Revision of Patent Fees for Fiscal Year 2009, 47534-47542 [E8-18822]
Download as PDF
<![CDATA[
47534
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
by the Coast Guard Patrol Commander,
no person or vessel may enter or remain
in the regulated area.
(2) The operator of any vessel in the
regulated area must:
(i) Stop the vessel immediately when
instructed to do so by the Official Patrol
and then proceed as directed.
(ii) All persons and vessels shall
comply with the instructions of the
Official Patrol.
(iii) When authorized to transit the
regulated area, all vessels shall proceed
at the minimum speed necessary to
maintain a safe course that minimizes
wake near the race course.
(d) Enforcement period. This section
will be effective from 8 a.m. to 6 p.m.
on September 27, 2008.
Dated: August 4, 2008.
F.M. Rosa, Jr.,
Rear Admiral, U.S. Coast Guard, District Five
Commander.
[FR Doc. E8–18789 Filed 8–13–08; 8:45 am]
BILLING CODE 4910–15–P
DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Parts 1 and 41
[Docket No. PTO–C02008–0004]
RIN 0651–AC21
Revision of Patent Fees for Fiscal Year
2009
United States Patent and
Trademark Office, Commerce.
ACTION: Final rule.
AGENCY:
SUMMARY: The United States Patent and
Trademark Office (Office) is adjusting
certain patent fee amounts for fiscal year
2009 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. In addition, the
Office is correcting the addresses for
maintenance fee payments and
correspondence, and deposit account
replenishments.
DATES:
Effective Date: October 2, 2008.
rfrederick on PROD1PC67 with RULES
FOR FURTHER INFORMATION CONTACT:
Walter Schlueter by e-mail at
Walter.Schlueter@uspto.gov, by
telephone at (571) 272–6299, or by fax
at (571) 273–6299.
SUPPLEMENTARY INFORMATION: The Office
is adjusting certain patent fee amounts
in accordance with the applicable
provisions of title 35, United States
Code, as amended by the Consolidated
Appropriations Act (Pub. L. 108–447,
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
118 Stat. 2809 (2004)). In addition, this
final rule changes the addresses for
maintenance fee payments and
correspondence, and deposit account
replenishments. The addresses are being
changed to reflect the current addresses
that should be used.
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, § 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.
Section 41(d) of title 35, United States
Code, authorizes the Director to
establish fees for all other processing,
services, or materials related to patents
to recover the average cost of providing
these services or materials, except for
the fees for recording a document
affecting title, for each photocopy, for
each black and white copy of a patent,
and for standard library service.
Section 41(f) of title 35, United States
Code, provides that fee amounts
established under 35 U.S.C. 41(a) and
(b) may be adjusted on October 1, 1992,
and every year thereafter, to reflect
fluctuations in the CPI over the previous
twelve months.
Section 41(g) of title 35, United States
Code, provides that new fee amounts
established by the Director under 35
U.S.C. 41 may take effect thirty days
after notice in the Federal Register and
the Official Gazette of the United States
Patent and Trademark Office.
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)), 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
patent and trademark fee provisions of
the fiscal year 2005 Consolidated
Appropriations Act were extended
through September 30, 2008, by
subsequent legislation. See Public Law
110–161, 121 Stat. 1844 (2007), Public
PO 00000
Frm 00012
Fmt 4700
Sfmt 4700
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).
Legislation is pending before Congress
which, if enacted, would extend the
patent and trademark fee provisions of
the fiscal year 2005 Consolidated
Appropriations Act through fiscal year
2009 (through September 30, 2009). See
S. 3182, 110th Cong. (2008).
Fee Adjustment Level: The patent
statutory fee amounts established by 35
U.S.C. 41(a) and (b) are adjusted to
reflect fluctuations occurring during the
twelve-month period from October 1,
2007, through September 30, 2008,
correspondingly, in the Consumer Price
Index for All Urban Consumers (CPI–U).
The Office of Management and Budget
has advised that in calculating these
fluctuations, the Office should use CPI–
U data as determined by the Secretary
of Labor. In accordance with previous
fee-setting methodology, the Office
bases this fee adjustment on the
Administration’s CPI–U for the twelvemonth period ending September 30,
2008.
The Office published a notice
proposing to adjust the patent fees
charged under 35 U.S.C. 41(a), (b), and
(d)(1) for fiscal year 2009 to reflect
fluctuations in the CPI. See Revision of
Patent Fees for Fiscal Year 2009, 73 FR
31655 (June 3, 2008), 1331 Off. Gaz. Pat.
Office 97 (June 24, 2008) (proposed
rule). While the proposed rule specified
fee amounts based upon a projected
CPI–U of 4.0 percent, the proposed rule
indicated that the fee amounts adopted
in a final rule may be based upon the
actual fluctuations in the CPI–U as
determined by the Secretary of Labor.
See Revision of Patent Fees for Fiscal
Year 2009, 73 FR at 31656, 1331–4 Off.
Gaz. Pat. Office at 98. After the date the
proposed rule was published, the
projected CPI–U for the twelve-month
period prior to the enactment of the fee
amount adjustments has increased from
4.0 percent to 5.0 percent. Thus, this
final rule adjusts the patent fees charged
under 35 U.S.C. 41(a), (b), and (d)(1) by
5.0 percent based upon the current
projected fluctuation in the CPI–U.
The fee amounts were rounded by
applying standard arithmetic rules so
that the amounts rounded will be
convenient to the user. Fees for other
than a small entity of $100 or more were
rounded to the nearest $10. Fees of less
than $100 were rounded to an even
E:\FR\FM\14AUR1.SGM
14AUR1
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
number so that any comparable small
entity fee will be a whole number.
General Procedures: Any fee amount
that is paid on or after the effective date
of the fee adjustment is subject to the
new fees in effect. The amount of the fee
to be paid will be determined by the
time of filing. The time of filing will be
determined either according to the date
of receipt in 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
Office 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 fee amounts
and change of addresses, a discussion of
specific sections is set forth below.
Discussion of Specific Rules
37 CFR 1.1 Addresses for nontrademark correspondence with the
United States Patent and Trademark
Office. Section 1.1, paragraph (d), is
revised to change the maintenance fee
payment and correspondence address.
37 CFR 1.16 National application
filing, search, and examination fees:
Section 1.16, paragraphs (a) through (e),
(h) through (k), and (m) through (s), is
revised to adjust fees established therein
to reflect fluctuations in the CPI.
37 CFR 1.17 Patent application and
reexamination processing fees: Section
1.17, paragraphs (a), (l), and (m), is
revised to adjust fees established therein
to reflect fluctuations in the CPI.
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.
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.
37 CFR 1.25 Deposit accounts:
Section 1.25, paragraph (c)(3), is revised
to change the deposit account
replenishment address. In addition,
paragraph (c)(4) is removed.
47535
37 CFR 1.492 National stage fees:
Section 1.492, paragraphs (a), (b)(3),
(b)(4), (c)(2), (d) through (f), and (j), is
revised to adjust fees established therein
to reflect fluctuations in the CPI.
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.
Alternative Fee Amounts if Legislation
Extending the Patent and Trademark
Fee Provisions of the Fiscal Year 2005
Consolidated Appropriations Act Is Not
Enacted: If legislation that would extend
the patent and trademark fee provisions
of the fiscal year 2005 Consolidated
Appropriations Act into fiscal year 2009
is not enacted, patent fees under 35
U.S.C. 41(a), (b), and (d) will become the
patent fees in effect in the absence of the
fiscal year 2005 Consolidated
Appropriations Act. In that event, the
Office will publish a final rule adjusting
the patent fees under 35 U.S.C. 41(a),
(b), and (d) in effect in the absence of
the fiscal year 2005 Consolidated
Appropriations Act to reflect
fluctuations in the Consumer Price
Index (CPI–U). The following table
(Table 1) sets out the fee amounts that
would be published in a final rule in the
event that legislation extending the
patent and trademark fee provisions of
the fiscal year 2005 Consolidated
Appropriations Act into fiscal year 2009
is not enacted.
TABLE 1
Alternative fee
amount
(non-small entity)
rfrederick on PROD1PC67 with RULES
37 CFR Sec.
Fee
1.16(a) ..........................................
1.16(b) ..........................................
1.16(d) ..........................................
1.16(f) ...........................................
1.16(g) ..........................................
1.16(h) ..........................................
1.16(i) ...........................................
1.16(k) ..........................................
1.17(a)(1) .....................................
1.17(a)(2) .....................................
1.17(a)(3) .....................................
1.17(a)(4) .....................................
1.17(a)(5) .....................................
1.17(m) .........................................
1.18(a) ..........................................
1.18(b) ..........................................
1.18(c) ..........................................
1.20(e) ..........................................
1.20(f) ...........................................
1.20(g) ..........................................
1.492(a)(1) ...................................
1.492(a)(2) ...................................
1.492(a)(3) ...................................
1.492(a)(5) ...................................
1.492(b) ........................................
1.492(d) ........................................
41.20(b)(1) ...................................
41.20(b)(2) ...................................
Basic filing fee—utility application .....................................................
Independent claims in excess of three .............................................
Multiple dependent claim ..................................................................
Basic filing fee—design application ..................................................
Basic filing fee—plant application .....................................................
