fees and charges. Maintenance fees
for a number of patents can be submitted together in one submission and
one payment. 37 CFR 1.366(e) specifies that if maintenance fee payments
for more than one patent are submitted together, they should be
submitted on as few sheets as possible, listing the patent numbers in
increasing patent number order. If the payment submitted is insufficient
to cover the maintenance fees and any surcharges for all the listed
patents, the payment will be applied in the order the patents are
listed. In such a circumstance where the fees are insufficient, the
maintenance fee and any surcharge for one or more of the last listed
patents will not be paid.

Money orders and checks must be made payable to the Commissioner of
Patents and Trademarks. Remittances from foreign countries must be
payable and immediately negotiable in the United States for the full
amount required.

It is not suggested that cash be sent by mail. However, if cash is sent
it will be at the risk of the sender and should be sent via registered
mail.

---SECTION---2530 Informalities

Informalities in the payment of maintenance fees occur when:

(A) Payment was received without the patent and application number,

(B) Payment was received with an incorrect patent or application number,

(C) Payment for a reissue patent was received and the reissue patent
number and/or the reissue application serial was not provided,

(D) Payment was received, however, additional funds are required due to
surcharge or fee increase,

(E) Payment was received in an amount for small entity, however, records
do not indicate a statement claiming small entity was received, or

(F) Payment was received after the patent expired.

If an informality occurs, notice will be sent to the party submitting
the maintenance fee provided the grace period provided by 37 CFR
1.362(e) has not expired. Reply to the informality is required prior to
expiration of the grace period in order to avoid the expiration of the
patent. If a reply is not received prior to expiration of the patent,
then an appropriate petition under 37 CFR 1.377 or 1.378 is required.
See MPEP Section  2580 and Section  2590.

---SECTION---2540 Fee Address for Maintenance Fee Purposes

37 CFR 1.363 Fee address for maintenance fee purposes.

(a) All notices, receipts, refunds, and other communications relating to
payment or refund of maintenance fees will be directed to the
correspondence address used during prosecution of the application as
indicated in Section  1.33(a) unless:

(1) A "fee address" for purposes of payment of maintenance fees is set
forth when submitting the issue fee, or

(2) A change in the correspondence address for all purposes is filed
after payment of the issue fee, or

(3) A "fee address" or a change in the "fee address" is filed for
purposes of receiving notices, receipts and other correspondence
relating to the payment of maintenance fees after the payment of the
issue fee, in which instance, the latest such address will be used.

(b) An assignment of a patent application or patent does not result in a
change of the "correspondence address" or "fee address" for maintenance
fee purposes.

All notices, receipts, refunds and other communications relating to the
payment or refund of a maintenance fee will be directed to the
correspondence address used during the prosecution of the application,
unless a "fee address" for the purpose of payment of the maintenance fee
has been designated or a change in the correspondence address has been
made (see MPEP Section  2542). 37 CFR 1.33(d) allows a correspondence
address or change thereto to be filed during the enforceable life of the
patent. Due to the possible expiration of a patent for failure to timely
pay a required maintenance fee, patentees should ensure that the Office
is properly notified of the proper "fee address" to which all
maintenance fee communications are to be directed.

Under the statutes and rules, the Office has no duty to notify patentee
of the requirement to pay maintenance fees or to notify patentee when
the maintenance fee is due. It is solely the responsibility of the
patentee to ensure that the maintenance fee is paid timely to prevent
expiration of the patent. The failure to receive the reminder notice
will not shift the burden of monitoring the time for paying a
maintenance fee from the patentee to the Office. The Office will attempt
to assist patentees through the mailing of a Maintenance Fee Reminder in
the grace period. However, the failure to receive a Maintenance Fee
Reminder will not relieve the patentee of the obligation to timely pay
the appropriate maintenance fee to prevent expiration of the patent, nor
will it constitute unavoidable delay if the patentee seeks to reinstate
the patent under 37 CFR 1.378(b). See In re Patent No. 4,409,763, 7
USPQ2d 1798 (Comm'r Pat. 1988), aff'd sub nom. Rydeen v. Quigg, 748 F.
Supp. 900, 16 USPQ2d 1876 (D.D.C. 1990), aff'd, 937 F.2d 623 (Fed. Cir.
1991) (table), cert. denied, 502 U.S. 1075 (1992). Maintenance fee
correspondence will not be directed to more than one address.

