Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations 39731

(b) Appropriate action will be taken

against any person who violates any

discrimination prohibition contained in

paragraph (a) of this section. However,

this section does not create any legal

rights enforceable against the

Department of the Treasury, its officers,

or employees, or any other person.

Although this section does not create

any enforceable rights, actions in

violation of the section may still result

in civil or criminal action in accordance

with applicable laws.

§ 700.14 Smoking.

Smoking of cigarettes, cigars and

pipes is prohibited in all FLETC

buildings and vehicles.

Ralph W. Basham,

Director.

[FR Doc. 98–19493 Filed 7–23–98; 8:45 am]

BILLING CODE 4810–32–M

DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. 980713170–8170–01]

RIN 0651–AA96

Revision of Patent Fees for Fiscal Year

1999

AGENCY: Patent and Trademark Office,

Commerce.

ACTION: Final rule.

SUMMARY: The Patent and Trademark

Office (PTO) is amending the rules of

practice in patent cases, Part 1 of title

37, Code of Federal Regulations, to

adjust patent statutory fee amounts to

reflect the expiration of the surcharge

established by the Omnibus Budget

Reconciliation Act of 1990, as amended,

and fluctuations in the Consumer Price

Index (CPI). Also, a few fees that track

statutory fees are being correspondingly

adjusted, and a non-statutory fee is

being reduced to recover cost.

Patent statutory fees consist of a fee

amount pursuant to title 35, United

States Code; annual adjustments to

reflect fluctuations in the CPI; and a

surcharge, established by the Omnibus

Budget Reconciliation Act of 1990, as

amended. The intent of the surcharge

was to finance the cost of operating the

PTO from user fees, rather than from

taxes paid to the general fund of the

United States Treasury. In fiscal year

1998, the surcharge will raise

$119,000,000. The surcharge will expire

at the end of fiscal year 1998. To replace

the surcharge and to ensure continued

user-fee funding of PTO’s operations,

legislation has been introduced in the

Congress, namely, H.R. 3989 and H.R.

3723. Should either legislation or an

alternative be enacted, the PTO will

publish a document in the Federal

Register to ensure that this final rule

and the fees established herein will not

take effect.

This final rule assumes that no

legislative change to patent fees will

take place before October 1, 1998. This

final rule adjusts patent fees to reflect

the expiration of the surcharge

established by the Omnibus Budget

Reconciliation Act of 1990, as amended,

and to reflect fluctuations in the CPI

over the previous twelve months.

EFFECTIVE DATE: October 1, 1998.

FOR FURTHER INFORMATION CONTACT:

Matthew Lee by telephone at (703) 305–

8051, fax at (703) 305–8007, or by mail

marked to his attention and addressed

to the Commissioner of Patents and

Trademarks, Office of Finance, Crystal

Park 1, Suite 802, Washington, D.C.

20231.

SUPPLEMENTARY INFORMATION: This final

rule adjusts PTO fees in accordance

with the applicable provisions of title

35, United States Code, and the Patent

and Trademark Office Authorization Act

of 1991 (Public Law 102–204).

Legislation has been introduced in the

Congress, namely H.R. 3989 and H.R.

3723, to replace the surcharge and to

ensure continued user-fee funding of

PTO’s operations. H.R. 3989 would reestablish patent statutory fees at the

fiscal year 1998 fee levels. For patent

customers, H.R. 3989 would not change

fee levels; it would simply include the

current surcharge and previous years’

annual inflation adjustments within the

statutory fees, in accordance with the

President’s budget. The President’s

budget further proposes to rescind

$66,342,000 of PTO’s fiscal year 1998

budget authority, and an additional

$50,000,000 in fees collected in fiscal

year 1999, for a total rescission of

$116,342,000.

H.R. 3723 would re-establish patent

statutory fees below the levels proposed

in H.R. 3989. The total amount collected

under H.R. 3723 is expected to be

$50,000,000 less than would be

collected under H.R. 3989. H.R. 3723

does not assume rescission of PTO

budget authority from fees collected in

fiscal year 1999. (A comparison of fee

amounts for fiscal year 1998, this final

rule for fiscal year 1999, H.R. 3723, and

H.R. 3989 is included as an Appendix

to this final rule.)

In the absence of the enactment of

these bills, or any other positive action

by the Congress before October 1, 1998,

certain patent fees will revert to their

statutory levels, as adjusted for previous

years’ annual fluctuations in the CPI.

Should this occur, and PTO not increase

fees by CPI for fiscal year 1999, PTO fee

collections in fiscal year 1999 would be

$182,000,000 less than would be

collected under H.R. 3989 and the

President’s budget proposal, and

$132,000,000 less than would be

collected under H.R. 3723.

This final rule assumes that these

bills—and any other statutory change to

patent fees—will not be enacted before

October 1, 1998. This final rule adjusts

patent fees to reflect the expiration of

the surcharge established by the

Omnibus Budget Reconciliation Act of

1990, as amended, and to reflect

fluctuations in the CPI over the previous

twelve months. Fees collected under

this final rule in fiscal year 1999 would

be $171,000,000 less than would be

collected under H.R. 3989 and the

President’s budget proposal, and

$121,000,000 less than would be

collected under H.R. 3723.