Basic filing fee—reissue application .................................................
Independent claims in excess of three—reissue ..............................
Basic filing fee—provisional application ............................................
Extension for response within first month .........................................
Extension for response within second month ...................................
Extension for response within third month .......................................
Extension for response within fourth month .....................................
Extension for response within fifth month .........................................
Petition to revive—unintentionally abandoned application ...............
Issue fee—utility application .............................................................
Issue fee—design application ...........................................................
Issue fee—plant application ..............................................................
Maintenance fee—due at 3.5 years ..................................................
Maintenance fee—due at 7.5 years ..................................................
Maintenance fee—due at 11.5 years ................................................
IPEA—U.S. ........................................................................................
ISA—U.S. ..........................................................................................
USPTO not ISA or IPEA ...................................................................
Filing with EPO or JPO search report ..............................................
Independent claims in excess of three .............................................
Multiple dependent claim ..................................................................
Notice of appeal ................................................................................
Brief in support of an appeal ............................................................
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
PO 00000
Frm 00013
Fmt 4700
Sfmt 4700
E:\FR\FM\14AUR1.SGM
850.00
94.00
330.00
380.00
600.00
850.00
94.00
170.00
120.00
480.00
1,100.00
1,720.00
2,340.00
1,480.00
1,480.00
530.00
710.00
1,020.00
2,320.00
3,580.00
810.00
850.00
1,200.00
1,030.00
94.00
330.00
370.00
370.00
14AUR1
Alternative fee
amount
(small entity)
425.00
47.00
165.00
190.00
300.00
425.00
47.00
85.00
60.00
240.00
550.00
860.00
1,170.00
740.00
740.00
265.00
355.00
510.00
1,160.00
1,790.00
405.00
425.00
600.00
515.00
47.00
165.00
185.00
185.00
47536
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
TABLE 1—Continued
Alternative fee
amount
(non-small entity)
37 CFR Sec.
Fee
41.20(b)(3) ...................................
Request for oral hearing ...................................................................
Response to Comments: As discussed
previously, the Office published a
notice proposing to adjust the patent
fees charged under 35 U.S.C. 41(a), (b),
and (d)(1) for fiscal year 2009 to reflect
fluctuations in the CPI. See Revision of
Patent Fees for Fiscal Year 2009, 73 FR
31655 et seq., 1331–4 Off. Gaz. Pat.
Office 97 et seq. The Office received one
comment (from an individual) in
response to this notice. The comment
stated that small entity fees should not
be increased, but rather should be
reduced.
The small entity reduction amounts
are provided by 35 U.S.C. 41(h)(1) (‘‘fees
charged under [35 U.S.C. 41](a), (b) and
(d)(1) shall be reduced by 50 percent
with respect to their application to any
small business concern as defined under
section 3 of the Small Business Act, and
to any independent inventor or
nonprofit organization as defined in
regulations issued by the Director’’) and
41(h)(3) (‘‘[t]he fee charged under [35
U.S.C. 41](a)(l)(A) shall be reduced by
75 percent with respect to its
application to any entity to which [35
U.S.C. 41(h)(1)] applies, if the
application is filed by electronic means
as prescribed by the Director’’). The
Office has no authority to change
(increase or reduce) the percentage by
which the patent fees charged under 35
U.S.C. 41(a), (b), and (d)(1) are reduced
for small entities. The Office also has no
authority to adjust the patent fee
amounts specified in [35 U.S.C. 41](a),
(b) and (d)(1) to reflect fluctuations in
the CPI (which is necessary to recover
the higher costs associated with doing
business) only with respect to non-small
entities.
rfrederick on PROD1PC67 with RULES
Rulemaking Considerations
A. Final Regulatory Flexibility Analysis
1. Description of the reasons that
action by the Office is being considered:
The Office is adjusting the patent fees
set under 35 U.S.C. 41(a) and (b) to
ensure proper funding for effective
Office operations. The patent fee CPI
adjustment is a routine adjustment that
has generally occurred on an annual
basis to recover the higher costs of the
Office’s operations that occur due to the
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
increase in the price of products and
services. The lack of proper funding for
effective Office operations would result
in a significant increase in patent
pendency levels.
2. Succinct statement of the objectives
of, and legal basis for, the final rule: The
objective of the change is to adjust
patent fees set under 35 U.S.C. 41(a) and
(b) to recover the higher costs of Office
operations. 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. 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. 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 Office,
however, has formally adopted 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 Office captures
this data in the Patent Application
Location and Monitoring (PALM)
PO 00000
Frm 00014
Fmt 4700
Sfmt 4700
330.00
Alternative fee
amount
(small entity)
165.00
database system, which tracks
information on each patent application
submitted to the Office.
Unlike the SBA small business size
standards set forth in 13 CFR 121.201,
this size standard is not industryspecific. Specifically, the Office’s
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, 1313 Off.
Gaz. Pat. Office at 63.
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 rule specifically
apply when an applicant or patentee
pays an application filing or national
stage entry fee, search fee, examination
fee, excess or multiple dependent claim
fee, application size fee, extension of
time fee, notice of appeal fee, appeal
brief fee, request for an oral hearing fee,
disclaimer fee, petition to revive fee,
issue fee, or patent maintenance fee.
The following table (Table 2) indicates
the applicable fee, the number of small
entity payments of the fee received by
the Office in fiscal year 2007 (number of
small entities who paid the applicable
fee in fiscal year 2007), the current
small entity fee amount, the new small
entity fee amount, and the net amount
of the small entity fee adjustment.
E:\FR\FM\14AUR1.SGM
14AUR1
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
47537
TABLE 2
Fiscal year 2007
small entity
payments
Fee
rfrederick on PROD1PC67 with RULES
Basic filing fee—utility application—electronic filing ................
Basic filing fee—utility application (on or after December 8,
2004) ....................................................................................
Basic filing fee—utility application (before December 8, 2004)
Basic filing fee—design application (on or after December 8,
2004) ....................................................................................
Basic filing fee—design application (before December 8,
2004) ....................................................................................
Basic filing fee—plant application (on or after December 8,
2004) ....................................................................................
Basic filing fee—plant application (before December 8, 2004)
Basic filing fee—provisional application ..................................
Basic filing fee—reissue application (on or after December 8,
2004) ....................................................................................
Basic filing fee—reissue application (before December 8,
2004) ....................................................................................
Independent claims in excess of three ....................................
Claims in excess of 20 ............................................................
Multiple dependent claim .........................................................
Search fee—utility application (on or after December 8,
2004) ....................................................................................
Search fee—plant application (on or after December 8,
2004) ....................................................................................
Search fee—reissue application (on or after December 8,
2004) ....................................................................................
Examination fee—utility application (on or after December 8,
2004) ....................................................................................
Examination fee—design application (on or after December
8, 2004) ................................................................................
Examination fee—plant application (on or after December 8,
2004) ....................................................................................
Examination fee—reissue application (on or after December
8, 2004) ................................................................................
Application size fee greater than 100 pages ...........................
Extension for response within first month ...............................
Extension for response within second month .........................
Extension for response within third month ..............................
Extension for response within fourth month ............................
Extension for response within fifth month ...............................
Petition to revive—unavoidably abandoned application ..........
Petition to revive—unintentionally abandoned application ......
Issue fee—utility application ....................................................
Issue fee—design application ..................................................
Issue fee—plant application ....................................................
Reexamination independent claims in excess of three ...........
Reexamination claims in excess of 20 ....................................
Statutory disclaimer .................................................................
Maintenance fee—due at 3.5 years ........................................
Maintenance fee—due at 7.5 years ........................................
Maintenance fee—due at 11.5 years ......................................
Filing of PCT application—USPTO ISA—national stage ........
National stage search fee—search report to USPTO .............
National stage search fee—all other situations .......................
National stage examination fee—all other situations ..............
Independent claims in excess of three ....................................
Claims in excess of 20 ............................................................
Multiple dependent claim .........................................................
Application size fee greater than 100 pages ...........................
Notice of appeal .......................................................................
Brief in support of an appeal ...................................................
Request for oral hearing ..........................................................
The Office has also 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
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
Former fee
amount
Frm 00015
Fee adjustment
41,519
75.00
82.00
7.00
45,832
66
155.00
405.00
165.00
425.00
10.00
20.00
12,846
105.00
110.00
5.00
11
180.00
190.00
10.00
327
0
83,712
105.00
285.00
105.00
110.00
300.00
110.00
5.00
15.00
5.00
181
155.00
165.00
10.00
1
26,418
41,100
2,503
405.00
105.00
25.00
185.00
425.00
110.00
26.00
195.00
20.00
5.00
1.00
10.00
86,469
255.00
270.00
15.00
326
155.00
165.00
10.00
180
255.00
270.00
15.00
86,658
105.00
110.00
5.00
12,615
65.00
70.00
5.00
327
80.00
85.00
5.00
191
5,469
30,722
17,339
23,818
2,277
2,700
174
3,271
33,718
10,398
298
37
45
6,248
32,577
20,981
8,130
11,807
8,440
1,029
11,262
3,272
5,913
1,178
573
5,978
2,640
233
310.00
130.00
60.00
230.00
525.00
820.00
1,115.00
255.00
770.00
720.00
410.00
565.00
105.00
25.00
65.00
465.00
1,180.00
1,955.00
155.00
205.00
255.00
105.00
105.00
25.00
185.00
130.00
255.00
255.00
515.00
325.00
135.00
65.00
245.00
555.00
865.00
1,175.00
270.00
810.00
755.00
430.00
595.00
110.00
26.00
70.00
490.00
1,240.00
2,055.00
165.00
215.00
270.00
110.00
110.00
26.00
195.00
135.00
270.00
270.00
540.00
15.00
5.00
5.00
15.00
30.00
45.00
60.00
15.00
40.00
35.00
20.00
30.00
5.00
1.00
5.00
25.00
60.00
100.00
10.00
10.00
15.00
5.00
5.00
1.00
10.00
5.00
15.00
15.00
25.00
States Patent and Trademark Office
Regulatory Flexibility Analysis for
Patent-Related Regulations, 71 FR at
67110, 1313 Off. Gaz. Pat. Office at 61.