The "Fee Address" Indication Form, PTO/SB/47, and the Request for
Customer Number Form, PTO/SB/125, are suggested when requesting
establishment of a "Fee Address" or the assignment of a "Customer
Number." The "Fee Address" Indication Form, PTO/SB/47, is available,
upon request, from the Status and Entity Division. Requests for the
establishment of a "Fee Address" should be submitted to the Status and
Entity Division prior to or at the time of payment of maintenance fees
in order to ensure that receipt of payment is directed to the fee
address. See MPEP Section  403 concerning requests for a Customer
Number.

Additional patent numbers may be assigned to a "Customer Number" at any
time, with a written request.

The "Customer Number" of the Fee Address should be referred to on all
future maintenance fee payments in order to expedite the payment.

---SECTION---2542 Change of Correspondence Address

Unless a fee address has been designated, all notices, receipts,
refunds, and other communications relating to the patent will be
directed to the correspondence address used during the prosecution of
the application. Practitioners of record when the patent issues who do
not wish to receive correspondence relating to maintenance fees must
change the correspondence address in the patented file or provide a fee
address to which such correspondence should be sent. It is not required
that a practitioner file a request for permission to withdraw pursuant
to 37 CFR 1.36 solely for the purpose of changing the correspondence
address in a patented file, even though a withdrawal of a practitioner
would change the correspondence address.

The correspondence address should be updated or changed as necessary to
ensure that all communications are received in a timely manner. A change
of correspondence address may be made by the inventors named in the
patent, an attorney or agent of record, or by the assignee complying
with 37 CFR 3.73(b).

Requests for a change of the correspondence address may be sent to the
Office of Public Records, Dissemination Support Division, Records Branch
during the enforceable life of the patent. To ensure accuracy and to
expedite requests for change to the correspondence address, it is
suggested that the request include both the patent number and the
application number.

---SECTION---2550 Small Entity Status

In order to claim small entity status for the purpose of paying a
maintenance fee, a statement must be filed prior to or with the
maintenance fee paid as a small entity. A statement is only required to
be filed once and will remain effective until changed.

37 CFR 1.366(f) serves as a reminder to patentees of the necessity to
check for the loss of small entity status prior to paying each
maintenance fee on a patent. This is also a requirement of 37 CFR
1.28(b). The notification of any change in status resulting in loss of
entitlement to small entity status must be filed in a patent prior to
paying, or at the time of paying, the earliest maintenance fee due after
the date on which status as a small entity is no longer appropriate. If
status as a small entity has been previously established by filing a
statement and such status is checked and found to be proper, no
notification is required. It is not necessary to file new statements
claiming small entity status at this point if the status as a small
entity has been established and is still proper even if rights have been
transferred to a small entity who has not previously filed a statement.
The requirement is to notify the Office of the loss of entitlement and
to pay the maintenance fee in the proper amount for other than a small
entity where appropriate. The refund provisions of 37 CFR 1.28(a) for
later submitted small entity statements do apply to maintenance fees.

---SECTION---2560 Revocation of Power of Attorney and Withdrawal of
Attorney

The revocation or withdrawal of an attorney may be submitted at any
time; however, it is recommended that it be done well prior to the date
a maintenance fee is due.

When processing a revocation of a power of attorney, the Office of
Public Records, Dissemination Support Division, Records Branch forwards
copies of the completed action to the requester and the attorney being
removed. Also, a copy is placed in the patent file wrapper.

