47534 Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 

by the Coast Guard Patrol Commander, 

no person or vessel may enter or remain 

in the regulated area. 

(2) The operator of any vessel in the 

regulated area must: 

(i) Stop the vessel immediately when 

instructed to do so by the Official Patrol 

and then proceed as directed. 

(ii) All persons and vessels shall 

comply with the instructions of the 

Official Patrol. 

(iii) When authorized to transit the 

regulated area, all vessels shall proceed 

at the minimum speed necessary to 

maintain a safe course that minimizes 

wake near the race course. 

(d) Enforcement period. This section 

will be effective from 8 a.m. to 6 p.m. 

on September 27, 2008. 

Dated: August 4, 2008. 

F.M. Rosa, Jr., 

Rear Admiral, U.S. Coast Guard, District Five 

Commander. 

[FR Doc. E8–18789 Filed 8–13–08; 8:45 am] 

BILLING CODE 4910–15–P 

DEPARTMENT OF COMMERCE 

Patent and Trademark Office 

37 CFR Parts 1 and 41 

[Docket No. PTO–C02008–0004] 

RIN 0651–AC21 

Revision of Patent Fees for Fiscal Year 

2009 

AGENCY: United States Patent and 

Trademark Office, Commerce. 

ACTION: Final rule. 

SUMMARY: The United States Patent and 

Trademark Office (Office) is adjusting 

certain patent fee amounts for fiscal year 

2009 to reflect fluctuations in the 

Consumer Price Index (CPI). The patent 

statute provides for the annual CPI 

adjustment of patent fees set by statute 

to recover the higher costs associated 

with doing business. In addition, the 

Office is correcting the addresses for 

maintenance fee payments and 

correspondence, and deposit account 

replenishments. 

DATES: Effective Date: October 2, 2008. 

FOR FURTHER INFORMATION CONTACT: 

Walter Schlueter by e-mail at 

Walter.Schlueter@uspto.gov, by 

telephone at (571) 272–6299, or by fax 

at (571) 273–6299. 

SUPPLEMENTARY INFORMATION: The Office 

is adjusting certain patent fee amounts 

in accordance with the applicable 

provisions of title 35, United States 

Code, as amended by the Consolidated 

Appropriations Act (Pub. L. 108–447, 

118 Stat. 2809 (2004)). In addition, this 

final rule changes the addresses for 

maintenance fee payments and 

correspondence, and deposit account 

replenishments. The addresses are being 

changed to reflect the current addresses 

that should be used. 

Background: 

Statutory Provisions: Patent fees are 

set by or under the authority provided 

in 35 U.S.C. 41, 119, 120, 132(b), 156, 

157(a), 255, 302, 311, 376, section 

532(a)(2) of the Uruguay Round 

Agreements Act (URAA) (Pub. L. 103–

465, § 532(a)(2), 108 Stat. 4809, 4985 

(1994)), and section 4506 of the 

American Inventors Protection Act of 

1999 (AIPA) (Pub. L. 106–113, 113 Stat. 

1501, 1501A–565 (1999)). For fees paid 

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

132(b), independent inventors, small 

business concerns, and nonprofit 

organizations who meet the 

requirements of 35 U.S.C. 41(h)(1) are 

entitled to a fifty-percent reduction. 

Section 41(d) of title 35, United States 

Code, authorizes the Director to 

establish fees for all other processing, 

services, or materials related to patents 

to recover the average cost of providing 

these services or materials, except for 

the fees for recording a document 

affecting title, for each photocopy, for 

each black and white copy of a patent, 

and for standard library service. 

Section 41(f) of title 35, United States 

Code, provides that fee amounts 

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

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

and every year thereafter, to reflect 

fluctuations in the CPI over the previous 

twelve months. 

Section 41(g) of title 35, United States 

Code, provides that new fee amounts 

established by the Director under 35 

U.S.C. 41 may take effect thirty days 

after notice in the Federal Register and 

the Official Gazette of the United States 

Patent and Trademark Office. 

The fiscal year 2005 Consolidated 

Appropriations Act (section 801 of 

Division B) provided that 35 U.S.C. 

41(a), (b), and (d) shall be administered 

in a manner that revises patent 

application fees (35 U.S.C. 41(a)) and 

patent maintenance fees (35 U.S.C. 