Therefore, the Office has also
PO 00000
Adjusted fee
amount
Fmt 4700
Sfmt 4700
considered all other entities paying
patent fees as well. The following table
(Table 3) indicates the applicable fee,
the number of non-small entity
payments of the fee received by the
E:\FR\FM\14AUR1.SGM
14AUR1
47538
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
Office in fiscal year 2007 (number of
non-small entities who paid the
applicable fee in fiscal year 2007), the
current non-small entity fee amount, the
revised non-small entity fee amount,
and the net amount of the non-small
entity fee adjustment.
TABLE 3
Fiscal year 2007
non-small entity
payments
rfrederick on PROD1PC67 with RULES
Fee
Basic filing fee—utility application (on or after December 8,
2004) ....................................................................................
Basic filing fee—utility application (before December 8, 2004)
Basic filing fee—design application (on or after December 8,
2004) ....................................................................................
Basic filing fee—design application (before December 8,
2004) ....................................................................................
Basic filing fee—plant application (on or after December 8,
2004) ....................................................................................
Basic filing fee—plant application (before December 8, 2004)
Basic filing fee—provisional application ..................................
Basic filing fee—reissue application (on or after December 8,
2004) ....................................................................................
Basic filing fee—reissue application (before December 8,
2004) ....................................................................................
Independent claims in excess of three ....................................
Claims in excess of 20 ............................................................
Multiple dependent claim .........................................................
Search fee—utility application (on or after December 8,
2004) ....................................................................................
Search fee—plant application (on or after December 8,
2004) ....................................................................................
Search fee—reissue application (on or after December 8,
2004) ....................................................................................
Examination fee—utility application (on or after December 8,
2004) ....................................................................................
Examination fee—design application (on or after December
8, 2004) ................................................................................
Examination fee—plant application (on or after December 8,
2004) ....................................................................................
Examination fee—reissue application (on or after December
8, 2004) ................................................................................
Application size fee greater than 100 pages ...........................
Extension for response within first month ...............................
Extension for response within second month .........................
Extension for response within third month ..............................
Extension for response within fourth month ............................
Extension for response within fifth month ...............................
Petition to revive—unavoidably abandoned application ..........
Petition to revive—unintentionally abandoned application ......
Issue fee—utility application ....................................................
Issue fee—design application ..................................................
Issue fee—plant application ....................................................
Reexamination independent claims in excess of three ...........
Reexamination claims in excess of 20 ....................................
Statutory disclaimer .................................................................
Maintenance fee—due at 3.5 years ........................................
Maintenance fee—due at 7.5 years ........................................
Maintenance fee—due at 11.5 years ......................................
Filing of PCT application—USPTO ISA—national stage ........
National stage search fee—search report to USPTO .............
National stage search fee—all other situations .......................
National stage examination fee—all other situations ..............
Independent claims in excess of three ....................................
Claims in excess of 20 ............................................................
Multiple dependent claim .........................................................
Application size fee greater than 100 pages ...........................
Notice of appeal .......................................................................
Brief in support of an appeal ...................................................
Request for oral hearing ..........................................................
4. Description of the reporting,
recordkeeping and other compliance
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
Former fee
amount
Frm 00016
Fee adjustment
209,577
311
310.00
810.00
330.00
850.00
20.00
40.00
13,400
210.00
220.00
10.00
72
360.00
380.00
20.00
680
0
47,925
210.00
570.00
210.00
220.00
600.00
220.00
10.00
30.00
10.00
689
310.00
330.00
20.00
1
77,135
102,973
5,944
810.00
210.00
50.00
370.00
850.00
220.00
52.00
390.00
40.00
10.00
2.00
20.00
209,135
510.00
540.00
30.00
681
310.00
330.00
20.00
688
510.00
540.00
30.00
209,465
210.00
220.00
10.00
13,261
130.00
140.00
10.00
681
160.00
170.00
10.00
707
11,257
88,684
42,308
41,489
3,105
3,482
127
4,180
122,251
12,433
673
132
151
21,218
125,653
88,487
42,193
41,842
38,457
2,429
41,044
9,367
14,983
3,998
2,102
21,646
11,950
736
620.00
260.00
120.00
460.00
1,050.00
1,640.00
2,230.00
510.00
1,540.00
1,440.00
820.00
1,130.00
210.00
50.00
130.00
930.00
2,360.00
3,910.00
310.00
410.00
510.00
210.00
210.00
50.00
370.00
260.00
510.00
510.00
1,030.00
650.00
270.00
130.00
490.00
1,110.00
1,730.00
2,350.00
540.00
1,620.00
1,510.00
860.00
1,190.00
220.00
52.00
140.00
980.00
2,480.00
4,110.00
330.00
430.00
540.00
220.00
220.00
52.00
390.00
270.00
540.00
540.00
1,080.00
30.00
10.00
10.00
30.00
60.00
90.00
120.00
30.00
80.00
70.00
40.00
60.00
10.00
2.00
10.00
50.00
120.00
200.00
20.00
20.00
30.00
10.00
10.00
2.00
20.00
10.00
30.00
30.00
50.00
requirements of the final rule, including
an estimate of the classes of small
PO 00000
Adjusted fee
amount
Fmt 4700
Sfmt 4700
entities which will be subject to the
requirement and the type of professional
E:\FR\FM\14AUR1.SGM
14AUR1
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
skills necessary for preparation of the
report or record: This rule does not
require any reporting or recordkeeping
or incorporate other compliance
requirements. This rule only adjusts
patent fees (as discussed previously) to
reflect changes in the CPI.
5. 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 applicable statutes.
The Office is adjusting the patent fee
amounts to ensure proper funding for
effective Office operations. The patent
fee CPI adjustment is a routine
adjustment that has generally occurred
on an annual basis to recover the higher
costs of the Office’s operations that
occur due to the increase in the price of
products and services. The lack of
proper funding for effective Office
operations would result in a significant
increase in patent pendency levels.
6. Identification, to the extent
practicable, of all relevant Federal rules
which may duplicate, overlap or
conflict with the final rules: The Office
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 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
Patent Cooperation Treaty (PCT)).
Nevertheless, the Office believes that
there are no other duplicative or
overlapping rules.
rfrederick on PROD1PC67 with RULES
B. Executive Order 13132 (Federalism)
This final 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),
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
as amended by Executive Order 13258
(Feb. 26, 2002) and Executive Order
13422 (Jan. 18, 2007).
D. 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).
E. 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 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).
F. 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).
G. Executive Order 13045 (Protection of
Children)
47539
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).
J. 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.
K. 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.
L. National Technology Transfer and
Advancement Act
This rulemaking does not concern an
environmental risk to health or safety
that may disproportionately affect
children under Executive Order 13045
(Apr. 21, 1997).
H. Executive Order 12630 (Taking of
Private Property)
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
rule making does not contain provisions
which involve the use of technical
standards.
M. Paperwork Reduction Act
This rulemaking will not effect a
taking of private property or otherwise
have taking implications under
Executive Order 12630 (Mar. 15, 1988).
I. 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 United
States Patent and Trademark Office has
submitted a report containing the final
rule and other required information to
the United States Senate, the United
States 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-
PO 00000
Frm 00017
Fmt 4700
Sfmt 4700
This rule involves information
collection requirements which are
subject to review by the Office of
Management and Budget (OMB) under
the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.). The collections
of information involved in this rule
have been reviewed and approved by
OMB under OMB control numbers
0651–0016, 0651–0021, 0651–0031,
0651–0032, and 0651–0033. The Office
is not resubmitting information
collection packages 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, 0651–0031,
0651–0032, and 0651–0033. The Office
will submit fee revision changes for
OMB control numbers 0651–0016,
0651–0021, 0651–0031, 0651–0032, and
0651–0033 at the time these collections
are resubmitted to OMB for renewal.
E:\FR\FM\14AUR1.SGM
14AUR1
47540
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
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
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 submitted in
compliance with the Office
electronic
filing
system
(§ 1.27(b)(2)) .............................
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
(j) In addition to the basic filing fee in
an application, other than a provisional
$82.00 application, that contains, or is
$165.00 amended to contain, a multiple
$330.00 dependent claim, per application:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
(k) Search 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:
$425.00
$850.00
(b) Basic fee for filing each
application for an original design
patent:
(1) For an application filed on or after
December 8, 2004:
37 CFR Part 41
Administrative practice and
procedure, Inventions and patents,
Lawyers.
