[Federal Register Volume 63, Number 142 (Friday, July 24, 1998)]
[Rules and Regulations]
[Pages 39731-39737]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-19722]


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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.

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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 re-establish 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

[[Page 39732]]

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.


[[Page 39733]]


    2. Section 1.16 is amended by revising paragraphs (a) through (d), 
and (f) through (j) to read as follows:


Sec. 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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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:


Sec. 1.17  Patent application processing fees.

(a) * * *                                                               
  (1) For reply within first month:                                     
    By a small entity (Sec.  1.9(f)).......................       $45.00
    By other than a small entity...........................        90.00
  (2) For reply within second month:                                    
    By a small entity (Sec.  1.9(f)).......................      $155.00
    By other than a small entity...........................      $310.00
  (3) For reply within third month:                                     
    By a small entity (Sec.  1.9(f)).......................      $355.00
    By other than a small entity...........................      $710.00
  (4) For reply within fourth month:                                    
    By a small entity (Sec.  1.9(f)).......................      $550.00
    By other than a small entity...........................    $1,100.00
  (5) For reply within fifth month:                                     
    By a small entity (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  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 (Sec.  1.9(f)).......................      $305.00
    By other than a small entity...........................      $610.00
(s) For each additional invention requested to be examined              
 under Sec.  1.129(b):                                                  
    By a small entity (Sec.  1.9(f)).......................      $305.00
    By other than a small entity...........................      $610.00
                                                                        

    4. Section 1.18 is revised to read as follows:


Sec. 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 (Sec.  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 (Sec.  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 (Sec.  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:


Sec. 1.20  Post issuance fees.

                                                                        
                  *        *        *        *        *                 
(d) For filing each statutory disclaimer (Sec.  1.321):                 
  By a small entity (Sec.  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 (Sec.  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 (Sec.  1.9(f)).........................      $770.00
  By other than a small entity.............................    $1,540.00

[[Page 39734]]

                                                                        
(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 (Sec.  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:


Sec. 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:


Sec. 1.492  National stage fees.

                                                                        
            *         *         *         *         *                   
(a) The basic national fee:                                             
  (1) Where an international preliminary examination fee as             
   set forth in Sec.  1.482 has been paid on the                        
   international application to the United States Patent                
   and Trademark Office:                                                
    By a small entity (Sec.  1.9(f)).......................      $270.00
    By other than a small entity...........................      $540.00
  (2) Where no international preliminary examination fee as             
   set forth in Sec.  1.482 has been paid to the United                 
   States Patent and Trademark Office, but an international             
   search fee as set forth in Sec.  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 (Sec.  1.9(f)).......................      $305.00
    By other than a small entity...........................      $610.00
  (3) Where no international preliminary examination fee as             
   set forth in Sec.  1.482 has been paid and no                        
   international search fee as set forth in Sec.                        
   1.445(a)(2) has been paid on the international                       
   application to the United States Patent and Trademark                
   Office.                                                              
    By a small entity (Sec.  1.9(f)).......................      $395.00
    By other than a small entity...........................      $790.00
  (4) Where an international preliminary examination fee as             
   set forth in Sec.  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 (non-obviousness), 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 Sec.  1.496(b)):                                                
    By a small entity (Sec.  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 (Sec.  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 (Sec.  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 Sec.  1.75(c) indicates how multiple dependent             
   claims are considered for fee calculation purposes.):                
    By a small entity (Sec.  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 (Sec.  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                          
----------------------------------------------------------------------------------------------------------------
                                                                Pre-Oct     Final rule                          
           37 CFR                      Description                1998       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             11            7            9             
                              Entity).                                                                          
1.16(d)                      Multiple Dependent Claims......          270          210          260           --
1.16(d)                      Multiple Dependent Claims                135          105          130           --
                              (Small Entity).                                                                   
1.16(e)                      Surcharge--Late Filing Fee.....          130           --           --           --
1.16(e)                      Surcharge--Late Filing Fee                65           --           --           --
                              (Small Entity).                                                                   
1.16(f)                      Design Filing Fee..............          330          260          310           --
1.16(f)                      Design Filing Fee (Small                 165          130          155           --
                              Entity).                                                                          
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                395          305          380           --
                              Entity).                                                                          
1.16(i)                      Reissue Independent Claims.....           82           64           78           --
1.16(i)                      Reissue Independent Claims                41           32           39           --
                              (Small Entity).                                                                   
1.16(j)                      Reissue Claims in Excess of 20.           22           14           18           --