41(b)), and provides for a separate filing 

fee (35 U.S.C. 41(a)), search fee (35 

U.S.C. 41(d)(1)), and examination fee 

(35 U.S.C. 41(a)(3)) during fiscal years 

2005 and 2006. See Public Law 108–

447, 118 Stat. 2809, 2924–30 (2004). The 

patent and trademark fee provisions of 

the fiscal year 2005 Consolidated 

Appropriations Act were extended 

through September 30, 2008, by 

subsequent legislation. See Public Law 

110–161, 121 Stat. 1844 (2007), Public 

Law 110–149, 121 Stat. 1819 (2007), 

Public Law 110–137, 121 Stat. 1454 

(2007), Public Law 110–116, 121 Stat. 

1295 (2007), Public Law 110–92, 121 

Stat. 989 (2007), Public Law 110–5, 121 

Stat. 8 (2007), Public Law 109–383, 120 

Stat. 2678 (2006), Public Law 109–369, 

120 Stat. 2642 (2006), and Public Law 

109–289, 120 Stat. 1257 (2006). 

Legislation is pending before Congress 

which, if enacted, would extend the 

patent and trademark fee provisions of 

the fiscal year 2005 Consolidated 

Appropriations Act through fiscal year 

2009 (through September 30, 2009). See 

S. 3182, 110th Cong. (2008). 

Fee Adjustment Level: The patent 

statutory fee amounts established by 35 

U.S.C. 41(a) and (b) are adjusted to 

reflect fluctuations occurring during the 

twelve-month period from October 1, 

2007, through September 30, 2008, 

correspondingly, in the Consumer Price 

Index for All Urban Consumers (CPI–U). 

The Office of Management and Budget 

has advised that in calculating these 

fluctuations, the Office should use CPI–

U data as determined by the Secretary 

of Labor. In accordance with previous 

fee-setting methodology, the Office 

bases this fee adjustment on the 

Administration’s CPI–U for the twelvemonth period ending September 30, 

2008. 

The Office published a notice 

proposing to adjust the patent fees 

charged under 35 U.S.C. 41(a), (b), and 

(d)(1) for fiscal year 2009 to reflect 

fluctuations in the CPI. See Revision of 

Patent Fees for Fiscal Year 2009, 73 FR 

31655 (June 3, 2008), 1331 Off. Gaz. Pat. 

Office 97 (June 24, 2008) (proposed 

rule). While the proposed rule specified 

fee amounts based upon a projected 

CPI–U of 4.0 percent, the proposed rule 

indicated that the fee amounts adopted 

in a final rule may be based upon the 

actual fluctuations in the CPI–U as 

determined by the Secretary of Labor. 

See Revision of Patent Fees for Fiscal 

Year 2009, 73 FR at 31656, 1331–4 Off. 

Gaz. Pat. Office at 98. After the date the 

proposed rule was published, the 

projected CPI–U for the twelve-month 

period prior to the enactment of the fee 

amount adjustments has increased from 

4.0 percent to 5.0 percent. Thus, this 

final rule adjusts the patent fees charged 

under 35 U.S.C. 41(a), (b), and (d)(1) by 

5.0 percent based upon the current 

projected fluctuation in the CPI–U. 

The fee amounts were rounded by 

applying standard arithmetic rules so 

that the amounts rounded will be 

convenient to the user. Fees for other 

than a small entity of $100 or more were 

rounded to the nearest $10. Fees of less 

than $100 were rounded to an even 


rfrederick on PROD1PC67 with RULES
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 47535 

number so that any comparable small 

entity fee will be a whole number. 

General Procedures: Any fee amount 

that is paid on or after the effective date 

of the fee adjustment is subject to the 

new fees in effect. The amount of the fee 

to be paid will be determined by the 

time of filing. The time of filing will be 

determined either according to the date 

of receipt in the Office (37 CFR 1.6) or 

the date reflected on a proper Certificate 

of Mailing or Transmission, where such 

a certificate is authorized under 37 CFR 

1.8. Use of a Certificate of Mailing or 

Transmission is not authorized for items 

that are specifically excluded from the 

provisions of 37 CFR 1.8. Items for 

which a Certificate of Mailing or 

Transmission under 37 CFR 1.8 is not 

authorized include, for example, filing 

of national and international 

applications for patents. See 37 CFR 

1.8(a)(2). 