I For the reasons set forth in the
preamble, 37 CFR parts 1 and 41 are
amended as follows:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$110.00
$220.00
(2) For an application filed before
December 8, 2004:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
PART 1—RULES OF PRACTICE IN
PATENT CASES
$190.00
$380.00
(c) Basic fee for filing each application
for an original plant patent:
(1) For an application filed on or after
December 8, 2004:
1. The authority citation for 37 CFR
part 1 continues to read as follows:
I
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
Authority: 35 U.S.C. 2(b)(2).
$110.00
$220.00
2. Section 1.1 is amended by revising
paragraph (d) to read as follows:
(2) For an application filed before
December 8, 2004:
§ 1.1 Addresses for non-trademark
correspondence with the United States
Patent and Trademark Office.
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
I
*
*
*
*
*
(d) Payments of maintenance fees in
patents not submitted electronically
over the Internet, and correspondence
related to maintenance fees may be
addressed to: Director of the United
States Patent and Trademark Office,
Attn: Maintenance Fee, 2051 Jamieson
Avenue, Suite 300, Alexandria, Virginia
22314.
*
*
*
*
*
I 3. Part 1 of 37 CFR is amended
immediately after the undesignated
center heading ‘‘Fees and Payment of
Money’’ to include the following
authority citation:
Authority: Secs. 1.16 to 1.22 also issued
under 35 U.S.C. 41, 111, 119, 120, 132(b),
156, 157, 255, 302, and 311, and Public Laws
103–465, and 106–113.
4. Section 1.16 is amended by revising
paragraphs (a) through (e), (h) through
(k), and (m) through (s) to read as
follows:
rfrederick on PROD1PC67 with RULES
I
§ 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
Jkt 214001
$26.00
$52.00
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
Administrative practice and
procedure, Courts, Freedom of
Information, Inventions and patents,
Reporting and recordkeeping
requirements, Small businesses.
14:45 Aug 13, 2008
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
(2) For an application filed before
December 8, 2004:
37 CFR Part 1
VerDate Aug<31>2005
§ 1.75(c) indicates how multiple
dependent claims are considered for fee
calculation purposes):
$300.00
$600.00
$110.00
$220.00
(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)) ........
By other than a small entity .......
$165.00
$330.00
(2) For an application filed before
December 8, 2004:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$425.00
$850.00
*
*
*
*
*
(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)) ........
By other than a small entity .......
$110.00
$220.00
(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
PO 00000
Frm 00018
Fmt 4700
Sfmt 4700
$270.00
$540.00
*
*
*
*
*
(m) Search fee for each application
filed on or after December 8, 2004, for
an original plant patent:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$165.00
$330.00
(n) Search fee for each application
filed on or after December 8, 2004, for
the reissue of a patent:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$270.00
$540.00
(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)) ........
By other than a small entity .......
(d) Basic fee for filing each
provisional application:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$195.00
$390.00
$110.00
$220.00
(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)) ........
By other than a small entity .......
$70.00
$140.00
(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)) ........
By other than a small entity .......
$85.00
$170.00
(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)) ........
By other than a small entity .......
$325.00
$650.00
(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)) ........
By other than a small entity .......
*
$135.00
$270.00
*
*
*
*
5. Section 1.17 is amended by revising
paragraphs (a), (l), and (m) to read as
follows:
I
E:\FR\FM\14AUR1.SGM
14AUR1
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
§ 1.17 Patent application and
reexamination processing fees.
§ 1.20
(a) Extension fees pursuant to
§ 1.136(a):
(1) For reply within first month:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$65.00
$130.00
(2) For reply within second month:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$245.00
$490.00
(3) For reply within third month:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$555.00
$1,110.00
(4) For reply within fourth month:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$865.00
$1,730.00
(5) For reply within fifth month:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$1,175.00
$2,350.00
*
*
*
*
*
(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)) ........
By other than a small entity .......
$270.00
$540.00
(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)) ........
By other than a small entity .......
$810.00
$1,620.00
*
*
*
*
*
6. Section 1.18 is amended by revising
paragraphs (a) through (c) to read as
follows:
I
§ 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 small entity (§ 1.27(a)) ........
By other than a small entity .......
$755.00
$1,510.00
(b) Issue fee for issuing an original
design patent:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$430.00
$860.00
rfrederick on PROD1PC67 with RULES
$595.00
$1,190.00
*
*
*
*
*
7. Section 1.20 is amended by revising
paragraphs (c)(3), (c)(4), and (d) through
(g) to read as follows:
I
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
*
*
*
*
(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)) ........
By other than a small entity .......
$110.00
$220.00
(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)) ........
By other than a small entity .......
$26.00
$52.00
*
*
*
*
*
(d) For filing each statutory disclaimer
(§ 1.321):
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$70.00
$140.00
(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)) ........
By other than a small entity .......
$490.00
$980.00
(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)) ........
By other than a small entity .......
$1,240.00
$2,480.00
(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 small entity (§ 1.27(a)) ........
By other than a small entity .......
$2,055.00
$4,110.00
*
*
*
*
*
8. Section 1.25 is amended by
removing paragraph (c)(4) and revising
paragraph (c)(3) to read as follows:
I
(c) Issue fee for issuing an original
plant patent:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
Post issuance fees.
*
§ 1.25
Deposit accounts.
*
*
*
*
*
(c) * * *
(3) A payment to replenish a deposit
account may be addressed to: Director of
PO 00000
Frm 00019
Fmt 4700
Sfmt 4700
47541
the United States Patent and Trademark
Office, Attn: Deposit Accounts, 2051
Jamieson Avenue, Suite 300,
Alexandria, Virginia 22314.
I 9. 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)) ........
By other than a small entity .......
$165.00
$330.00
(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)) ........
By other than a small entity .......
$215.00
$430.00
(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)) ........
By other than a small entity .......
$270.00
$540.00
(c) * * *
(2) In all situations not provided for
in paragraph (c)(1) of this section:
By a small entity (§ 1.27(a)) ........
By other than a small entity .......
$110.00
$220.00
(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)) ........
By other than a small entity .......
$110.00
$220.00
(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)) ........
By other than a small entity .......
$26.00
$52.00
(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)) ........
By other than a small entity .......
*
$195.00
$390.00
*
*
*
*
(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
E:\FR\FM\14AUR1.SGM
14AUR1
47542
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations
serious area particulate matter (PM–10)
plan for the Maricopa County portion of
By a small entity (§ 1.27(a)) ........
$135.00 the metropolitan Phoenix (Arizona)
By other than a small entity .......
$270.00 nonattainment area (Maricopa County
area). EPA is also confirming that it
PART 41—PRACTICE BEFORE THE
appropriately granted Arizona’s request
BOARD OF PATENT APPEALS AND
to extend the attainment deadline from
INTERFERENCES
2001 to 2006. EPA originally approved
these demonstrations and granted the
I 10. The authority citation for 37 CFR
extension request on July 25, 2002.
part 41 continues to read as follows:
Thereafter EPA’s action was challenged
in the U.S. Court of Appeals for the
Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21,
23, 32, 41, 134, 135.
Ninth Circuit. In response to the Court’s
remand, EPA reassessed the BACM
I 11. Section 41.20 is amended by
revising paragraph (b) to read as follows: demonstration for the significant source
categories of on-road motor vehicles and
§ 41.20 Fees.
nonroad engines and equipment
*
*
*
*
*
exhaust, specifically regarding whether
(b) Appeal fees. (1) For filing a notice
or not California Air Resources Board
of appeal from the examiner to the
(CARB) diesel is a BACM and/or MSM.
Board:
As a result of this reassessment, EPA in
2006 again approved the BACM and
By a small entity (§ 1.27(a) of
this title) ...................................
$270.00 MSM demonstrations in the plan and
By other than a small entity .......
$540.00 granted the request for an attainment
date extension. In light of its 2007
(2) In addition to the fee for filing a
finding that the Maricopa County area
notice of appeal, for filing a brief in
failed to attain the 24-hour PM–10
support of an appeal:
National Ambient Air Quality Standard
By a small entity (§ 1.27(a) of
this title) ...................................
$270.00 (NAAQS) by December 31, 2006, EPA
By other than a small entity .......
$540.00 has again reassessed the BACM and
MSM demonstrations and is again
(3) For filing a request for an oral
approving these demonstrations.
hearing before the Board in an appeal
DATES: Effective Date: This rule is
under 35 U.S.C. 134:
effective on September 15, 2008.
By a small entity (§ 1.27(a)) ........
$540.00
ADDRESSES: EPA has established docket
By other than a small entity ....... $1,080.00
number EPA–R09–OAR–0091 for this
action. The index to the docket is
Dated: August 8, 2008.
available electronically at https://
Margaret J. A. Peterlin,
www.regulations.gov and in hard copy
Deputy Under Secretary of Commerce for
at EPA Region 9, 75 Hawthorne Street,
Intellectual Property and Deputy Director of
San Francisco, California. While all
the United States Patent and Trademark
documents in the docket are listed in
Office.
the index, some information may be
[FR Doc. E8–18822 Filed 8–13–08; 8:45 am]
publicly available only at the hard copy
BILLING CODE 3510–16–P
location, e.g., copyrighted material, and
some may not be publicly available in
either location, e.g., confidential
ENVIRONMENTAL PROTECTION
business information. To inspect the
AGENCY
hard copy materials, please schedule an
appointment during normal business
40 CFR Part 52
hours with the contact listed in the FOR
[EPA–R09–OAR–2006–0571; FRL–8703–3]
FURTHER INFORMATION CONTACT section.