[[Page 39735]]

                                                                                                                
1.16(j)                      Reissue Claims in Excess of 20            11            7            9           --
                              (Small Entity).                                                                   
1.16(k)                      Provisional Application Filing           150           --           --           --
                              Fee.                                                                              
1.16(k)                      Provisional Application Filing            75           --           --           --
                              Fee (Small Entity).                                                               
1.16(l)                      Surcharge--Incomplete                     50           --           --           --
                              Provisional App. Filed.                                                           
1.16(l)                      Surcharge--Incomplete                     25           --           --           --
                              Provisional App. Filed (Small                                                     
                              Entity).                                                                          
1.17(a)(1)                   Extension--First Month.........          110           90           --           --
1.17(a)(1)                   Extension--First Month (Small             55           45           --           --
                              Entity).                                                                          
1.17(a)(2)                   Extension--Second Month........          400          310          380           --
1.17(a)(2)                   Extension--First Month (Small            200          155          190           --
                              Entity).                                                                          
1.17(a)(3)                   Extension--Third Month.........          950          710          870           --
1.17(a)(3)                   Extension--Third Month (Small            475          355          435           --
                              Entity).                                                                          
1.17(a)(4)                   Extension--Fourth Month........        1,510        1,100        1,360           --
1.17(a)(4)                   Extension--Fourth Month (Small           755          550          680           --
                              Entity).                                                                          
1.17(a)(5)                   Extension--Fifth Month.........        2,060        1,500        1,850           --
1.17(a)(5)                   Extension--Fifth Month (Small          1,030          750          925           --
                              Entity).                                                                          
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          135          105          130           --
                              Entity).                                                                          
1.17(h)                      Petition--Not All Inventors....          130           --           --           --
1.17(h)                      Petition--Correction of                  130           --           --           --
                              Inventorship.                                                                     
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           130           --           --           --
                              Fee.                                                                              
1.17(h)                      Petition--Refusing Maintenance           130           --           --           --
                              Fee--Expired Patent.                                                              
1.17(h)                      Petition--Interference.........          130           --           --           --
1.17(h)                      Petition--Reconsider                     130           --           --           --
                              Interference.                                                                     
1.17(h)                      Petition--Late Filing of                 130           --           --           --
                              Interference.                                                                     
1.20(b)                      Petition--Correction of                  130           --           --           --
                              Inventorship.                                                                     
1.17(h)                      Petition--Refusal to Publish             130           --           --           --
                              SIR.                                                                              
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            130           --           --           --
                              to Issue Separately.                                                              
1.17(i)                      Petition--For Interference               130           --           --           --
                              Agreement.                                                                        
1.17(i)                      Petition--Amendment After Issue          130           --           --           --
1.17(i)                      Petition--Withdrawal After               130           --           --           --
                              Issue.                                                                            
1.17(i)                      Petition--Defer Issue..........          130           --           --           --
1.17(i)                      Petition--Issue to Assignee....          130           --           --           --
1.17(i)                      Petition--Accord a Filing Date           130           --           --           --
                              Under Sec.  1.53.                                                                 
1.17(i)                      Petition--Accord a Filing Date           130           --           --           --
                              Under Sec.  1.62.                                                                 
1.17(i)                      Petition--Make Application               130           --           --           --
                              Special.                                                                          
1.17(j)                      Petition--Public Use Proceeding        1,510           --           --           --
1.17(k)                      Non-English Specification......          130           --           --           --
1.17(l)                      Petition--Revive Abandoned               110           90           --           --
                              Application.                                                                      
1.17(l)                      Petition--Revive Abandoned                55           45           --           --
                              Application (Small Entity).                                                       
1.17(m)                      Petition--Revive                       1,320          980        1,210           --
                              Unintentionally Abandoned                                                         
                              Application.                                                                      
1.17(m)                      Petition--Revive Unintent                660          490          605           --
                              Abandoned Application (Small                                                      
                              Entity).                                                                          
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             240           --           --           --
                              Disclosure Statement (Sec.                                                        
                              1.97).                                                                            
1.17(q)                      Petition--Correction of                   50           --           --           --
                              Inventorship (Prov. App.).                                                        
1.17(q)                      Petition--Accord a filing date            50           --           --           --
                              (Prov. App.).                                                                     
1.17(q)                      Petition--Entry of submission             50           --           --           --
                              after final rejection (Prov.                                                      
                              App.).                                                                            
1.17(r)                      Filing a submission after final          790          610          760           --
                              rejection (1.129(a)).                                                             
1.17(r)                      Filing a submission after final          395          305          380           --
                              rejection (1.129(a)) (Small                                                       
                              Entity).                                                                          
1.17(s)                      Per add'l invention to be                790          610          760           --
                              examined (1.129(b)).                                                              
1.17(s)                      Per add'l invention to be                395          305          380           --
                              examined (1.129(b)) (Small                                                        
                              Entity).                                                                          
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           --           --           --