Patent-related correspondence 

delivered by the ‘‘Express Mail Post 

Office to Addressee’’ service of the 

United States Postal Service (USPS) is 

considered filed or received in the 

Office on the date of deposit with the 

USPS. See 37 CFR 1.10(a)(1). The date 

of deposit with the USPS is shown by 

the ‘‘date-in’’ on the ‘‘Express Mail’’

mailing label or other official USPS 

notation. 

To ensure clarity in the 

implementation of the new fee amounts 

and change of addresses, a discussion of 

specific sections is set forth below. 

Discussion of Specific Rules 

37 CFR 1.1 Addresses for nontrademark correspondence with the 

United States Patent and Trademark 

Office. Section 1.1, paragraph (d), is 

revised to change the maintenance fee 

payment and correspondence address. 

37 CFR 1.16 National application 

filing, search, and examination fees: 

Section 1.16, paragraphs (a) through (e), 

(h) through (k), and (m) through (s), is 

revised to adjust fees established therein 

to reflect fluctuations in the CPI. 

37 CFR 1.17 Patent application and 

reexamination processing fees: Section 

1.17, paragraphs (a), (l), and (m), is 

revised to adjust fees established therein 

to reflect fluctuations in the CPI. 

37 CFR 1.18 Patent post allowance 

(including issue) fees: Section 1.18, 

paragraphs (a) through (c), is revised to 

adjust fees established therein to reflect 

fluctuations in the CPI. 

37 CFR 1.20 Post issuance fees: 

Section 1.20, paragraphs (c)(3), (c)(4), 

and (d) through (g), is revised to adjust 

fees established therein to reflect 

fluctuations in the CPI. 

37 CFR 1.25 Deposit accounts: 

Section 1.25, paragraph (c)(3), is revised 

to change the deposit account 

replenishment address. In addition, 

paragraph (c)(4) is removed. 

37 CFR 1.492 National stage fees: 

Section 1.492, paragraphs (a), (b)(3), 

(b)(4), (c)(2), (d) through (f), and (j), is 

revised to adjust fees established therein 

to reflect fluctuations in the CPI. 

37 CFR 41.20 Fees: Section 41.20, 

paragraphs (b)(1) through (b)(3), is 

revised to adjust fees established therein 

to reflect fluctuations in the CPI. 

Alternative Fee Amounts if Legislation 

Extending the Patent and Trademark 

Fee Provisions of the Fiscal Year 2005 

Consolidated Appropriations Act Is Not 

Enacted: If legislation that would extend 

the patent and trademark fee provisions 

of the fiscal year 2005 Consolidated 

Appropriations Act into fiscal year 2009 

is not enacted, patent fees under 35 

U.S.C. 41(a), (b), and (d) will become the 

patent fees in effect in the absence of the 

fiscal year 2005 Consolidated 

Appropriations Act. In that event, the 

Office will publish a final rule adjusting 

the patent fees under 35 U.S.C. 41(a), 

(b), and (d) in effect in the absence of 

the fiscal year 2005 Consolidated 

Appropriations Act to reflect 

fluctuations in the Consumer Price 

Index (CPI–U). The following table 

(Table 1) sets out the fee amounts that 

would be published in a final rule in the 

event that legislation extending the 

patent and trademark fee provisions of 

the fiscal year 2005 Consolidated 

Appropriations Act into fiscal year 2009 

is not enacted. 

TABLE 1 

37 CFR Sec. Fee 

Alternative fee 

amount 

(non-small entity) 

Alternative fee 

amount 

(small entity) 

1.16(a) .......................................... Basic filing fee—utility application ..................................................... 850.00 425.00 

1.16(b) .......................................... Independent claims in excess of three ............................................. 94.00 47.00 

1.16(d) .......................................... Multiple dependent claim .................................................................. 330.00 165.00 

1.16(f) ........................................... Basic filing fee—design application .................................................. 380.00 190.00 

1.16(g) .......................................... Basic filing fee—plant application ..................................................... 600.00 300.00 

1.16(h) .......................................... Basic filing fee—reissue application ................................................. 850.00 425.00 

1.16(i) ........................................... Independent claims in excess of three—reissue .............................. 94.00 47.00 

1.16(k) .......................................... Basic filing fee—provisional application ............................................ 170.00 85.00 

1.17(a)(1) ..................................... Extension for response within first month ......................................... 120.00 60.00 

1.17(a)(2) ..................................... Extension for response within second month ................................... 480.00 240.00 