When processing a withdrawal of an attorney, the Office of Public
Records, Dissemination Support Division, Records Branch forwards copies
of the completed action to the attorney and the patent owner. Also, a
copy is placed in the patent file wrapper.

It should be noted that an assignment does not act as a revocation of
power of attorney for authorization previously given. However, the
assignee may revoke a previous power of attorney. See 37 CFR 3.71 and
3.73.

---SECTION---2570 Status Requests

The Status and Entity Division will respond to requests for the status
of patents. Status can be requested by telephone or by facsimile.
Telephone status requests are limited to two patent numbers per
telephone call.

When requesting status of a patent, the patent and application number
must be provided to the Status and Entity Division.

The Status and Entity Division has a form available, for the user's
convenience, when submitting requests in person or via facsimile.

---SECTION---2575 Notices

Under the statutes and the regulations, the Office has no duty to notify
patentees when their maintenance fees are due. It is the responsibility
of the patentee to ensure that the maintenance fees are paid to prevent
expiration of the patent. The Office will, however, provide some notices
as reminders that maintenance fees are due, but the notices, errors in
the notices, or the lack of notices will in no way relieve a patentee
from the responsibility to make timely payment of each maintenance fee
to prevent the patent from expiring by operation of law. The notices
provided by the Office will be merely courtesy in nature and intended to
aid patentees. These notices, errors in these notices, or the lack of
notices will in no way shift the burden of monitoring the time for
paying maintenance fees on patents from the patentee to the Office.

PREPRINTED STANDARD NOTICES

The patent grant currently includes a reminder notice that maintenance
fees may be due. The Notice of Allowance currently includes a reminder
notice that maintenance fees may be due.

OFFICIAL GAZETTE NOTICE

A notice will appear in each issue of the Official Gazette which will
indicate which patents have been granted 3, 7, and 11 years earlier,
that the window period has opened, and that maintenance fee payments
will now be accepted for those patents.

Another Official Gazette notice published after expiration of the grace
period will indicate any patent which has expired due to nonpayment of
maintenance fees and any patents which have been reinstated. An annual
compilation of such expirations and reinstatements will also be
published.

MAINTENANCE FEE REMINDERS

Since patentees are expected to maintain their own record and docketing
systems and since most patentees are expected to pay their maintenance
fees during the window period to prevent payment of a surcharge, the
Office will not send any reminder notices to the patentee until after
the grace period has begun. This will reduce and simplify the mailing of
notices but still give patentees an opportunity to pay their maintenance
fee with surcharge during the grace period before expiration of their
patents. The Office will mail any Maintenance Fee Reminder to the fee
address as set forth in 37 CFR 1.363. See MPEP Section  2540.

RECEIPT NOTICES

The Office will issue a receipt for payment of maintenance fees after
entry of the maintenance fee payment. Such a receipt will provide an
opportunity for the patentee to check if the Office has properly
credited the payment. The original document submitted by the patentee
when paying the maintenance fee will also be appropriately marked and
returned to the fee address.

EXPIRATION NOTICES

The Office will mail a Notice of Patent Expiration to the fee address
when Office records indicate that a patent has expired for failure to
pay a required maintenance fee.

---SECTION---2580 Review of Decision Refusing to Accept and Record
Payment of a Maintenance Fee Filed Prior to Expiration of Patent

37 CFR 1.377 Review of decision refusing to accept and record payment of
a maintenance fee filed prior to expiration of patent.

(a) Any patentee who is dissatisfied with the refusal of the Patent and
Trademark Office to accept and record a maintenance fee which was filed
prior to the expiration of the patent may petition the Commissioner to
accept and record the maintenance fee.

(b) Any petition under this section must be filed within 2 months of the
action complained of, or within such other time as may be set in the
action complained of, and must be accompanied by the fee set forth in
Section  1.17(h). The petition may include a request that the petition
fee be refunded if the refusal to accept and record the maintenance fee
is determined to result from an error by the Patent and Trademark
Office.