[[Page 39736]]

                                                                                                                
1.19(a)(1)(ii)               Patent Copy--Overnight delivery            6           --           --           --
                              to PTO Box or overnight tax.                                                      
1.19(a)(1)(iii)              Patent Copy Ordered by                    25           --           --           --
                              Expedited Mail or Fax--Exp.                                                       
                              service.                                                                          
1.19(a)(2)                   Plant Patent Copy..............           15           --           --           --
1.19(a)(3)(i)                Copy of Utility Patent or SIR             25           --           --           --
                              in Color.                                                                         
1.19(b)(1)(i)                Certified Copy of Patent                  15           --           --           --
                              Application as Filed.                                                             
1.19(b)(1)(ii)               Certified Copy of Patent                  30           --           --           --
                              Application as Filed,                                                             
                              Expedited.                                                                        
1.19(b)(2)                   Cert. or Uncert. Copy of Patent-         150           --           --           --
                              Related File Wrapper/Contents.                                                    
1.19(b)(3)                   Cert. or Uncert. Copies of                25           --           --           --
                              Office Records, per Document.                                                     
1.19(b)(4)                   For Assignment Records,                   25           --           --           --
                              Abstract of Title and                                                             
                              Certification.                                                                    
1.19(c)                      Library Service................           50           --           --           --
1.19(d)                      List of Patents in Subclass....            3           --           --           --
1.19(e)                      Uncertified Statement-Status of           10           --           --           --
                              Maintenance Fee Payment.                                                          
1.19(f)                      Copy of Non-U.S. Patent                   25           --           --           --
                              Document.                                                                         
1.19(g)                      Comparing and Certifying                  25           --           --           --
                              Copies, Per Document, Per Copy.                                                   
1.19(h)                      Duplicate or Corrected Filing             25           --           --           --
                              Receipt.                                                                          
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               55           45           --           --
                              Entity).                                                                          
1.20(e)                      Maintenance Fee-3.5 Years......        1,050          770          940           --
1.20(e)                      Maintenance Fee--3.5 Years               525          385          470           --
                              (Small Entity).                                                                   
1.20(f)                      Maintenance Fee--7.5 Years.....        2,100        1,540        1,900           --
1.20(f)                      Maintenance Fee--7.5 Years             1,050          770          950           --
                              (Small Entity).                                                                   
1.20(g)                      Maintenance Fee--11.5 Years....        3,160        2,360        2,910           --
1.20(g)                      Maintenance Fee--11.5 Years            1,580        1,180        1,455           --
                              (Small Entity).                                                                   
1.20(h)                      Surcharge--Maintenance Fee--6            130           --           --           --
                              Months.                                                                           
1.20(h)                      Surcharge--Maintenance Fee--6             65           --           --           --
                              Months (Small Entity).                                                            
1.20(i)(1)                   Surcharge--Maintenance After             700           --           --           --
                              Expiration--Unavoidable.                                                          
1.20(i)(2)                   Surcharge--Maintenance After           1,640           --           --           --