1.17(a)(3) ..................................... Extension for response within third month ....................................... 1,100.00 550.00 

1.17(a)(4) ..................................... Extension for response within fourth month ..................................... 1,720.00 860.00 

1.17(a)(5) ..................................... Extension for response within fifth month ......................................... 2,340.00 1,170.00 

1.17(m) ......................................... Petition to revive—unintentionally abandoned application ............... 1,480.00 740.00 

1.18(a) .......................................... Issue fee—utility application ............................................................. 1,480.00 740.00 

1.18(b) .......................................... Issue fee—design application ........................................................... 530.00 265.00 

1.18(c) .......................................... Issue fee—plant application .............................................................. 710.00 355.00 

1.20(e) .......................................... Maintenance fee—due at 3.5 years .................................................. 1,020.00 510.00 

1.20(f) ........................................... Maintenance fee—due at 7.5 years .................................................. 2,320.00 1,160.00 

1.20(g) .......................................... Maintenance fee—due at 11.5 years ................................................ 3,580.00 1,790.00 

1.492(a)(1) ................................... IPEA—U.S. ........................................................................................ 810.00 405.00 

1.492(a)(2) ................................... ISA—U.S. .......................................................................................... 850.00 425.00 

1.492(a)(3) ................................... USPTO not ISA or IPEA ................................................................... 1,200.00 600.00 

1.492(a)(5) ................................... Filing with EPO or JPO search report .............................................. 1,030.00 515.00 

1.492(b) ........................................ Independent claims in excess of three ............................................. 94.00 47.00 

1.492(d) ........................................ Multiple dependent claim .................................................................. 330.00 165.00 

41.20(b)(1) ................................... Notice of appeal ................................................................................ 370.00 185.00 

41.20(b)(2) ................................... Brief in support of an appeal ............................................................ 370.00 185.00 


rfrederick on PROD1PC67 with RULES
47536 Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 

TABLE 1—Continued 

37 CFR Sec. Fee 

Alternative fee 

amount 

(non-small entity) 

Alternative fee 

amount 

(small entity) 

41.20(b)(3) ................................... Request for oral hearing ................................................................... 330.00 165.00 

Response to Comments: As discussed 

previously, the Office published a 

notice proposing to adjust the patent 

fees charged under 35 U.S.C. 41(a), (b), 

and (d)(1) for fiscal year 2009 to reflect 

fluctuations in the CPI. See Revision of 

Patent Fees for Fiscal Year 2009, 73 FR 

31655 et seq., 1331–4 Off. Gaz. Pat. 

Office 97 et seq. The Office received one 

comment (from an individual) in 

response to this notice. The comment 

stated that small entity fees should not 

be increased, but rather should be 

reduced. 

The small entity reduction amounts 

are provided by 35 U.S.C. 41(h)(1) (‘‘fees 

charged under [35 U.S.C. 41](a), (b) and 

(d)(1) shall be reduced by 50 percent 

with respect to their application to any 

small business concern as defined under 

section 3 of the Small Business Act, and 

to any independent inventor or 

nonprofit organization as defined in 

regulations issued by the Director’’) and 

41(h)(3) (‘‘[t]he fee charged under [35 

U.S.C. 41](a)(l)(A) shall be reduced by 

75 percent with respect to its 

application to any entity to which [35 

U.S.C. 41(h)(1)] applies, if the 

application is filed by electronic means 

as prescribed by the Director’’). The 

Office has no authority to change 

(increase or reduce) the percentage by 

which the patent fees charged under 35 

U.S.C. 41(a), (b), and (d)(1) are reduced 

for small entities. The Office also has no 

authority to adjust the patent fee 

amounts specified in [35 U.S.C. 41](a), 

(b) and (d)(1) to reflect fluctuations in 

the CPI (which is necessary to recover 

the higher costs associated with doing 

business) only with respect to non-small 

entities. 

Rulemaking Considerations 

A. Final Regulatory Flexibility Analysis 

1. Description of the reasons that 

action by the Office is being considered: 

The Office is adjusting the patent fees 

set under 35 U.S.C. 41(a) and (b) to 

ensure proper funding for effective 

Office operations. The patent fee CPI 

adjustment is a routine adjustment that 

has generally occurred on an annual 

basis to recover the higher costs of the 

Office’s operations that occur due to the 

increase in the price of products and 

services. The lack of proper funding for 

effective Office operations would result 

in a significant increase in patent 

pendency levels. 