(c) Any petition filed under this section must comply with the
requirements of Section  1.181(b) and must be signed by an attorney or
agent registered to practice before the Patent and Trademark Office, or
by the patentee, the assignee, or other party in interest.

37 CFR 1.377 provides a mechanism for review of a decision refusing to
accept and record payment of a maintenance fee filed prior to the
expiration of a patent. 37 CFR 1.377(a) permits a patentee who is
dissatisfied with the refusal of the Office to accept and record a
maintenance fee which was filed prior to the expiration of the patent to
petition the Commissioner to accept and record the maintenance fee. This
petition may be used, for example, in situations where an error is
present in the identifying data required by 37 CFR 1.366(c) with the
maintenance fee payment, i.e., either the patent number or the
application number are incorrect. See MPEP Section  2515. A petition
under 37 CFR 1.377 would not be appropriate where there is a complete
failure to include at least one correct mandatory identifier as required
by 37 CFR 1.366(c) for the patent since no evidence would be present as
to the patent on which the maintenance fee was intended to be paid. If
the maintenance fee payment with an incorrect mandatory identifier was
made near the end of the grace period, the patent might expire since the
Office would not credit the fee to the patent. A petition under 37 CFR
1.377 would not be appropriate where the patentee paid a maintenance fee
on one patent when the patentee intended to pay the maintenance fee on a
different patent but through error identified the wrong patent number
and application number. Likewise, a petition under 37 CFR 1.377 would
not be appropriate where the entire maintenance fee payment, including
any necessary surcharge, was not filed prior to expiration of the
patent.

Any petition filed under 37 CFR 1.377 must be filed within 2 months of
the action complained of, or within such other time as may be set in the
action complained of. The petition must be accompanied by the proper
petition fee. The petition may include a request that the petition fee
be refunded if the refusal to accept and record the maintenance fee is
determined to have resulted from an error by the Office.

Any petition filed under 37 CFR 1.377 must comply with the requirements
of 37 CFR 1.181(b) and must be signed by an attorney or agent registered
to practice before the Office, or by the patentee, the assignee, or
other party in interest. A person or organization whose only
responsibility insofar as the patent is concerned is the payment of a
maintenance fee is not a party in interest for purposes 37 CFR 1.377. If
the petition is signed by a person not registered to practice before the
Office, the petition must indicate whether the person signing the
petition is the patentee, assignee, or other party in interest. An
assignee must comply with the requirements of 37 CFR 3.73(b) which is
discussed in MPEP Section  324.

Any petition under 37 CFR 1.377 should be marked on the front page of
the communication to the attention of the Office of Petitions and
addressed as follows:

Assistant Commissioner for Patents

Box DAC

Washington, D.C. 20231

---SECTION---2590 Acceptance of Delayed Payment of Maintenance Fee in
Expired Patent to Reinstate Patent

37 CFR 1.378 Acceptance of delayed payment of maintenance fee in expired
patent to reinstate patent.

(a) The Commissioner may accept the payment of any maintenance fee due
on a patent after expiration of the patent if, upon petition, the delay
in payment of the maintenance fee is shown to the satisfaction of the
Commissioner to have been unavoidable (paragraph (b) of this section) or
unintentional (paragraph (c) of this section) and if the surcharge
required by Section  1.20(i) is paid as a condition of accepting payment
of the maintenance fee. If the Commissioner accepts payment of the
maintenance fee upon petition, the patent shall be considered as not
having expired, but will be subject to the conditions set forth in 35
U.S.C. 41(c)(2).