Patent customers should be aware that

legislative changes to patent fees

superseding this final rule may occur. If

such changes occur the PTO will

publish a document in the Federal

Register to ensure that this final rule

and the fees established herein will not

take effect. Patent customers may wish

to refer to the official PTO website

(www.uspto.gov) for the most current

fee amounts. Official notices of any fee

changes will appear in the Federal

Register and the Official Gazette of the

Patent and Trademark Office.

Background

Statutory Provisions

Patent fees are authorized by 35

U.S.C. 41 and 35 U.S.C. 376. A fifty

percent reduction in the fees paid under

35 U.S.C. 41(a) and (b) by independent

inventors, small business concerns, and

nonprofit organizations who meet

prescribed definitions is required by 35

U.S.C. 41(h).

Subsection 41(f) of title 35, United

States Code, provides that fees

established under 35 U.S.C. 41(a) and

(b) may be adjusted on October 1, 1992,

and every year thereafter, to reflect

fluctuations in the Consumer Price

Index (CPI) over the previous twelve

months.

Subsection 41(d) of title 35, United

States Code, authorizes the

Commissioner 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
39732 Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations

white copy of a patent, and for library

services.

Section 376 of title 35, United States

Code, authorizes the Commissioner to

set fees for patent applications filed

under the Patent Cooperation Treaty

(PCT).

Subsection 41(g) of title 35, United

States Code, provides that new fee

amounts established by the

Commissioner under section 41 may

take effect thirty days after notice in the

Federal Register and the Official

Gazette of the Patent and Trademark

Office.

Fee Adjustment Level

The patent fees established by 35

U.S.C. 41 (a) and (b) will be adjusted on

October 1, 1998, to reflect fluctuations

occurring during the previous twelve

months in the Consumer Price Index for

all urban consumers (CPI–U), and CPI–

U adjustments, where applicable, from

fiscal years 1992 through 1997. In

calculating these fluctuations, the Office

of Managements and Budget (OMB) has

determined that the PTO should use

CPI–U data as determined by the

Secretary of Labor. However, the

Department of Labor does not make

public the CPI–U until approximately

twenty-one days after the end of the

month being calculated. Therefore, the

latest CPI–U information available is for

the month of May 1998. In accordance

with previous rulemaking methodology,

the PTO will use the Administration’s

projected CPI–U for the twelve-month

period ending September 30, 1998,

which is 2.2 percent. Based on this

projection, patent statutory fees will be

adjusted by 2.2 percent.

Four patent service fees that are set by

statute will not be adjusted. The four

fees that are not being adjusted are the

assignment recording fee, printed patent

copy fee, photocopy charge fee, and

library service fee.

The final fee amounts were rounded

by applying standard arithmetic rules so

that the amounts rounded would be

convenient to the user. Fees were

rounded to an even number so that any

comparable small entity fee would be a

whole number.

General Procedures

Any fee amount paid on or after the

effective date of the final fee adjustment

will be subject to the new fees then in

effect. For purposes of determining the

amount of the fee to be paid, the date

of mailing indicated on a proper

Certificate of Mailing or Transmission,

where authorized under 37 CFR 1.8,

will be considered to be the date of

receipt in the PTO. A Certificate of

Mailing or Transmission under 37 CFR

1.8(a)(1) is not proper for items that are

specifically excluded under 37 CFR

1.8(a)(2). 37 CFR 1.8(a)(2) should be

consulted to determine those items for

which a Certificate of Mailing or

Transmission is not proper. Such items

include, among other things, the filing

of national and international

applications for patents and the filing of

trademark applications. In addition, the

provisions of 37 CFR 1.10 relating to

filing papers and fees using the

‘‘Express Mail’’ service of the United

States Postal Service (USPS) do apply to

any paper or fee (including patent and

trademark applications) to be filed in

the PTO. If an application or fee is filed

by ‘‘Express Mail’’ with a date of deposit

with the USPS (shown by the ‘‘date in’’

on the ‘‘Express Mail’’ mailing label)

which is based on or after the effective

date of the rules, as amended, the

amount of the fee to be paid would be

the fee established by the amended

rules.

Discussion of Specific Rules

37 CFR 1.16 National Application

Filing Fees

Section 1.16, paragraphs (a) through

(d), and (f) through (j), is revised to

adjust fees established therein to reflect

the expiration of the patent fee

surcharge established by the Omnibus

Budget Reconciliation Act of 1990, as

amended, and fluctuations in the CPI.

37 CFR 1.17 Patent Application

Processing Fees

Section 1.17, paragraphs (a) through

(d), (l), (m), (r), and (s), is revised to

adjust fees established therein to reflect

the expiration of the patent fee

surcharge established by the Omnibus

Budget Reconciliation Act of 1990, as

amended, and fluctuations in the CPI.

37 CFR 1.18 Patent Issue Fees

Section 1.18, paragraphs (a) through

(c), is revised to adjust fees established

therein to reflect the expiration of the

patent fee surcharge established by the

Omnibus Budget Reconciliation Act of

1990, as amended, and fluctuations in

the CPI.

37 CFR 1.20 Post-issuance Fees

Section 1.20, paragraphs (d) through

(g), is revised to adjust fees established

therein to reflect the expiration of the

patent fee surcharge established by the

Omnibus Budget Reconciliation Act of

1990, as amended, and fluctuations in

the CPI.