2. Succinct statement of the objectives 

of, and legal basis for, the final rule: The 

objective of the change is to adjust 

patent fees set under 35 U.S.C. 41(a) and 

(b) to recover the higher costs of Office 

operations. Patent fees are set by or 

under the authority provided in 35 

U.S.C. 41, 119, 120, 132(b), 156, 157(a), 

255, 302, 311, 376, section 532(a)(2) of 

the URAA, and 4506 of the AIPA. 35 

U.S.C. 41(f) provides that fees 

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

(b) may be adjusted every year to reflect 

fluctuations in the CPI over the previous 

twelve months. 

3. Description and estimate of the 

number of affected small entities: The 

Small Business Administration (SBA) 

small business size standards applicable 

to most analyses conducted to comply 

with the Regulatory Flexibility Act are 

set forth in 13 CFR 121.201. These 

regulations generally define small 

businesses as those with fewer than a 

maximum number of employees or less 

than a specified level of annual receipts 

for the entity’s industrial sector or North 

American Industry Classification 

System (NAICS) code. The Office, 

however, has formally adopted an 

alternate size standard as the size 

standard for the purpose of conducting 

an analysis or making a certification 

under the Regulatory Flexibility Act for 

patent-related regulations. See Business 

Size Standard for Purposes of United 

States Patent and Trademark Office 

Regulatory Flexibility Analysis for 

Patent-Related Regulations, 71 FR 

67109 (Nov. 20, 2006), 1313 Off. Gaz. 

Pat. Office 60 (Dec. 12, 2006). This 

alternate small business size standard is 

the previously established size standard 

that identifies the criteria entities must 

meet to be entitled to pay reduced 

patent fees. See 13 CFR 121.802. If 

patent applicants identify themselves on 

the patent application as qualifying for 

reduced patent fees, the Office captures 

this data in the Patent Application 

Location and Monitoring (PALM) 

database system, which tracks 

information on each patent application 

submitted to the Office. 

Unlike the SBA small business size 

standards set forth in 13 CFR 121.201, 

this size standard is not industryspecific. Specifically, the Office’s 

definition of small business concern for 

Regulatory Flexibility Act purposes is a 

business or other concern that: (1) Meets 

the SBA’s definition of a ‘‘business 

concern or concern’’ set forth in 13 CFR 

121.105; and (2) meets the size 

standards set forth in 13 CFR 121.802 

for the purpose of paying reduced 

patent fees, namely an entity: (a) Whose 

number of employees, including 

affiliates, does not exceed 500 persons; 

and (b) which has not assigned, granted, 

conveyed, or licensed (and is under no 

obligation to do so) any rights in the 

invention to any person who made it 

and could not be classified as an 

independent inventor, or to any concern 

which would not qualify as a non-profit 

organization or a small business concern 

under this definition. See Business Size 

Standard for Purposes of United States 

Patent and Trademark Office Regulatory 

Flexibility Analysis for Patent-Related 

Regulations, 71 FR at 67112, 1313 Off. 

Gaz. Pat. Office at 63. 

The changes in this final rule will 

apply to any small entity that files a 

patent application, or has a pending 

patent application or unexpired patent. 

The changes in this rule specifically 

apply when an applicant or patentee 

pays an application filing or national 

stage entry fee, search fee, examination 

fee, excess or multiple dependent claim 

fee, application size fee, extension of 

time fee, notice of appeal fee, appeal 

brief fee, request for an oral hearing fee, 

disclaimer fee, petition to revive fee, 

issue fee, or patent maintenance fee. 

The following table (Table 2) indicates 

the applicable fee, the number of small 

entity payments of the fee received by 

the Office in fiscal year 2007 (number of 

small entities who paid the applicable 

fee in fiscal year 2007), the current 

small entity fee amount, the new small 

entity fee amount, and the net amount 

of the small entity fee adjustment. 


rfrederick on PROD1PC67 with RULES
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 47537 

TABLE 2 

Fee 

Fiscal year 2007 

small entity 

payments 

Former fee 

amount 

Adjusted fee 

amount Fee adjustment 

Basic filing fee—utility application—electronic filing ................ 41,519 75.00 82.00 7.00 

Basic filing fee—utility application (on or after December 8, 

2004) .................................................................................... 45,832 155.00 165.00 10.00 