FOR FURTHER INFORMATION CONTACT:
Approval and Promulgation of
Carol Weisner, EPA Region IX, (415)
Implementation Plans for Arizona;
947–4107, weisner.carol@epa.gov.
Maricopa County PM–10
Nonattainment Area; Serious Area Plan SUPPLEMENTARY INFORMATION:
Throughout this document, ‘‘we,’’ ‘‘us’’
for Attainment of the 24-Hour and
and ‘‘our’’ refer to EPA.
Annual PM–10 Standards
I. Summary of Proposed Action
AGENCY: Environmental Protection
On June 8, 2007, EPA proposed to reAgency (EPA).
approve the BACM and MSM
ACTION: Final rule.
demonstrations in Arizona’s serious
area PM–10 plan for the Maricopa
SUMMARY: EPA is taking final action
County area. EPA also proposed to
under the Clean Air Act (CAA) to
confirm that it appropriately granted
approve the Best Available Control
Measure (BACM) and the Most Stringent Arizona’s request for an extension of the
area’s attainment deadline from
Measure (MSM) demonstrations in the
rfrederick on PROD1PC67 with RULES
paper, for each additional 50 sheets or
fraction thereof:
VerDate Aug<31>2005
14:45 Aug 13, 2008
Jkt 214001
PO 00000
Frm 00020
Fmt 4700
Sfmt 4700
December 31, 2001 to December 31,
2006. 72 FR 31778. EPA originally
approved the BACM and MSM
demonstrations and granted the
attainment date extension in 2002.1
EPA’s 2002 action was subsequently
challenged in the U.S. Court of Appeals
for the Ninth Circuit. On May 10, 2004,
the Court issued its opinion which
upheld EPA’s final approval in part but
remanded to EPA the issue of whether
CARB diesel must be included in the
serious area plan as a BACM and a
MSM. See Vigil v. Leavitt, 366 F.3d
1025, amended at 381 F.3d 826 (9th Cir.
2004).
In response to the Ninth Circuit’s
remand, EPA re-examined the feasibility
of CARB diesel for both the on-road
motor vehicle exhaust and nonroad
engines and equipment exhaust
significant source categories. On August
3, 2006, EPA again approved the BACM
and MSM demonstrations in the MAG
plan for these significant source
categories without CARB diesel and
granted the State’s request to extend the
attainment deadline from 2001 to 2006.
71 FR 43979. In this final action, EPA
concluded that implementation of
CARB diesel was not feasible for (1) onroad motor vehicle exhaust because
Arizona would not be able to make a
‘‘necessity’’ showing for CARB diesel
and thus, would not be able to obtain a
waiver of federal preemption under
CAA section 211(c)(4)(C)(i) in light of
EPA’s prior approval of the PM–10
attainment demonstration that did not
rely on reductions associated with the
use of CARB diesel, and (2) nonroad
engines and equipment exhaust because
of the uncertainties with fuel
availability, storage and segregation and
1 On July 25, 2002, EPA approved multiple
documents submitted to EPA by Arizona for the
Maricopa County area as meeting the CAA
requirements for serious PM–10 nonattainment
areas for the 24-hour and annual PM–10 national
ambient air quality standards (NAAQS). Among
these documents is the ‘‘Revised MAG 1999 Serious
Area Particulate Plan for PM–10 for the Maricopa
County Nonattainment Area,’’ February 2000 (MAG
plan) that includes the BACM demonstrations for
all significant source categories (except agriculture)
for both the 24-hour and annual PM–10 standards
and the State’s request and supporting
documentation, including the most stringent
measure analysis (except for agriculture) for an
attainment date extension for both standards. EPA’s
July 25, 2002 final action included approval of
these elements of the MAG plan. For a detailed
discussion of the MAG plan and the serious area
PM–10 requirements, please see EPA’s proposed
and final approval actions at 65 FR 19964 (April 13,
2000), 66 FR 50252 (October 2, 2001) and 67 FR
48718 (July 25, 2002).
Note that, effective December 18, 2006, EPA
revoked the annual PM–10 standard. 71 FR 61144
(October 17, 2006). References to the annual
standard in this final rule are for historical purposes
only. EPA is not taking any regulatory action with
regard to this former standard.
E:\FR\FM\14AUR1.SGM
14AUR1
]]>Agencies
[Federal Register Volume 73, Number 158 (Thursday, August 14, 2008)]
[Rules and Regulations]
[Pages 47534-47542]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-18822]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Parts 1 and 41
[Docket No. PTO-C02008-0004]
RIN 0651-AC21
Revision of Patent Fees for Fiscal Year 2009
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The United States Patent and Trademark Office (Office) is
adjusting certain patent fee amounts for fiscal year 2009 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. In addition,
the Office is correcting the addresses for maintenance fee payments and
correspondence, and deposit account replenishments.
DATES: Effective Date: October 2, 2008.
FOR FURTHER INFORMATION CONTACT: Walter Schlueter by e-mail at
Walter.Schlueter@uspto.gov, by telephone at (571) 272-6299, or by fax
at (571) 273-6299.
SUPPLEMENTARY INFORMATION: The Office is adjusting certain patent fee
amounts in accordance with the applicable provisions of title 35,
United States Code, as amended by the Consolidated Appropriations Act
(Pub. L. 108-447, 118 Stat. 2809 (2004)). In addition, this final rule
changes the addresses for maintenance fee payments and correspondence,
and deposit account replenishments. The addresses are being changed to
reflect the current addresses that should be used.
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.
Section 41(d) of title 35, United States Code, authorizes the
Director to establish fees for all other processing, services, or
materials related to patents to recover the average cost of providing
these services or materials, except for the fees for recording a
document affecting title, for each photocopy, for each black and white
copy of a patent, and for standard library service.
Section 41(f) of title 35, United States Code, provides that fee
amounts established under 35 U.S.C. 41(a) and (b) may be adjusted on
October 1, 1992, and every year thereafter, to reflect fluctuations in
the CPI over the previous twelve months.
Section 41(g) of title 35, United States Code, provides that new
fee amounts established by the Director under 35 U.S.C. 41 may take
effect thirty days after notice in the Federal Register and the
Official Gazette of the United States Patent and Trademark Office.
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)), 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 patent and trademark fee provisions of the fiscal
year 2005 Consolidated Appropriations Act were extended through
September 30, 2008, by subsequent legislation. See 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). Legislation is pending before Congress which, if
enacted, would extend the patent and trademark fee provisions of the
fiscal year 2005 Consolidated Appropriations Act through fiscal year
2009 (through September 30, 2009). See S. 3182, 110th Cong. (2008).
Fee Adjustment Level: The patent statutory fee amounts established
by 35 U.S.C. 41(a) and (b) are adjusted to reflect fluctuations
occurring during the twelve-month period from October 1, 2007, through
September 30, 2008, correspondingly, in the Consumer Price Index for
All Urban Consumers (CPI-U). The Office of Management and Budget has
advised that in calculating these fluctuations, the Office should use
CPI-U data as determined by the Secretary of Labor. In accordance with
previous fee-setting methodology, the Office bases this fee adjustment
on the Administration's CPI-U for the twelve-month period ending
September 30, 2008.
The Office published a notice proposing to adjust the patent fees
charged under 35 U.S.C. 41(a), (b), and (d)(1) for fiscal year 2009 to
reflect fluctuations in the CPI. See Revision of Patent Fees for Fiscal
Year 2009, 73 FR 31655 (June 3, 2008), 1331 Off. Gaz. Pat. Office 97
(June 24, 2008) (proposed rule). While the proposed rule specified fee
amounts based upon a projected CPI-U of 4.0 percent, the proposed rule
indicated that the fee amounts adopted in a final rule may be based
upon the actual fluctuations in the CPI-U as determined by the
Secretary of Labor. See Revision of Patent Fees for Fiscal Year 2009,
73 FR at 31656, 1331-4 Off. Gaz. Pat. Office at 98. After the date the
proposed rule was published, the projected CPI-U for the twelve-month
period prior to the enactment of the fee amount adjustments has
increased from 4.0 percent to 5.0 percent. Thus, this final rule
adjusts the patent fees charged under 35 U.S.C. 41(a), (b), and (d)(1)
by 5.0 percent based upon the current projected fluctuation in the CPI-
U.
The fee amounts were rounded by applying standard arithmetic rules
so that the amounts rounded will be convenient to the user. Fees for
other than a small entity of $100 or more were rounded to the nearest
$10. Fees of less than $100 were rounded to an even
[[Page 47535]]
number so that any comparable small entity fee will be a whole number.
General Procedures: Any fee amount that is paid on or after the
effective date of the fee adjustment is subject to the new fees in
effect. The amount of the fee to be paid will be determined by the time
of filing. The time of filing will be determined either according to
the date of receipt in 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 Office 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 fee amounts and
change of addresses, a discussion of specific sections is set forth
below.