                              Expiration--Unintentional.                                                        
1.20(j)(1)                   Extension of Term of Patent            1,120           --           --           --
                              Under 1.740.                                                                      
1.20(j)(2)                   Initial Application for Interim          420           --           --           --
                              Extension Under 1.790.                                                            
1.20(j)(3)                   Subsequent Application for               210           --           --           --
                              Interim Extension Under 1.790.                                                    
1.21(a)(1)(i)                Application Fee (non-                     40           --           --           --
                              refundable).                                                                      
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,             20           --           --           --
                              Suitable Framing.                                                                 
1.21(a)(5)                   Review of Decision of Director,          130           --           --           --
                              OED.                                                                              
1.21(a)(6)(i)                Regrading of A.M. section (PTO           230           --           --           --
                              Practice and Procedure).                                                          
1.21(a)(6)(ii)               Regrading of P.M. section                230           --           --           --
                              (Claim Drafting).                                                                 
1.21(b)(1)                   Establish Deposit Account......           10           --           --           --
1.21(b)(2)                   Service Charge Below Minimum              25           --           --           --
                              Balance.                                                                          
1.21(b)(3)                   Service Charge Below Minimum              25           --           --           --
                              Balance.                                                                          
1.21(c)                      Filing a Disclosure Document...           10           --           --           --
1.21(d)                      Box Rental.....................           50           --           --           --
1.21(e)                      International Type Search                 40           --           --           --
                              Report.                                                                           
1.21(g)                      Self-Service Copy Charge.......          .25           --           --           --
1.21(h)                      Recording Patent Property......           40           --           --           --
1.21(i)                      Publication in the Official               25           --           --           --
                              Gazette.                                                                          
1.21(j)                      Labor Charges for Services.....           40           --           --           --
1.21(k)                      Unspecified Other Services.....          \1\           --           --           --
1.21(k)                      Terminal Use APS-CSIR (per                50           --           --           --
                              hour).                                                                            
1.21(l)                      Retaining abandoned application          130           --           --           --
1.21(m)                      Processing Returned Checks.....           50           --           --           --
1.21(n)                      Handling Fee--Incomplete                 130           --           --           --
                              Application.                                                                      
1.21(o)                      Terminal Use APS-TEXT..........           40           --           --           --
1.24                         Coupons for Patent and                     3           --           --           --
                              Trademark Copies.                                                                 
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.               450           --           --           --
                              Application.                                                                      
1.445(a)(2)(ii)              PCT Search Fee--No U.S.                  700           --           --           --
                              Application.                                                                      
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          360          270          335           --
                              (Small Entity).                                                                   
1.492(a)(2)                  Searching Authority............          790          610          760           --
1.492(a)(2)                  Searching Authority (Small               395          305          380           --
                              Entity).                                                                          

[[Page 39737]]