Basic filing fee—utility application (before December 8, 2004) 66 405.00 425.00 20.00 

Basic filing fee—design application (on or after December 8, 

2004) .................................................................................... 12,846 105.00 110.00 5.00 

Basic filing fee—design application (before December 8, 

2004) .................................................................................... 11 180.00 190.00 10.00 

Basic filing fee—plant application (on or after December 8, 

2004) .................................................................................... 327 105.00 110.00 5.00 

Basic filing fee—plant application (before December 8, 2004) 0 285.00 300.00 15.00 

Basic filing fee—provisional application .................................. 83,712 105.00 110.00 5.00 

Basic filing fee—reissue application (on or after December 8, 

2004) .................................................................................... 181 155.00 165.00 10.00 

Basic filing fee—reissue application (before December 8, 

2004) .................................................................................... 1 405.00 425.00 20.00 

Independent claims in excess of three .................................... 26,418 105.00 110.00 5.00 

Claims in excess of 20 ............................................................ 41,100 25.00 26.00 1.00 

Multiple dependent claim ......................................................... 2,503 185.00 195.00 10.00 

Search fee—utility application (on or after December 8, 

2004) .................................................................................... 86,469 255.00 270.00 15.00 

Search fee—plant application (on or after December 8, 

2004) .................................................................................... 326 155.00 165.00 10.00 

Search fee—reissue application (on or after December 8, 

2004) .................................................................................... 180 255.00 270.00 15.00 

Examination fee—utility application (on or after December 8, 

2004) .................................................................................... 86,658 105.00 110.00 5.00 

Examination fee—design application (on or after December 

8, 2004) ................................................................................ 12,615 65.00 70.00 5.00 

Examination fee—plant application (on or after December 8, 

2004) .................................................................................... 327 80.00 85.00 5.00 

Examination fee—reissue application (on or after December 

8, 2004) ................................................................................ 191 310.00 325.00 15.00 

Application size fee greater than 100 pages ........................... 5,469 130.00 135.00 5.00 

Extension for response within first month ............................... 30,722 60.00 65.00 5.00 

Extension for response within second month ......................... 17,339 230.00 245.00 15.00 

Extension for response within third month .............................. 23,818 525.00 555.00 30.00 

Extension for response within fourth month ............................ 2,277 820.00 865.00 45.00 

Extension for response within fifth month ............................... 2,700 1,115.00 1,175.00 60.00 

Petition to revive—unavoidably abandoned application .......... 174 255.00 270.00 15.00 

Petition to revive—unintentionally abandoned application ...... 3,271 770.00 810.00 40.00 

Issue fee—utility application .................................................... 33,718 720.00 755.00 35.00 

Issue fee—design application .................................................. 10,398 410.00 430.00 20.00 

Issue fee—plant application .................................................... 298 565.00 595.00 30.00 

Reexamination independent claims in excess of three ........... 37 105.00 110.00 5.00 

Reexamination claims in excess of 20 .................................... 45 25.00 26.00 1.00 

Statutory disclaimer ................................................................. 6,248 65.00 70.00 5.00 

Maintenance fee—due at 3.5 years ........................................ 32,577 465.00 490.00 25.00 

Maintenance fee—due at 7.5 years ........................................ 20,981 1,180.00 1,240.00 60.00 

Maintenance fee—due at 11.5 years ...................................... 8,130 1,955.00 2,055.00 100.00 

Filing of PCT application—USPTO ISA—national stage ........ 11,807 155.00 165.00 10.00 

National stage search fee—search report to USPTO ............. 8,440 205.00 215.00 10.00 

National stage search fee—all other situations ....................... 1,029 255.00 270.00 15.00 

National stage examination fee—all other situations .............. 11,262 105.00 110.00 5.00 

Independent claims in excess of three .................................... 3,272 105.00 110.00 5.00 

Claims in excess of 20 ............................................................ 5,913 25.00 26.00 1.00 

Multiple dependent claim ......................................................... 1,178 185.00 195.00 10.00 

Application size fee greater than 100 pages ........................... 573 130.00 135.00 5.00 

Notice of appeal ....................................................................... 5,978 255.00 270.00 15.00 

Brief in support of an appeal ................................................... 2,640 255.00 270.00 15.00 

Request for oral hearing .......................................................... 233 515.00 540.00 25.00 

The Office has also been advised that 

a number of small entity applicants and 

patentees do not claim small entity 

status for various reasons. See Business 

Size Standard for Purposes of United 

States Patent and Trademark Office 

Regulatory Flexibility Analysis for 

Patent-Related Regulations, 71 FR at 

67110, 1313 Off. Gaz. Pat. Office at 61. 