37 CFR 1.21 Miscellaneous Fees and

Charges

Section 1.21, paragraph (a)(6)(ii), is

revised to adjust fees established therein

to recover costs.

37 CFR 1.492 National Stage Fees

Section 1.492, paragraphs (a) through

(d), is revised to adjust fees established

therein to reflect the expiration of the

patent fee surcharge established by the

Omnibus Budget Reconciliation Act of

1990, as amended, and fluctuations in

the CPI.

Other Considerations

This final rule contain no information

collection within the meaning of the

Paperwork Reduction Act of 1995, 44

U.S.C. 3501 et seq. This final rule has

been determined to be not significant for

purposes of Executive Order 12866.

Prior notice and opportunity for

public comment for patent fee changes

is not required by the patent statutes or

the Administrative Procedure Act.

While the patent statutes specifically

require that changes to patent fees shall

not take effect ‘‘until at least 30 days

after notice of the fee has been

published in the Federal Register and in

the Official Gazette of the Patent and

Trademark Office,’’ 35 U.S.C. 41(g), they

do not require any additional

publication of proposed fee changes. In

addition, changes in patent fees are

exempted from the notice of proposed

rulemaking requirements of the

Administrative Procedure Act under 5

U.S.C. 553(a)(2) as the establishment of

fee amounts is a matter related to agency

management.

As prior notice and an opportunity for

public comment are not required

pursuant to 5 U.S.C. 553, or any other

law, the analytical requirements of the

Regulatory Flexibility Act, 5 U.S.C. 601

et seq., are inapplicable.

A comparison of fee amounts for

fiscal year 1998, this final rule for fiscal

year 1999, H.R. 3723, and H.R. 3989 are

included as an Appendix to this final

rule.

List of Subjects in 37 CFR Part 1

Administrative practice and

procedure, Inventions and patents,

Reporting and recordkeeping

requirements, Small businesses.

PART 1—RULES OF PRACTICE IN

PATENT CASES

1. The authority citation for 37 CFR

part 1 continues to read as follows:

Authority: 35 U.S.C. 6, unless otherwise

noted.
Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations 39733

2. Section 1.16 is amended by revising

paragraphs (a) through (d), and (f)

through (j) to read as follows:

§ 1.16 National application filing fees.

(a) Basic fee for filing each application for an original patent, except provisional, design or plant applications:

By a small entity (§ 1.9(f) .... $305.00

By other than a small entity $610.00

(b) In addition to the basic filing fee in an original application, except provisional

applications, for filing or

later presentation of each

independent claim in excess

of 3:

By a small entity (§ 1.9(f)) ... $32.00

By other than a small entity $64.00

(c) In addition to the basic filing fee in an original application, except provisional

applications, for filing or

later presentation of each

claim in excess of 20:

By a small entity (§ 1.9(f)) ... $7.00

By other than a small entity $14.00

(d) In addition to the basic filing fee in an original application, except provisional

applications, if the application contains, or is amended

to contain, a multiple dependent claim(s), per application:

By a small entity (§ 1.9(f)) ... $105.00

By other than a small entity $210.00

* * * * *

(f) Basic fee for filing each design application:

By a small entity (§ 1.9(f)) ... $130.00

By other than a small entity $260.00

(g) Basic fee for filing each

plant application, except

provisional applications:

By a small entity (§ 1.9(f)) ... $195.00

By other than a small entity $390.00

(h) Basic fee for filing each reissue application:

By a small entity (§ 1.9(f)) ... $305.00

By other than a small entity $610.00

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

of the number of independent claims in the original

patent:

By a small entity (§ 1.9(f)) ... $32.00

By other than a small entity $64.00

(j) In addition to the basic filing fee in a reissue application, for filing or later presentation of each claim in excess of 20 and also in excess

of the number of claims in

the original patent:

By a small entity (§ 1.9(f)) ... $7.00

By other than a small entity $14.00

* * * * *

3. Section 1.17 is amended by revising

paragraphs (a) (1) through (5), (b)

through (d), (1), (m), (r), and (s) to read

as follows:

§ 1.17 Patent application processing fees.

(a) * * *

(1) For reply within first

month:

By a small entity (§ 1.9(f)) $45.00

By other than a small entity .................................. 90.00

(2) For reply within second

month:

By a small entity (§ 1.9(f)) $155.00

By other than a small entity .................................. $310.00

(3) For reply within third

month:

By a small entity (§ 1.9(f)) $355.00

By other than a small entity .................................. $710.00

(4) For reply within fourth

month:

By a small entity (§ 1.9(f)) $550.00

By other than a small entity .................................. $1,100.00

(5) For reply within fifth

month:

By a small entity (§ 1.9(f)) $750.00

By other than a small entity .................................. $1,500.00

(b) For filing a notice of appeal from the examiner to

the Board of Patent Appeals

and Interferences:

By a small entity (§ 1.9(f)) $125.00

By other than a small entity .................................. $250.00

(c) In addition to the fee for

filing a notice of appeal, for

filing a brief in support of

an appeal:

By a small entity (§ 1.9(f)) $125.00

By other than a small entity .................................. $250.00

(d) For filing a request for an

oral hearing before the

Board of Patent Appeals and

Interferences in an appeal

under 35 U.S.C. 134:

By a small entity (§ 1.9(f)) $105.00

By other than a small entity .................................. $210.00

* * * * *

(l) For filing a petition:

(1) For the revival of an unavoidably abandoned application under 35 U.S.C.