Discussion of Specific Rules
37 CFR 1.1 Addresses for non-trademark correspondence with the
United States Patent and Trademark Office. Section 1.1, paragraph (d),
is revised to change the maintenance fee payment and correspondence
address.
37 CFR 1.16 National application filing, search, and examination
fees: Section 1.16, paragraphs (a) through (e), (h) through (k), and
(m) through (s), is revised to adjust fees established therein to
reflect fluctuations in the CPI.
37 CFR 1.17 Patent application and reexamination processing fees:
Section 1.17, paragraphs (a), (l), and (m), is revised to adjust fees
established therein to reflect fluctuations in the CPI.
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.
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.
37 CFR 1.25 Deposit accounts: Section 1.25, paragraph (c)(3), is
revised to change the deposit account replenishment address. In
addition, paragraph (c)(4) is removed.
37 CFR 1.492 National stage fees: Section 1.492, paragraphs (a),
(b)(3), (b)(4), (c)(2), (d) through (f), and (j), is revised to adjust
fees established therein to reflect fluctuations in the CPI.
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.
Alternative Fee Amounts if Legislation Extending the Patent and
Trademark Fee Provisions of the Fiscal Year 2005 Consolidated
Appropriations Act Is Not Enacted: If legislation that would extend the
patent and trademark fee provisions of the fiscal year 2005
Consolidated Appropriations Act into fiscal year 2009 is not enacted,
patent fees under 35 U.S.C. 41(a), (b), and (d) will become the patent
fees in effect in the absence of the fiscal year 2005 Consolidated
Appropriations Act. In that event, the Office will publish a final rule
adjusting the patent fees under 35 U.S.C. 41(a), (b), and (d) in effect
in the absence of the fiscal year 2005 Consolidated Appropriations Act
to reflect fluctuations in the Consumer Price Index (CPI-U). The
following table (Table 1) sets out the fee amounts that would be
published in a final rule in the event that legislation extending the
patent and trademark fee provisions of the fiscal year 2005
Consolidated Appropriations Act into fiscal year 2009 is not enacted.
Table 1
----------------------------------------------------------------------------------------------------------------
Alternative fee Alternative fee
37 CFR Sec. Fee amount (non- amount (small
small entity) entity)
----------------------------------------------------------------------------------------------------------------
1.16(a)................................. Basic filing fee--utility 850.00 425.00
application.
1.16(b)................................. Independent claims in excess of 94.00 47.00
three.
1.16(d)................................. Multiple dependent claim........ 330.00 165.00
1.16(f)................................. Basic filing fee--design 380.00 190.00
application.
1.16(g)................................. Basic filing fee--plant 600.00 300.00
application.
1.16(h)................................. Basic filing fee--reissue 850.00 425.00
application.
1.16(i)................................. Independent claims in excess of 94.00 47.00
three--reissue.
1.16(k)................................. Basic filing fee--provisional 170.00 85.00
application.
1.17(a)(1).............................. Extension for response within 120.00 60.00
first month.
1.17(a)(2).............................. Extension for response within 480.00 240.00
second month.
1.17(a)(3).............................. Extension for response within 1,100.00 550.00
third month.
1.17(a)(4).............................. Extension for response within 1,720.00 860.00
fourth month.
1.17(a)(5).............................. Extension for response within 2,340.00 1,170.00
fifth month.
1.17(m)................................. Petition to revive-- 1,480.00 740.00
unintentionally abandoned
application.
1.18(a)................................. Issue fee--utility application.. 1,480.00 740.00
1.18(b)................................. Issue fee--design application... 530.00 265.00
1.18(c)................................. Issue fee--plant application.... 710.00 355.00
1.20(e)................................. Maintenance fee--due at 3.5 1,020.00 510.00
years.
1.20(f)................................. Maintenance fee--due at 7.5 2,320.00 1,160.00
years.
1.20(g)................................. Maintenance fee--due at 11.5 3,580.00 1,790.00
years.
1.492(a)(1)............................. IPEA--U.S....................... 810.00 405.00
1.492(a)(2)............................. ISA--U.S........................ 850.00 425.00
1.492(a)(3)............................. USPTO not ISA or IPEA........... 1,200.00 600.00
1.492(a)(5)............................. Filing with EPO or JPO search 1,030.00 515.00
report.
1.492(b)................................ Independent claims in excess of 94.00 47.00
three.
1.492(d)................................ Multiple dependent claim........ 330.00 165.00
41.20(b)(1)............................. Notice of appeal................ 370.00 185.00
41.20(b)(2)............................. Brief in support of an appeal... 370.00 185.00
[[Page 47536]]
41.20(b)(3)............................. Request for oral hearing........ 330.00 165.00
----------------------------------------------------------------------------------------------------------------
Response to Comments: As discussed previously, the Office published
a notice proposing to adjust the patent fees charged under 35 U.S.C.
41(a), (b), and (d)(1) for fiscal year 2009 to reflect fluctuations in
the CPI. See Revision of Patent Fees for Fiscal Year 2009, 73 FR 31655
et seq., 1331-4 Off. Gaz. Pat. Office 97 et seq. The Office received
one comment (from an individual) in response to this notice. The
comment stated that small entity fees should not be increased, but
rather should be reduced.
The small entity reduction amounts are provided by 35 U.S.C.
41(h)(1) (``fees charged under [35 U.S.C. 41](a), (b) and (d)(1) shall
be reduced by 50 percent with respect to their application to any small
business concern as defined under section 3 of the Small Business Act,
and to any independent inventor or nonprofit organization as defined in
regulations issued by the Director'') and 41(h)(3) (``[t]he fee charged
under [35 U.S.C. 41](a)(l)(A) shall be reduced by 75 percent with
respect to its application to any entity to which [35 U.S.C. 41(h)(1)]
applies, if the application is filed by electronic means as prescribed
by the Director''). The Office has no authority to change (increase or
reduce) the percentage by which the patent fees charged under 35 U.S.C.
41(a), (b), and (d)(1) are reduced for small entities. The Office also
has no authority to adjust the patent fee amounts specified in [35
U.S.C. 41](a), (b) and (d)(1) to reflect fluctuations in the CPI (which
is necessary to recover the higher costs associated with doing
business) only with respect to non-small entities.
Rulemaking Considerations
A. Final Regulatory Flexibility Analysis
1. Description of the reasons that action by the Office is being
considered: The Office is adjusting the patent fees set under 35 U.S.C.
41(a) and (b) to ensure proper funding for effective Office operations.
The patent fee CPI adjustment is a routine adjustment that has
generally occurred on an annual basis to recover the higher costs of
the Office's operations that occur due to the increase in the price of
products and services. The lack of proper funding for effective Office
operations would result in a significant increase in patent pendency
levels.
2. Succinct statement of the objectives of, and legal basis for,
the final rule: The objective of the change is to adjust patent fees
set under 35 U.S.C. 41(a) and (b) to recover the higher costs of Office
operations. 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. 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. 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 Office, however, has formally
adopted 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 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.
Unlike the SBA small business size standards set forth in 13 CFR
121.201, this size standard is not industry-specific. Specifically, the
Office's 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, 1313 Off. Gaz. Pat. Office at 63.
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 rule specifically apply when an
applicant or patentee pays an application filing or national stage
entry fee, search fee, examination fee, excess or multiple dependent
claim fee, application size fee, extension of time fee, notice of
appeal fee, appeal brief fee, request for an oral hearing fee,
disclaimer fee, petition to revive fee, issue fee, or patent
maintenance fee. The following table (Table 2) indicates the applicable
fee, the number of small entity payments of the fee received by the
Office in fiscal year 2007 (number of small entities who paid the
applicable fee in fiscal year 2007), the current small entity fee
amount, the new small entity fee amount, and the net amount of the
small entity fee adjustment.
[[Page 47537]]
Table 2
----------------------------------------------------------------------------------------------------------------
Fiscal year 2007
Fee small entity Former fee amount Adjusted fee Fee adjustment
payments amount
----------------------------------------------------------------------------------------------------------------
Basic filing fee--utility 41,519 75.00 82.00 7.00
application--electronic filing.....
Basic filing fee--utility 45,832 155.00 165.00 10.00
application (on or after December
8, 2004)...........................
Basic filing fee--utility 66 405.00 425.00 20.00
application (before December 8,
2004)..............................
Basic filing fee--design application 12,846 105.00 110.00 5.00
(on or after December 8, 2004).....
Basic filing fee--design application 11 180.00 190.00 10.00
(before December 8, 2004)..........
Basic filing fee--plant application 327 105.00 110.00 5.00
(on or after December 8, 2004).....
Basic filing fee--plant application 0 285.00 300.00 15.00
(before December 8, 2004)..........
Basic filing fee--provisional 83,712 105.00 110.00 5.00
application........................
Basic filing fee--reissue 181 155.00 165.00 10.00
application (on or after December
8, 2004)...........................
Basic filing fee--reissue 1 405.00 425.00 20.00
application (before December 8,
2004)..............................
Independent claims in excess of 26,418 105.00 110.00 5.00
three..............................