(b) Any petition to accept an unavoidably delayed payment of a
maintenance fee filed under paragraph (a) of this section must include:

(1) the required maintenance fee set forth in Section 1.20 (e)-(g);

(2) the surcharge set forth in Section  1.20(i)(1); and

(3) a showing that the delay was unavoidable since reasonable care was
taken to ensure that the maintenance fee would be paid timely and that
the petition was filed promptly after the patentee was notified of, or
otherwise became aware of, the expiration of the patent. The showing
must enumerate the steps taken to ensure timely payment of the
maintenance fee, the date and the manner in which patentee became aware
of the expiration of the patent, and the steps taken to file the
petition promptly.

(c) Any petition to accept an unintentionally delayed payment of a
maintenance fee filed under paragraph (a) of this section must be filed
within twenty-four months after the six-month grace period provided in
Section  1.362(e) and must include:

(1) the required maintenance fee set forth in Section  1.20 (e)-(g);

(2) the surcharge set forth in Section  1.20(i)(2); and

(3) a statement that the delay in payment of the maintenance fee was
unintentional.

(d) Any petition under this section must be signed by an attorney or
agent registered to practice before the Patent and Trademark Office, or
by the patentee, the assignee, or other party in interest.

(e) Reconsideration of a decision refusing to accept a maintenance fee
upon petition filed pursuant to paragraph (a) of this section may be
obtained by filing a petition for reconsideration within two months of,
or such other time as set in, the decision refusing to accept the
delayed payment of the maintenance fee. Any such petition for
reconsideration must be accompanied by the petition fee set forth in
Section  1.17(h). After decision on the petition for reconsideration, no
further reconsideration or review of the matter will be undertaken by
the Commissioner. If the delayed payment of the maintenance fee is not
accepted, the maintenance fee and the surcharge set forth in Section 
1.20(i) will be refunded following the decision on the petition for
reconsideration, or after the expiration of the time for filing such a
petition for reconsideration, if none is filed. Any petition fee under
this section will not be refunded unless the refusal to accept and
record the maintenance fee is determined to result from an error by the
Patent and Trademark Office.

37 CFR 1.378(a) provides that the Commissioner may accept the payment of
any maintenance fee due on a patent based on an expiration of the patent
if, upon petition, the delay in payment of the maintenance fee is shown
to the satisfaction of the Commissioner to have been unavoidable or
unintentional. The appropriate surcharge set forth in Section  1.20(i)
must be paid as a condition of accepting payment of the maintenance fee.
The surcharges set at 37 CFR 1.20(i) are established pursuant to 35
U.S.C. 41(c) and, therefore, are not subject to small entity provisions
of 35 U.S.C. 41(h). No separate petition fee is required for this
petition. If the Commissioner accepts payment of the maintenance fee
upon petition, the patent shall be considered as not having expired but
will be subject to the intervening rights and provisions of 35 U.S.C.
41(c)(2).

Any petition under 37 CFR 1.378(b) or (c) should be marked on the front
page of the communication to the attention of the Office of Petitions
and addressed as follows:

Assistant Commissioner for Patents

Box DAC

Washington, D.C. 20231

Any petition under 37 CFR 1.378 must be signed by an attorney or agent
registered to practice before the Patent and Trademark Office, or by the
patentee, the assignee, or other party in interest. A person or
organization whose only responsibility insofar as the patent is
concerned is the payment of a maintenance fee is not a party in interest
for purposes of 37 CFR 1.378. If the petition is signed by a person not
registered to practice before the Office, the petition must indicate
that the person signing the petition is the patentee, assignee, or other
party in interest. An assignee must comply with the requirements of 37
CFR 3.73(b) which is discussed in MPEP Section  324.

37 CFR 1.378(e) provides a mechanism for obtaining reconsideration of a
decision refusing to accept a maintenance fee upon petition filed
pursuant to paragraph (a). This mechanism is a petition for
reconsideration which may be filed within 2 months of, or such other
time as set in, the decision refusing to accept the delayed payment of
the maintenance fee. In contrast to petitions filed under paragraph (a),
the petition for reconsideration requires the petition fee set forth in
37 CFR 1.17(h). After a decision on the petition for reconsideration, no
further reconsideration or review of the matter will be undertaken by
the Commissioner. The maintenance fee and the surcharge submitted will
be refunded if the delayed payment of the maintenance fee is not
accepted. The refund will be made following the decision on the petition
for reconsideration, or after the expiration of the time for filing such
a petition for reconsideration, if none is filed. The petition fee for
filing the petition for reconsideration will not be refunded unless the
refusal to accept and record the maintenance fee is determined to result
from an error by the Office.