111, 133, 364, or 371, or

(2) For delayed payment of

the issue fee under 35

U.S.C. 151:

By a small entity (§ 1.9(f)) $45.00

By other than a small entity .................................. $90.00

(m) For filing a petition:

(1) For revival of an unintentionally abandoned application, or

(2) For the unintentionally

delayed payment of the

fee for issuing a patent:

By a small entity (§ 1.9(f)) $490.00

By other than a small entity .................................. $980.00

* * * * *

(r) For entry of a submission

after final rejection under

$1.129(a):

By a small entity (§ 1.9(f)) $305.00

By other than a small entity .................................. $610.00

(s) For each additional invention requested to be examined under § 1.129(b):

By a small entity (§ 1.9(f)) $305.00

By other than a small entity .................................. $610.00

4. Section 1.18 is revised to read as

follows:

§ 1.18 Patent issue fees.

(a) Issue fee for issuing each

original or reissue patent,

except a design or plant patent:

By a small entity (§ 1.9(f)) ... $490.00

By other than a small entity $980.00

(b) Issue fee for issuing a design patent:

By a small entity (§ 1.9(f)) ... $175.00

By other than a small entity $350.00

(c) Issue fee for issuing a plant

patent:

By a small entity (§ 1.9(f)) ... $235.00

By other than a small entity $470.00

5. Section 1.20 is amended by revising

paragraphs (d) through (g) to read as

follows:

§ 1.20 Post issuance fees.

* * * * *

(d) For filing each statutory

disclaimer (§ 1.321):

By a small entity (§ 1.9(f)) ... $45.00

By other than a small entity $90.00

(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 is due by

three years and six months

after the original grant:

By a small entity (§ 1.9(f)) ... $385.00

By other than a small entity $770.00

(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 is due by

seven years and six months

after the original grants:

By a small entity (§ 1.9(f)) ... $770.00

By other than a small entity $1,540.00
39734 Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations

(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 is due

by eleven years and six

months after the original

grant:

By a small entity (§ 1.9(f)) ... $1,180.00

By other than a small entity $2,360.00

* * * * *

6. Section 1.21 is amended by revising

paragraph (a)(6)(ii) to read as follows:

§ 1.21 Miscellaneous fees and charges.

* * * * *

(a) * * *

(6) * * *

(ii) Regrading of afternoon

section (Claim Drafting) $230.00

* * * * *

7. Section 1.492 is amended by

revising paragraphs (a) through (d) to

read as follows:

§ 1.492 National stage fees.

* * * * *

(a) The basic national fee:

(1) Where an international

preliminary examination

fee as set forth in § 1.482

has been paid on the

international application

to the United States Patent and Trademark Office:

By a small entity (§ 1.9(f)) $270.00

By other than a small entity .................................. $540.00

(2) Where no international

preliminary examination

fee as set forth in § 1.482

has been paid to the

United States Patent and

Trademark Office, but an

international search fee as

set forth in § 1.445(a)(2)

has been paid on the

international application

to the United States Patent and Trademark Office

as an International

Searching Authority:

By a small entity (§ 1.9(f)) $305.00

By other than a small entity .................................. $610.00

(3) Where no international

preliminary examination

fee as set forth in § 1.482

has been paid and no

international search fee as

set forth in § 1.445(a)(2)

has been paid on the

international application

to the United States Patent and Trademark Office.

By a small entity (§ 1.9(f)) $395.00

By other than a small entity .................................. $790.00

(4) Where an international

preliminary examination

fee as set forth in § 1.482

has been paid to the

United States Patent and

Trademark Office and the

international preliminary

examination report states

that the criteria of novelty, inventive step (nonobviousness), and industrial applicability, as defined in PCT Article 33

(1) to (4) have been satisfied for all the claims presented in the application

entering the national stage

(see § 1.496(b)):

By a small entity (§ 1.9(f)) $39.00

By other than a small entity .................................. $78.00

(5) Where a search report on

the international application has been prepared by

the European Patent Office or the Japanese Patent

Office:

By a small entity (§ 1.9(f)) $395.00

By other than a small entity .................................. $790.00

(b) In addition to the basic national fee, for filing or later

presentation of each independent claim in excess of

3:

By a small entity (§ 1.9(f)) $32.00

By other than a small entity .................................. $64.00

(c) In addition to the basic national fee, for filing or later

presentation of each claim

(whether independent or dependent) in excess of 20.

(Note that § 1.75(c) indicates

how multiple dependent

claims are considered for

fee calculation purposes.):

By a small entity (§ 1.9(f)) $7.00

By other than a small entity .................................. $14.00

(d) In addition to the basic national fee, if the application

contains, or is amended to

contain, a multiple dependent claim(s), per application:

By a small entity (§ 1.9(f)) $105.00

By other than a small entity .................................. $210.00

* * * * *

July 17, 1998.

Bruce A. Lehman,

Assistant Secretary of Commerce and

Commissioner of Patents and Trademarks.

Note—The following Appendix is provided

as a courtesy to the public, and is not a

substitute for the rules. It will not appear in

the Code of Federal Regulations.