Claims in excess of 20.............. 41,100 25.00 26.00 1.00
Multiple dependent claim............ 2,503 185.00 195.00 10.00
Search fee--utility application (on 86,469 255.00 270.00 15.00
or after December 8, 2004).........
Search fee--plant application (on or 326 155.00 165.00 10.00
after December 8, 2004)............
Search fee--reissue application (on 180 255.00 270.00 15.00
or after December 8, 2004).........
Examination fee--utility application 86,658 105.00 110.00 5.00
(on or after December 8, 2004).....
Examination fee--design application 12,615 65.00 70.00 5.00
(on or after December 8, 2004).....
Examination fee--plant application 327 80.00 85.00 5.00
(on or after December 8, 2004).....
Examination fee--reissue application 191 310.00 325.00 15.00
(on or after December 8, 2004).....
Application size fee greater than 5,469 130.00 135.00 5.00
100 pages..........................
Extension for response within first 30,722 60.00 65.00 5.00
month..............................
Extension for response within second 17,339 230.00 245.00 15.00
month..............................
Extension for response within third 23,818 525.00 555.00 30.00
month..............................
Extension for response within fourth 2,277 820.00 865.00 45.00
month..............................
Extension for response within fifth 2,700 1,115.00 1,175.00 60.00
month..............................
Petition to revive--unavoidably 174 255.00 270.00 15.00
abandoned application..............
Petition to revive--unintentionally 3,271 770.00 810.00 40.00
abandoned application..............
Issue fee--utility application...... 33,718 720.00 755.00 35.00
Issue fee--design application....... 10,398 410.00 430.00 20.00
Issue fee--plant application........ 298 565.00 595.00 30.00
Reexamination independent claims in 37 105.00 110.00 5.00
excess of three....................
Reexamination claims in excess of 20 45 25.00 26.00 1.00
Statutory disclaimer................ 6,248 65.00 70.00 5.00
Maintenance fee--due at 3.5 years... 32,577 465.00 490.00 25.00
Maintenance fee--due at 7.5 years... 20,981 1,180.00 1,240.00 60.00
Maintenance fee--due at 11.5 years.. 8,130 1,955.00 2,055.00 100.00
Filing of PCT application--USPTO 11,807 155.00 165.00 10.00
ISA--national stage................
National stage search fee--search 8,440 205.00 215.00 10.00
report to USPTO....................
National stage search fee--all other 1,029 255.00 270.00 15.00
situations.........................
National stage examination fee--all 11,262 105.00 110.00 5.00
other situations...................
Independent claims in excess of 3,272 105.00 110.00 5.00
three..............................
Claims in excess of 20.............. 5,913 25.00 26.00 1.00
Multiple dependent claim............ 1,178 185.00 195.00 10.00
Application size fee greater than 573 130.00 135.00 5.00
100 pages..........................
Notice of appeal.................... 5,978 255.00 270.00 15.00
Brief in support of an appeal....... 2,640 255.00 270.00 15.00
Request for oral hearing............ 233 515.00 540.00 25.00
----------------------------------------------------------------------------------------------------------------
The Office has also 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, 1313 Off. Gaz. Pat. Office at 61.
Therefore, the Office has also considered all other entities paying
patent fees as well. The following table (Table 3) indicates the
applicable fee, the number of non-small entity payments of the fee
received by the
[[Page 47538]]
Office in fiscal year 2007 (number of non-small entities who paid the
applicable fee in fiscal year 2007), the current non-small entity fee
amount, the revised non-small entity fee amount, and the net amount of
the non-small entity fee adjustment.
Table 3
----------------------------------------------------------------------------------------------------------------
Fiscal year 2007
Fee non-small entity Former fee amount Adjusted fee Fee adjustment
payments amount
----------------------------------------------------------------------------------------------------------------
Basic filing fee--utility 209,577 310.00 330.00 20.00
application (on or after December
8, 2004)...........................
Basic filing fee--utility 311 810.00 850.00 40.00
application (before December 8,
2004)..............................
Basic filing fee--design application 13,400 210.00 220.00 10.00
(on or after December 8, 2004).....
Basic filing fee--design application 72 360.00 380.00 20.00
(before December 8, 2004)..........
Basic filing fee--plant application 680 210.00 220.00 10.00
(on or after December 8, 2004).....
Basic filing fee--plant application 0 570.00 600.00 30.00
(before December 8, 2004)..........
Basic filing fee--provisional 47,925 210.00 220.00 10.00
application........................
Basic filing fee--reissue 689 310.00 330.00 20.00
application (on or after December
8, 2004)...........................
Basic filing fee--reissue 1 810.00 850.00 40.00
application (before December 8,
2004)..............................
Independent claims in excess of 77,135 210.00 220.00 10.00
three..............................
Claims in excess of 20.............. 102,973 50.00 52.00 2.00
Multiple dependent claim............ 5,944 370.00 390.00 20.00
Search fee--utility application (on 209,135 510.00 540.00 30.00
or after December 8, 2004).........
Search fee--plant application (on or 681 310.00 330.00 20.00
after December 8, 2004)............
Search fee--reissue application (on 688 510.00 540.00 30.00
or after December 8, 2004).........
Examination fee--utility application 209,465 210.00 220.00 10.00
(on or after December 8, 2004).....
Examination fee--design application 13,261 130.00 140.00 10.00
(on or after December 8, 2004).....
Examination fee--plant application 681 160.00 170.00 10.00
(on or after December 8, 2004).....
Examination fee--reissue application 707 620.00 650.00 30.00
(on or after December 8, 2004).....
Application size fee greater than 11,257 260.00 270.00 10.00
100 pages..........................
Extension for response within first 88,684 120.00 130.00 10.00
month..............................
Extension for response within second 42,308 460.00 490.00 30.00
month..............................
Extension for response within third 41,489 1,050.00 1,110.00 60.00
month..............................
Extension for response within fourth 3,105 1,640.00 1,730.00 90.00
month..............................
Extension for response within fifth 3,482 2,230.00 2,350.00 120.00
month..............................
Petition to revive--unavoidably 127 510.00 540.00 30.00
abandoned application..............
Petition to revive--unintentionally 4,180 1,540.00 1,620.00 80.00
abandoned application..............
Issue fee--utility application...... 122,251 1,440.00 1,510.00 70.00
Issue fee--design application....... 12,433 820.00 860.00 40.00
Issue fee--plant application........ 673 1,130.00 1,190.00 60.00
Reexamination independent claims in 132 210.00 220.00 10.00
excess of three....................
Reexamination claims in excess of 20 151 50.00 52.00 2.00
Statutory disclaimer................ 21,218 130.00 140.00 10.00
Maintenance fee--due at 3.5 years... 125,653 930.00 980.00 50.00
Maintenance fee--due at 7.5 years... 88,487 2,360.00 2,480.00 120.00
Maintenance fee--due at 11.5 years.. 42,193 3,910.00 4,110.00 200.00
Filing of PCT application--USPTO 41,842 310.00 330.00 20.00
ISA--national stage................
National stage search fee--search 38,457 410.00 430.00 20.00
report to USPTO....................
National stage search fee--all other 2,429 510.00 540.00 30.00
situations.........................
National stage examination fee--all 41,044 210.00 220.00 10.00
other situations...................
Independent claims in excess of 9,367 210.00 220.00 10.00
three..............................
Claims in excess of 20.............. 14,983 50.00 52.00 2.00
Multiple dependent claim............ 3,998 370.00 390.00 20.00
Application size fee greater than 2,102 260.00 270.00 10.00
100 pages..........................
Notice of appeal.................... 21,646 510.00 540.00 30.00
Brief in support of an appeal....... 11,950 510.00 540.00 30.00
Request for oral hearing............ 736 1,030.00 1,080.00 50.00
----------------------------------------------------------------------------------------------------------------
4. 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
[[Page 47539]]
skills necessary for preparation of the report or record: This rule
does not require any reporting or recordkeeping or incorporate other
compliance requirements. This rule only adjusts patent fees (as
discussed previously) to reflect changes in the CPI.
5. 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 applicable statutes. The Office is adjusting the patent
fee amounts to ensure proper funding for effective Office operations.
The patent fee CPI adjustment is a routine adjustment that has
generally occurred on an annual basis to recover the higher costs of
the Office's operations that occur due to the increase in the price of
products and services. The lack of proper funding for effective Office
operations would result in a significant increase in patent pendency
levels.
6. Identification, to the extent practicable, of all relevant
Federal rules which may duplicate, overlap or conflict with the final
rules: The Office 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 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 Patent Cooperation Treaty
(PCT)).
Nevertheless, the Office believes that there are no other
duplicative or overlapping rules.
B. Executive Order 13132 (Federalism)
This final 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 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).
E. 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
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).
F. 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).
G. 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).
H. 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).
I. 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
United States Patent and Trademark Office has submitted a report
containing the final rule and other required information to the United
States Senate, the United States 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).
J. 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.
K. 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.
L. 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 rule making does not contain provisions which
involve the use of technical standards.
M. Paperwork Reduction Act
This rule involves information collection requirements which are
subject to review by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). The
collections of information involved in this rule have been reviewed and
approved by OMB under OMB control numbers 0651-0016, 0651-0021, 0651-
0031, 0651-0032, and 0651-0033. The Office is not resubmitting
information collection packages 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, 0651-0031, 0651-0032,
and 0651-0033. The Office will submit fee revision changes for OMB
control numbers 0651-0016, 0651-0021, 0651-0031, 0651-0032, and 0651-
0033 at the time these collections are resubmitted to OMB for renewal.