UNAVOIDABLE DELAY

37 CFR 1.378(b) provides that a patent may be reinstated at any time
following expiration of the patent for failure to timely pay a
maintenance fee. A petition to accept late payment of a maintenance fee,
where the delay was unavoidable, must include:

(A) the required maintenance fee set forth in 37 CFR 1.20(e)-(g);

(B) the surcharge set forth in 37 CFR 1.20(i) (1); and

(C) a showing that the delay was unavoidable since reasonable care was
taken to ensure that the maintenance fee would be paid timely and that
the petition was filed promptly after the patentee was notified of, or
otherwise became aware of, the expiration of the patent.

The required showing must enumerate the steps taken to ensure timely
payment of the maintenance fee, the date and the manner in which
patentee became aware of the expiration of the patent, and the steps
taken to file the petition promptly. Furthermore, an adequate showing
requires a statement by all persons with direct knowledge of the cause
of the delay, setting forth the facts as they know them. Copies of all
documentary evidence referred to in a statement should be furnished as
exhibits to the statement.

As language in 35 U.S.C. 41(c)(1) is identical to that in 35 U.S.C. 133
(i.e., "unavoidable" delay), a late maintenance fee for the unavoidable
delay standard is considered under the same standard for reviving an
abandoned application under 35 U.S.C. 133. See Ray v. Lehman, 55 F.3d
606, 608-09, 34 USPQ2d 1786, 1787 (Fed. Cir. 1995) (quoting In re Patent
No. 4,409,763, 7 USPQ2d 1798, 1800 (Comm'r Pat. 1988), aff'd sub nom.
Rydeen v. Quigg, 748 F. Supp. 900, 16 USPQ2d 1876 (D.D.C. 1990), aff'd,
937 F.2d 623 (Fed. Cir. 1991) (table), cert. denied, 502 U.S. 1075
(1992)). See MPEP Section  711.03(c) for a general discussion of the
"unavoidable" delay standard.

As 35 U.S.C. 41(c) requires the payment of fees at specified intervals
to maintain a patent in force, rather than some response to a specific
action by the Office under 35 U.S.C. 133, a reasonably prudent person in
the exercise of due care and diligence would have taken steps to ensure
the timely payment of such maintenance fees. Ray, 55 F.3d at 609, 34
USPQ2d at 1788. That is, an adequate showing that the delay in payment
of the maintenance fee at issue was "unavoidable" within the meaning of
35 U.S.C. 41(c) and 37 CFR 1.378(b)(3) requires a showing of the steps
taken to ensure the timely payment of the maintenance fees for this
patent. Id. Thus, where the record fails to disclose that the patentee
took reasonable steps, or discloses that the patentee took no steps, to
ensure timely payment of the maintenance fee, 35 U.S.C. 41(c) and 37 CFR
1.378(b)(3) preclude acceptance of the delayed payment of the
maintenance fee under 37 CFR 1.378(b).

In view of the requirement to enumerate the steps taken to ensure timely
payment of the maintenance fee, the patentee's lack of knowledge of the
need to pay the maintenance fee and the failure to receive the
Maintenance Fee Reminder do not constitute unavoidable delay. See Patent
No. 4,409,763, supra. See also Final Rule entitled "Final Rules for
Patent Maintenance Fees," published in the Federal Register at 49 Fed.
Reg. 34716, 34722-23 (August 31, 1984), and republished in the Official
Gazette at 1046 Off. Gaz. Pat. Office 28, 34 (September 25, 1984). Under
the statutes and rules, the Office has no duty to notify patentees of
the requirement to pay maintenance fees or to notify patentees when the
maintenance fees are due. It is solely the responsibility of the
patentee to assure that the maintenance fee is timely paid to prevent
expiration of the patent. The lack of knowledge of the requirement to
pay a maintenance fee and the failure to receive the Maintenance Fee
Reminder will not shift the burden of monitoring the time for paying a
maintenance fee from the patentee to the Office.