APPENDIX A.—COMPARISON OF EXISTING AND REVISED FEE AMOUNTS

37 CFR Description Pre-Oct

1998

Final rule

Oct 1998 H.R. 3723 H.R. 3989

1.16(a) Basic Filing Fee ...................................................................................... $790 $610 $760 —

1.16(a) Basic Filing Fee (Small Entity) ............................................................... 395 305 380 —

1.16(b) Indepdent Claims ................................................................................... 82 64 78 —

1.16(b) Indepdent Claims (Small Entity) ............................................................. 41 32 39 —

1.16(c) Claims in Excess of 20 .......................................................................... 22 14 18 —

1.16(c) Claims in Excess of 20 (Small Entity) .................................................... 11 7 9

1.16(d) Multiple Dependent Claims .................................................................... 270 210 260 —

1.16(d) Multiple Dependent Claims (Small Entity) ............................................. 135 105 130 —

1.16(e) Surcharge—Late Filing Fee ................................................................... 130 — — —

1.16(e) Surcharge—Late Filing Fee (Small Entity) ............................................ 65 — — —

1.16(f) Design Filing Fee ................................................................................... 330 260 310 —

1.16(f) Design Filing Fee (Small Entity) ............................................................ 165 130 155 —

1.16(g) Plant Filing Fee ...................................................................................... 540 390 480 —

1.16(g) Plant Filing Fee (Small Entity) ............................................................... 270 195 240 —

1.16(h) Reissue Filing Fee ................................................................................. 790 610 760 —

1.16(h) Reissue Filing Fee (Small Entity) ........................................................... 395 305 380 —

1.16(i) Reissue Independent Claims ................................................................. 82 64 78 —

1.16(i) Reissue Independent Claims (Small Entity) .......................................... 41 32 39 —

1.16(j) Reissue Claims in Excess of 20 ............................................................ 22 14 18 —
Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations 39735

APPENDIX A.—COMPARISON OF EXISTING AND REVISED FEE AMOUNTS—Continued

37 CFR Description Pre-Oct

1998

Final rule

Oct 1998 H.R. 3723 H.R. 3989

1.16(j) Reissue Claims in Excess of 20 (Small Entity) ..................................... 11 7 9 —

1.16(k) Provisional Application Filing Fee .......................................................... 150 — — —

1.16(k) Provisional Application Filing Fee (Small Entity) ................................... 75 — — —

1.16(l) Surcharge—Incomplete Provisional App. Filed ..................................... 50 — — —

1.16(l) Surcharge—Incomplete Provisional App. Filed (Small Entity) ............... 25 — — —

1.17(a)(1) Extension—First Month .......................................................................... 110 90 — —

1.17(a)(1) Extension—First Month (Small Entity) ................................................... 55 45 — —

1.17(a)(2) Extension—Second Month ..................................................................... 400 310 380 —

1.17(a)(2) Extension—First Month (Small Entity) ................................................... 200 155 190 —

1.17(a)(3) Extension—Third Month ......................................................................... 950 710 870 —

1.17(a)(3) Extension—Third Month (Small Entity) .................................................. 475 355 435 —

1.17(a)(4) Extension—Fourth Month ....................................................................... 1,510 1,100 1,360 —

1.17(a)(4) Extension—Fourth Month (Small Entity) ................................................ 755 550 680 —

1.17(a)(5) Extension—Fifth Month .......................................................................... 2,060 1,500 1,850 —

1.17(a)(5) Extension—Fifth Month (Small Entity) ................................................... 1,030 750 925 —

1.17(b) Notice of Appeal ..................................................................................... 310 250 300 —

1.17(b) Notice of Appeal (Small Entity) .............................................................. 155 125 150 —

1.17(c) Filing a Brief ........................................................................................... 310 250 300 —

1.17(c) Filing a Brief (Small Entity) .................................................................... 155 125 150 —

1.17(d) Request for Oral Hearing ....................................................................... 270 210 260 —

1.17(d) Request for Oral Hearing (Small Entity) ................................................ 135 105 130 —

1.17(h) Petition—Not All Inventors ..................................................................... 130 — — —

1.17(h) Petition—Correction of Inventorship ...................................................... 130 — — —

1.17(h) Petition—Decision on Questions ............................................................ 130 — — —

1.17(h) Petition—Suspend Rules ....................................................................... 130 — — —

1.17(h) Petition—Expedited License .................................................................. 130 — — —

1.17(h) Petition—Scope of License .................................................................... 130 — — —

1.17(h) Petition—Retroactive License ................................................................ 130 — — —

1.17(h) Petition—Refusing Maintenance Fee ..................................................... 130 — — —

1.17(h) Petition—Refusing Maintenance Fee—Expired Patent ......................... 130 — — —

1.17(h) Petition—Interference ............................................................................. 130 — — —

1.17(h) Petition—Reconsider Interference ......................................................... 130 — — —

1.17(h) Petition—Late Filing of Interference ....................................................... 130 — — —

1.20(b) Petition—Correction of Inventorship ...................................................... 130 — — —

1.17(h) Petition—Refusal to Publish SIR ........................................................... 130 — — —

1.17(j) Petition—For Assignment ....................................................................... 130 — — —

1.17(i) Petition—For Application ........................................................................ 130 — — —