[[Page 47540]]
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.
0
For the reasons set forth in the preamble, 37 CFR parts 1 and 41 are
amended as follows:
PART 1--RULES OF PRACTICE IN PATENT CASES
0
1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2).
0
2. Section 1.1 is amended by revising paragraph (d) to read as follows:
Sec. 1.1 Addresses for non-trademark correspondence with the United
States Patent and Trademark Office.
* * * * *
(d) Payments of maintenance fees in patents not submitted
electronically over the Internet, and correspondence related to
maintenance fees may be addressed to: Director of the United States
Patent and Trademark Office, Attn: Maintenance Fee, 2051 Jamieson
Avenue, Suite 300, Alexandria, Virginia 22314.
* * * * *
0
3. Part 1 of 37 CFR is amended immediately after the undesignated
center heading ``Fees and Payment of Money'' to include the following
authority citation:
Authority: Secs. 1.16 to 1.22 also issued under 35 U.S.C. 41,
111, 119, 120, 132(b), 156, 157, 255, 302, and 311, and Public Laws
103-465, and 106-113.
0
4. Section 1.16 is amended by revising paragraphs (a) through (e), (h)
through (k), and (m) through (s) to read as follows:
Sec. 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 (Sec. 1.27(a)) if the application is $82.00
submitted in compliance with the Office electronic filing
system (Sec. 1.27(b)(2))..................................
By a small entity (Sec. 1.27(a))........................... $165.00
By other than a small entity................................. $330.00
(2) For an application filed before December 8, 2004:
By a small entity (Sec. 1.27(a))........................... $425.00
By other than a small entity................................. $850.00
(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 (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(2) For an application filed before December 8, 2004:
By a small entity (Sec. 1.27(a))........................... $190.00
By other than a small entity................................. $380.00
(c) Basic fee for filing each application for an original plant
patent:
(1) For an application filed on or after December 8, 2004:
By a small entity (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(2) For an application filed before December 8, 2004:
By a small entity (Sec. 1.27(a))........................... $300.00
By other than a small entity................................. $600.00
(d) Basic fee for filing each provisional application:
By a small entity (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(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 (Sec. 1.27(a))........................... $165.00
By other than a small entity................................. $330.00
(2) For an application filed before December 8, 2004:
By a small entity (Sec. 1.27(a))........................... $425.00
By other than a small entity................................. $850.00
* * * * *
(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 (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(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 Sec. 1.75(c) indicates how multiple dependent claims
are considered for fee calculation purposes):
By a small entity (Sec. 1.27(a))........................... $26.00
By other than a small entity................................. $52.00
(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 (Sec. 1.27(a))........................... $195.00
By other than a small entity................................. $390.00
(k) Search 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 (Sec. 1.27(a))........................... $270.00
By other than a small entity................................. $540.00
* * * * *
(m) Search fee for each application filed on or after December 8,
2004, for an original plant patent:
By a small entity (Sec. 1.27(a))........................... $165.00
By other than a small entity................................. $330.00
(n) Search fee for each application filed on or after December 8,
2004, for the reissue of a patent:
By a small entity (Sec. 1.27(a))........................... $270.00
By other than a small entity................................. $540.00
(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 (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(p) Examination fee for each application filed on or after December
8, 2004, for an original design patent:
By a small entity (Sec. 1.27(a))........................... $70.00
By other than a small entity................................. $140.00
(q) Examination fee for each application filed on or after December
8, 2004, for an original plant patent:
By a small entity (Sec. 1.27(a))........................... $85.00
By other than a small entity................................. $170.00
(r) Examination fee for each application filed on or after December
8, 2004, for the reissue of a patent:
By a small entity (Sec. 1.27(a))........................... $325.00
By other than a small entity................................. $650.00
(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 (Sec. 1.27(a))........................... $135.00
By other than a small entity................................. $270.00
* * * * *
0
5. Section 1.17 is amended by revising paragraphs (a), (l), and (m) to
read as follows:
[[Page 47541]]
Sec. 1.17 Patent application and reexamination processing fees.
(a) Extension fees pursuant to Sec. 1.136(a):
(1) For reply within first month:
By a small entity (Sec. 1.27(a))........................... $65.00
By other than a small entity................................. $130.00
(2) For reply within second month:
By a small entity (Sec. 1.27(a))........................... $245.00
By other than a small entity................................. $490.00
(3) For reply within third month:
By a small entity (Sec. 1.27(a))........................... $555.00
By other than a small entity................................. $1,110.00
(4) For reply within fourth month:
By a small entity (Sec. 1.27(a))........................... $865.00
By other than a small entity................................. $1,730.00
(5) For reply within fifth month:
By a small entity (Sec. 1.27(a))........................... $1,175.00
By other than a small entity................................. $2,350.00
* * * * *
(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 (Sec. 1.137(a)):
By a small entity (Sec. 1.27(a))........................... $270.00
By other than a small entity................................. $540.00
(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) (Sec.
1.137(b)):
By a small entity (Sec. 1.27(a))........................... $810.00
By other than a small entity................................. $1,620.00
* * * * *
0
6. Section 1.18 is amended by revising paragraphs (a) through (c) to
read as follows:
Sec. 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 small entity (Sec. 1.27(a))........................... $755.00
By other than a small entity................................. $1,510.00
(b) Issue fee for issuing an original design patent:
By a small entity (Sec. 1.27(a))........................... $430.00
By other than a small entity................................. $860.00
(c) Issue fee for issuing an original plant patent:
By a small entity (Sec. 1.27(a))........................... $595.00
By other than a small entity................................. $1,190.00
* * * * *
0
7. Section 1.20 is amended by revising paragraphs (c)(3), (c)(4), and
(d) through (g) to read as follows:
Sec. 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 (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(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 Sec. 1.75(c) indicates
how multiple dependent claims are considered for fee calculation
purposes):
By a small entity (Sec. 1.27(a))........................... $26.00
By other than a small entity................................. $52.00
* * * * *
(d) For filing each statutory disclaimer (Sec. 1.321):
By a small entity (Sec. 1.27(a))........................... $70.00
By other than a small entity................................. $140.00
(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 (Sec. 1.27(a))........................... $490.00
By other than a small entity................................. $980.00
(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 (Sec. 1.27(a))........................... $1,240.00
By other than a small entity................................. $2,480.00
(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 small entity (Sec. 1.27(a))........................... $2,055.00
By other than a small entity................................. $4,110.00
* * * * *
0
8. Section 1.25 is amended by removing paragraph (c)(4) and revising
paragraph (c)(3) to read as follows:
Sec. 1.25 Deposit accounts.
* * * * *
(c) * * *
(3) A payment to replenish a deposit account may be addressed to:
Director of the United States Patent and Trademark Office, Attn:
Deposit Accounts, 2051 Jamieson Avenue, Suite 300, Alexandria, Virginia
22314.
0
9. Section 1.492 is amended by revising paragraphs (a), (b)(3), (b)(4),
(c)(2), (d) through (f) and (j) to read as follows:
Sec. 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 (Sec. 1.27(a))........................... $165.00
By other than a small entity................................. $330.00
(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 (Sec. 1.27(a))........................... $215.00
By other than a small entity................................. $430.00
(4) In all situations not provided for in paragraphs (b)(1),
(b)(2), or (b)(3) of this section:
By a small entity (Sec. 1.27(a))........................... $270.00
By other than a small entity................................. $540.00
(c) * * *
(2) In all situations not provided for in paragraph (c)(1) of this
section:
By a small entity (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(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 (Sec. 1.27(a))........................... $110.00
By other than a small entity................................. $220.00
(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 Sec. 1.75(c) indicates how
multiple dependent claims are considered for fee calculation purposes):
By a small entity (Sec. 1.27(a))........................... $26.00
By other than a small entity................................. $52.00
(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 (Sec. 1.27(a))........................... $195.00
By other than a small entity................................. $390.00
* * * * *
(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
[[Page 47542]]
paper, for each additional 50 sheets or fraction thereof:
By a small entity (Sec. 1.27(a))........................... $135.00
By other than a small entity................................. $270.00
PART 41--PRACTICE BEFORE THE BOARD OF PATENT APPEALS AND
INTERFERENCES
0
10. 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.
0
11. Section 41.20 is amended by revising paragraph (b) to read as
follows:
Sec. 41.20 Fees.
* * * * *
(b) Appeal fees. (1) For filing a notice of appeal from the
examiner to the Board:
By a small entity (Sec. 1.27(a) of this title)............. $270.00
By other than a small entity................................. $540.00
(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 (Sec. 1.27(a) of this title)............. $270.00
By other than a small entity................................. $540.00
(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 (Sec. 1.27(a))........................... $540.00
By other than a small entity................................. $1,080.00
Dated: August 8, 2008.
Margaret J. A. Peterlin,
Deputy Under Secretary of Commerce for Intellectual Property and Deputy
Director of the United States Patent and Trademark Office.
[FR Doc. E8-18822 Filed 8-13-08; 8:45 am]
BILLING CODE 3510-16-P