Thus, evidence that despite reasonable care on behalf of the patentee
and/or the patentee's agents, and reasonable steps to ensure timely
payment, the maintenance fee was unavoidably not paid, could be
submitted in support of an argument that the delay in payment was
unavoidable. For example, an error in a docketing system could possibly
result in a finding that a delay in payment was unavoidable if it were
shown that reasonable care was exercised in designing and operating the
system and if it were shown that the patentee took reasonable steps to
ensure that the patent was entered into the system to ensure timely
payment of the maintenance fees.

UNINTENTIONAL DELAY

Public Law 102-444 amended 35 U.S.C. 41(c)(1) to permit the Commissioner
to accept late payment of any maintenance fee filed within 24 months
after the 6-month grace period, if the delay in payment is shown to the
satisfaction of the Commissioner to have been unintentional. See MPEP
Section  711.03(c) for a general discussion of the "unintentional" delay
standard.

In addition to the timeliness deadline set forth in the preceding
paragraph, a petition filed under the unintentional standard of 37 CFR
1.378(c) must include:

(A) the required maintenance fee set forth in 37 CFR 1.20 (e) through
(g);

(B) the surcharge for an unintentionally expired patent as set forth in
37 CFR 1.20(i)(2); and

(C) a statement that the delay in payment of the maintenance fee was
unintentional.

A person seeking reinstatement of an expired patent should not make a
statement that the delay in payment of the maintenance fee was
unintentional unless the entire delay was unintentional, including the
period from discovery that the maintenance fee was not timely paid until
payment of the maintenance fee. For example, a statement that the delay
in payment of the maintenance fee was unintentional would not be proper
when the patentee becomes aware of an unintentional failure to timely
pay the maintenance fee and then intentionally delays filing a petition
for reinstatement of the patent under 37 CFR 1.378.

---SECTION---2591 Intervening Rights in Reinstated Patents

Intervening rights in reinstated patents are provided by 35 U.S.C.
41(c)(2) which is reproduced in MPEP Section  2501. No patent, the term
of which has been maintained as a result of the acceptance of a late
payment of a maintenance fee, shall abridge or affect the right of any
person or his successors in business who made, purchased, imported, or
used after the 6-month grace period but prior to the acceptance of the
late maintenance fee anything protected by the patent, to continue the
use or importation of, or to sell to others to be used or sold, the
specific things made, purchased, imported, or used. A court before which
such matter is in question may provide for the continued manufacture,
use, importation, or sale of the thing made, purchased, imported, or
used as specified, or for the manufacture, use, importation, or sale of
which substantial preparation was made after the 6- month grace period
but before the acceptance of the late maintenance fee, and it may also
provide for the continued practice of any process, practiced, or for the
practice of which substantial preparation was made, after the 6-month
grace period but prior to the acceptance of the late maintenance fee, to
the extent and under such terms as the court deems equitable for the
protection of investments made or business commenced after the 6-month
grace period but before the acceptance of the late maintenance fee.

---SECTION---2595 Forms

The following forms which are suggested when submitting a maintenance
fee or establishing a fee address for maintenance fee purposes are
reproduced on the following pages. "Maintenance Fee Transmittal Form,"
Form PTO/SB 45; and "`Fee Address' Indication Form," Form PTO/SB/47.

Form PTO/SB/45. Maintenance Fee Transmittal Form[GRAPHIC]

Form PTO/SB/47. "Fee Address" Indication Form[GRAPHIC]