1.17(i) Petition—Late Priority Papers ................................................................ 130 — — —

1.17(i) Petition—Suspend Action ....................................................................... 130 — — —

1.17(i) Petition—Divisional Reissues to Issue Separately ................................ 130 — — —

1.17(i) Petition—For Interference Agreement ................................................... 130 — — —

1.17(i) Petition—Amendment After Issue .......................................................... 130 — — —

1.17(i) Petition—Withdrawal After Issue ............................................................ 130 — — —

1.17(i) Petition—Defer Issue ............................................................................. 130 — — —

1.17(i) Petition—Issue to Assignee ................................................................... 130 — — —

1.17(i) Petition—Accord a Filing Date Under § 1.53 ......................................... 130 — — —

1.17(i) Petition—Accord a Filing Date Under § 1.62 ......................................... 130 — — —

1.17(i) Petition—Make Application Special ....................................................... 130 — — —

1.17(j) Petition—Public Use Proceeding ........................................................... 1,510 — — —

1.17(k) Non-English Specification ...................................................................... 130 — — —

1.17(l) Petition—Revive Abandoned Application ............................................... 110 90 — —

1.17(l) Petition—Revive Abandoned Application (Small Entity) ........................ 55 45 — —

1.17(m) Petition—Revive Unintentionally Abandoned Application ...................... 1,320 980 1,210 —

1.17(m) Petition—Revive Unintent Abandoned Application (Small Entity) ......... 660 490 605 —

1.17(n) SIR—Prior to Examiner’s Action ............................................................ 920 — — —

1.17(o) SIR—After Examiner’s Action ................................................................ 1,840 — — —

1.17(p) Submission of an Information Disclosure Statement (§ 1.97) ................ 240 — — —

1.17(q) Petition—Correction of Inventorship (Prov. App.) .................................. 50 — — —

1.17(q) Petition—Accord a filing date (Prov. App.) ............................................ 50 — — —

1.17(q) Petition—Entry of submission after final rejection (Prov. App.) ............. 50 — — —

1.17(r) Filing a submission after final rejection (1.129(a)) ................................. 790 610 760 —

1.17(r) Filing a submission after final rejection (1.129(a)) (Small Entity) .......... 395 305 380 —

1.17(s) Per add’l invention to be examined (1.129(b)) ...................................... 790 610 760 —

1.17(s) Per add’l invention to be examined (1.129(b)) (Small Entity) ................ 395 305 380 —

1.18(a) Issue Fee ................................................................................................ 1,320 980 1,210 —

1.18(a) Issue Fee (Small Entity) ......................................................................... 660 490 605 —

1.18(b) Design Issue Fee ................................................................................... 450 350 430 —

1.18(b) Design Issue Fee (Small Entity) ............................................................ 225 175 215 —

1.18(c) Plant Issue Fee ...................................................................................... 670 470 580 —

1.18(c) Plant Issue Fee (Small Entity) ............................................................... 335 235 290 —

1.19(a)(1)(i) Copy of Patent ....................................................................................... 3 — — —
39736 Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations

APPENDIX A.—COMPARISON OF EXISTING AND REVISED FEE AMOUNTS—Continued

37 CFR Description Pre-Oct

1998

Final rule

Oct 1998 H.R. 3723 H.R. 3989

1.19(a)(1)(ii) Patent Copy—Overnight delivery to PTO Box or overnight tax ............ 6 — — —

1.19(a)(1)(iii) Patent Copy Ordered by Expedited Mail or Fax—Exp. service ............ 25 — — —

1.19(a)(2) Plant Patent Copy .................................................................................. 15 — — —

1.19(a)(3)(i) Copy of Utility Patent or SIR in Color .................................................... 25 — — —

1.19(b)(1)(i) Certified Copy of Patent Application as Filed ........................................ 15 — — —

1.19(b)(1)(ii) Certified Copy of Patent Application as Filed, Expedited ...................... 30 — — —

1.19(b)(2) Cert. or Uncert. Copy of Patent-Related File Wrapper/Contents .......... 150 — — —

1.19(b)(3) Cert. or Uncert. Copies of Office Records, per Document .................... 25 — — —

1.19(b)(4) For Assignment Records, Abstract of Title and Certification ................. 25 — — —

1.19(c) Library Service ....................................................................................... 50 — — —

1.19(d) List of Patents in Subclass ..................................................................... 3 — — —

1.19(e) Uncertified Statement-Status of Maintenance Fee Payment ................. 10 — — —

1.19(f) Copy of Non-U.S. Patent Document ...................................................... 25 — — —

1.19(g) Comparing and Certifying Copies, Per Document, Per Copy ............... 25 — — —

1.19(h) Duplicate or Corrected Filing Receipt .................................................... 25 — — —

1.20(a) Certificate of Correction ......................................................................... 100 — — —

1.20(c) Reexamination ........................................................................................ $2,520 — — —

1.20(d) Statutory Disclaimer ............................................................................... 110 90 — —

1.20(d) Statutory Disclaimer (Small Entity) ........................................................ 55 45 — —

1.20(e) Maintenance Fee–3.5 Years .................................................................. 1,050 770 940 —

1.20(e) Maintenance Fee—3.5 Years (Small Entity) .......................................... 525 385 470 —