                                                                                                                
1.492(a)(3)                  PTO Not ISA nor IPEA...........        1,070          790          970           --
1.492(a)(3)                  PTO Not ISA nor IPEA (Small              535          395          485           --
                              Entity).                                                                          
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               930          790           --           --
                              Report.                                                                           
1.492(a)(5)                  Filing with EPO/JPO Search               465          395           --           --
                              Report (Small Entity).                                                            
1.492(b)                     Claims--Extra Individual (Over            82           64           78           --
                              3).                                                                               
1.492(b)                     Claims--Extra Individual (Over            41           32           39           --
                              3) (Small Entity).                                                                
1.492(c)                     Claims--Extra Total (Over 20)..           22           14           18           --
1.492(c)                     Claims--Extra Total (Over 20)             11            7            9           --
                              (Small Entity).                                                                   
1.492(d)                     Claims--Multiple Dependents....          270          210          260           --
1.492(d)                     Claims--Multiple Dependents              135          105          130           --
                              (Small Entity).                                                                   
1.492(e)                     Surcharge......................          130           --           --           --
1.492(e)                     Surcharge (Small Entity).......           65           --           --           --
1.492(f)                     English Translation--After 20            130           --           --           --
                              Months.                                                                           
2.6(a)(1)                    Application for Registration,            245           --           --           --
                              Per Class.                                                                        
2.6(a)(2)                    Amendment to Allege Use, Per             100           --           --           --
                              Class.                                                                            
2.6(a)(3)                    Statement of Use, Per Class....          100           --           --           --
2.6(a)(4)                    Extension for Filing Statement           100           --           --           --
                              of Use, Per Class.                                                                
2.6(a)(5)                    Application for Renewal, Per             300           --           --           --
                              Class.                                                                            
2.6(a)(6)                    Surcharge for Late Renewal, Per          100           --           --           --
                              Class.                                                                            
2.6(a)(7)                    Publication of Mark Under Sec.           100           --           --           --
                              12(c), Per Class.                                                                 
2.6(a)(8)                    Issuing New Certificate of               100           --           --           --
                              Registration.                                                                     
2.6(a)(9)                    Certificate of Correction of             100           --           --           --
                              Registrant's Error.                                                               
2.6(a)(10)                   Filing Disclaimer to                     100           --           --           --
                              Registration.                                                                     
2.6(a)(11)                   Filing Amendment to                      100           --           --           --
                              Registration.                                                                     
2.6(a)(12)                   Filing Affidavit Under Section           100           --           --           --
                              8, Per Class.                                                                     
2.6(a)(13)                   Filing Affidavit Under Section           100           --           --           --
                              15, Per Class.                                                                    
2.6(a)(14)                   Filing Affidavit Under Sections          200           --           --           --
                              8 & 15, Per Class.                                                                
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,             100           --           --           --
                              Per Class.                                                                        
2.6(a)(19)                   Dividing an Application, Per             100           --           --           --
                              New Application Created.                                                          
2.6(b)(1)(i)                 Copy of Registered Mark........            3           --           --           --
2.6(b)(1)(ii)                Copy of Registered Mark,                   6           --           --           --
                              overnight delivery to PTO box                                                     
                              or fax.                                                                           
2.6(b)(1)(iii)               Copy of Reg. Mark Ordered Via             25           --           --           --
                              Exp. Mail or Fax, Exp. Svc.                                                       
2.6(b)(2)(i)                 Certified Copy of TM                      15           --           --           --
                              Application as Filed.                                                             
2.6(b)(2)(ii)                Certified Copy of TM                      30           --           --           --
                              Application as Filed,                                                             
                              Expedited.                                                                        
2.6(b)(3)                    Cert. or Uncert. Copy of TM-              50           --           --           --
                              Related File Wrapper/Contents.                                                    
2.6(b)(4)(i)                 Cert. Copy of Registered Mark,            15           --           --           --
                              Title or Status.                                                                  
2.6(b)(4)(ii)                Cert. Copy of Registered Mark,            30           --           --           --
                              Title or Status--Expedited.                                                       
2.6(b)(5)                    Certified or Uncertified Copy             25           --           --           --
                              of TM Records.                                                                    
2.6(b)(6)                    Recording Trademark Property,             40           --           --           --
                              Per Mark, Per Document.                                                           
2.6(b)(6)                    For Second and subsequent Marks           25           --           --           --
                              in Same Document.                                                                 
2.6(b)(7)                    For Assignment Records,                   25           --           --           --
                              Abstracts of Title and Cert.                                                      
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.                                                             
\1\ At cost.                                                                                                    

[FR Doc. 98-19722 Filed 7-23-98; 8:45 am]
BILLING CODE 3510-16-M