1.20(f) Maintenance Fee—7.5 Years ................................................................ 2,100 1,540 1,900 —

1.20(f) Maintenance Fee—7.5 Years (Small Entity) .......................................... 1,050 770 950 —

1.20(g) Maintenance Fee—11.5 Years .............................................................. 3,160 2,360 2,910 —

1.20(g) Maintenance Fee—11.5 Years (Small Entity) ........................................ 1,580 1,180 1,455 —

1.20(h) Surcharge—Maintenance Fee—6 Months ............................................. 130 — — —

1.20(h) Surcharge—Maintenance Fee—6 Months (Small Entity) ...................... 65 — — —

1.20(i)(1) Surcharge—Maintenance After Expiration—Unavoidable ..................... 700 — — —

1.20(i)(2) Surcharge—Maintenance After Expiration—Unintentional .................... 1,640 — — —

1.20(j)(1) Extension of Term of Patent Under 1.740 ............................................. 1,120 — — —

1.20(j)(2) Initial Application for Interim Extension Under 1.790 ............................. 420 — — —

1.20(j)(3) Subsequent Application for Interim Extension Under 1.790 .................. 210 — — —

1.21(a)(1)(i) Application Fee (non-refundable) ........................................................... 40 — — —

1.21(a)(1)(ii) Registration examination fee .................................................................. 310 — — —

1.21(a)(2) Registration to Practice .......................................................................... 100 — — —

1.21(a)(3) Reinstatement to Practice ...................................................................... 40 — — —

1.21(a)(4) Certificate of Good Standing .................................................................. 10 — — —

1.21(a)(4) Certificate of Good Standing, Suitable Framing .................................... 20 — — —

1.21(a)(5) Review of Decision of Director, OED ..................................................... 130 — — —

1.21(a)(6)(i) Regrading of A.M. section (PTO Practice and Procedure) ................... 230 — — —

1.21(a)(6)(ii) Regrading of P.M. section (Claim Drafting) ........................................... 230 — — —

1.21(b)(1) Establish Deposit Account ..................................................................... 10 — — —

1.21(b)(2) Service Charge Below Minimum Balance .............................................. 25 — — —

1.21(b)(3) Service Charge Below Minimum Balance .............................................. 25 — — —

1.21(c) Filing a Disclosure Document ................................................................ 10 — — —

1.21(d) Box Rental .............................................................................................. 50 — — —

1.21(e) International Type Search Report .......................................................... 40 — — —

1.21(g) Self-Service Copy Charge ...................................................................... .25 — — —

1.21(h) Recording Patent Property ..................................................................... 40 — — —

1.21(i) Publication in the Official Gazette .......................................................... 25 — — —

1.21(j) Labor Charges for Services ................................................................... 40 — — —

1.21(k) Unspecified Other Services .................................................................... 1 — — —

1.21(k) Terminal Use APS–CSIR (per hour) ...................................................... 50 — — —

1.21(l) Retaining abandoned application ........................................................... 130 — — —

1.21(m) Processing Returned Checks ................................................................. 50 — — —

1.21(n) Handling Fee—Incomplete Application .................................................. 130 — — —

1.21(o) Terminal Use APS–TEXT ...................................................................... 40 — — —

1.24 Coupons for Patent and Trademark Copies .......................................... 3 — — —

1.296 Handling Fee—Withdrawal SIR ............................................................. 130 — — —

1.445(a)(1) Transmittal Fee ...................................................................................... 240 — — —

1.445(a)(2)(i) PCT Search Fee—Prior U.S. Application .............................................. 450 — — —

1.445(a)(2)(ii) PCT Search Fee—No U.S. Application ................................................. 700 — — —

1.445(a)(3) Supplemental Search ............................................................................. 210 — — —

1.482(a)(1)(i) Preliminary Exam Fee ............................................................................ 490 — — —

1.482(a)(1)(ii) Preliminary Exam Fee ............................................................................ 750 — — —

1.482(a)(2)(i) Additional invention ................................................................................ 140 — — —

1.482(a)(2)(ii) Additional invention ................................................................................ 270 — — —

1.492(a)(1) Preliminary Examining Authority ............................................................ 720 540 670 —

1.492(a)(1) Preliminary Examining Authority (Small Entity) ..................................... 360 270 335 —

1.492(a)(2) Searching Authority ................................................................................ 790 610 760 —

1.492(a)(2) Searching Authority (Small Entity) ......................................................... 395 305 380 —
Federal Register / Vol. 63, No. 142 / Friday, July 24, 1998 /Rules and Regulations 39737

APPENDIX A.—COMPARISON OF EXISTING AND REVISED FEE AMOUNTS—Continued

37 CFR Description Pre-Oct

1998

Final rule

Oct 1998 H.R. 3723 H.R. 3989

1.492(a)(3) PTO Not ISA nor IPEA ........................................................................... 1,070 790 970 —

1.492(a)(3) PTO Not ISA nor IPEA (Small Entity) .................................................... 535 395 485 —

1.492(a)(4) Claims—IPEA ......................................................................................... 98 78 96 —

1.492(a)(4) Claims—IPEA (Small Entity) .................................................................. 49 39 48 —

1.492(a)(5) Filing with EPO/JPO Search Report ...................................................... 930 790 — —

1.492(a)(5) Filing with EPO/JPO Search Report (Small Entity) ............................... 465 395 — —

1.492(b) Claims—Extra Individual (Over 3) .......................................................... 82 64 78 —

1.492(b) Claims—Extra Individual (Over 3) (Small Entity) ................................... 41 32 39 —

1.492(c) Claims—Extra Total (Over 20) ............................................................... 22 14 18 —

1.492(c) Claims—Extra Total (Over 20) (Small Entity) ........................................ 11 7 9 —

1.492(d) Claims—Multiple Dependents ................................................................ 270 210 260 —

1.492(d) Claims—Multiple Dependents (Small Entity) ......................................... 135 105 130 —

1.492(e) Surcharge ............................................................................................... 130 — — —

1.492(e) Surcharge (Small Entity) ........................................................................ 65 — — —

1.492(f) English Translation—After 20 Months ................................................... 130 — — —

2.6(a)(1) Application for Registration, Per Class .................................................. 245 — — —

2.6(a)(2) Amendment to Allege Use, Per Class ................................................... 100 — — —

2.6(a)(3) Statement of Use, Per Class ................................................................. 100 — — —

2.6(a)(4) Extension for Filing Statement of Use, Per Class ................................. 100 — — —

2.6(a)(5) Application for Renewal, Per Class ....................................................... 300 — — —

2.6(a)(6) Surcharge for Late Renewal, Per Class ................................................ 100 — — —

2.6(a)(7) Publication of Mark Under § 12(c), Per Class ........................................ 100 — — —

2.6(a)(8) Issuing New Certificate of Registration .................................................. 100 — — —

2.6(a)(9) Certificate of Correction of Registrant’s Error ........................................ 100 — — —

2.6(a)(10) Filing Disclaimer to Registration ............................................................ 100 — — —

2.6(a)(11) Filing Amendment to Registration .......................................................... 100 — — —

2.6(a)(12) Filing Affidavit Under Section 8, Per Class ............................................ 100 — — —

2.6(a)(13) Filing Affidavit Under Section 15, Per Class .......................................... 100 — — —

2.6(a)(14) Filing Affidavit Under Sections 8 & 15, Per Class ................................. 200 — — —

2.6(a)(15) Petitions to the Commissioner ............................................................... 100 — — —

2.6(a)(16) Petition to Cancel, Per Class ................................................................. 200 — — —

2.6(a)(17) Notice of Opposition, Per Class ............................................................. 200 — — —

2.6(a)(18) Ex Parte Appeal to the TTAB, Per Class .............................................. 100 — — —

2.6(a)(19) Dividing an Application, Per New Application Created .......................... 100 — — —

2.6(b)(1)(i) Copy of Registered Mark ....................................................................... 3 — — —

2.6(b)(1)(ii) Copy of Registered Mark, overnight delivery to PTO box or fax ........... 6 — — —

2.6(b)(1)(iii) Copy of Reg. Mark Ordered Via Exp. Mail or Fax, Exp. Svc ................ 25 — — —

2.6(b)(2)(i) Certified Copy of TM Application as Filed ............................................. 15 — — —

2.6(b)(2)(ii) Certified Copy of TM Application as Filed, Expedited ........................... 30 — — —

2.6(b)(3) Cert. or Uncert. Copy of TM-Related File Wrapper/Contents ................ 50 — — —

2.6(b)(4)(i) Cert. Copy of Registered Mark, Title or Status ..................................... 15 — — —

2.6(b)(4)(ii) Cert. Copy of Registered Mark, Title or Status—Expedited .................. 30 — — —

2.6(b)(5) Certified or Uncertified Copy of TM Records ......................................... 25 — — —

2.6(b)(6) Recording Trademark Property, Per Mark, Per Document .................... 40 — — —

2.6(b)(6) For Second and subsequent Marks in Same Document ....................... 25 — — —

2.6(b)(7) For Assignment Records, Abstracts of Title and Cert ........................... 25 — — —

2.6(b)(8) Terminal Use X-SEARCH ...................................................................... 40 — — —

2.6(b)(9) Self-Service Copy Charge ...................................................................... 0.25 — — —

2.6(b)(10) Labor Charges for Services ................................................................... 40 — — —

2.6(b)(11) Unspecified Other Services .................................................................... ( 1 ) — — —

2.7(a) Recordal application fee ......................................................................... 20 — — —

2.7(b) Renewal application fee ......................................................................... 20 — — —

2.7(c) Late fee renewal application .................................................................. 20 — — —

—Indicates fees remain at pre-October 1998 amount.

1At cost.

[FR Doc. 98–19722 Filed 7–23–98; 8:45 am]

BILLING CODE 3510–16–M

LIBRARY OF CONGRESS

Copyright Office

37 CFR Parts 201 and 256

[Docket No. RM 98–4]

Cable Compulsory Licenses:

Application of the 3.75% Rate

AGENCY: Copyright Office, Library of

Congress.

ACTION: Final rule.

SUMMARY: The Copyright Office is

amending its rules in order to clarify

how a cable system shall calculate its

royalty fees when it carries a distant

signal which under the former Federal

Communications Commission’s

regulations would be considered a

permitted signal in some communities

and a non-permitted signal in others.

These amendments also make clear that

both the base rate fee and the 3.75% fee