Therefore, the Office has also 

considered all other entities paying 

patent fees as well. The following table 

(Table 3) indicates the applicable fee, 

the number of non-small entity 

payments of the fee received by the 


rfrederick on PROD1PC67 with RULES
47538 Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 

Office in fiscal year 2007 (number of 

non-small entities who paid the 

applicable fee in fiscal year 2007), the 

current non-small entity fee amount, the 

revised non-small entity fee amount, 

and the net amount of the non-small 

entity fee adjustment. 

TABLE 3 

Fee 

Fiscal year 2007 

non-small entity 

payments 

Former fee 

amount 

Adjusted fee 

amount Fee adjustment 

Basic filing fee—utility application (on or after December 8, 

2004) .................................................................................... 209,577 310.00 330.00 20.00 

Basic filing fee—utility application (before December 8, 2004) 311 810.00 850.00 40.00 

Basic filing fee—design application (on or after December 8, 

2004) .................................................................................... 13,400 210.00 220.00 10.00 

Basic filing fee—design application (before December 8, 

2004) .................................................................................... 72 360.00 380.00 20.00 

Basic filing fee—plant application (on or after December 8, 

2004) .................................................................................... 680 210.00 220.00 10.00 

Basic filing fee—plant application (before December 8, 2004) 0 570.00 600.00 30.00 

Basic filing fee—provisional application .................................. 47,925 210.00 220.00 10.00 

Basic filing fee—reissue application (on or after December 8, 

2004) .................................................................................... 689 310.00 330.00 20.00 

Basic filing fee—reissue application (before December 8, 

2004) .................................................................................... 1 810.00 850.00 40.00 

Independent claims in excess of three .................................... 77,135 210.00 220.00 10.00 

Claims in excess of 20 ............................................................ 102,973 50.00 52.00 2.00 

Multiple dependent claim ......................................................... 5,944 370.00 390.00 20.00 

Search fee—utility application (on or after December 8, 

2004) .................................................................................... 209,135 510.00 540.00 30.00 

Search fee—plant application (on or after December 8, 

2004) .................................................................................... 681 310.00 330.00 20.00 

Search fee—reissue application (on or after December 8, 

2004) .................................................................................... 688 510.00 540.00 30.00 

Examination fee—utility application (on or after December 8, 

2004) .................................................................................... 209,465 210.00 220.00 10.00 

Examination fee—design application (on or after December 

8, 2004) ................................................................................ 13,261 130.00 140.00 10.00 

Examination fee—plant application (on or after December 8, 

2004) .................................................................................... 681 160.00 170.00 10.00 

Examination fee—reissue application (on or after December 

8, 2004) ................................................................................ 707 620.00 650.00 30.00 

Application size fee greater than 100 pages ........................... 11,257 260.00 270.00 10.00 

Extension for response within first month ............................... 88,684 120.00 130.00 10.00 

Extension for response within second month ......................... 42,308 460.00 490.00 30.00 

Extension for response within third month .............................. 41,489 1,050.00 1,110.00 60.00 

Extension for response within fourth month ............................ 3,105 1,640.00 1,730.00 90.00 

Extension for response within fifth month ............................... 3,482 2,230.00 2,350.00 120.00 

Petition to revive—unavoidably abandoned application .......... 127 510.00 540.00 30.00 

Petition to revive—unintentionally abandoned application ...... 4,180 1,540.00 1,620.00 80.00 

Issue fee—utility application .................................................... 122,251 1,440.00 1,510.00 70.00 

Issue fee—design application .................................................. 12,433 820.00 860.00 40.00 

Issue fee—plant application .................................................... 673 1,130.00 1,190.00 60.00 

Reexamination independent claims in excess of three ........... 132 210.00 220.00 10.00 

Reexamination claims in excess of 20 .................................... 151 50.00 52.00 2.00 

Statutory disclaimer ................................................................. 21,218 130.00 140.00 10.00 

Maintenance fee—due at 3.5 years ........................................ 125,653 930.00 980.00 50.00 

Maintenance fee—due at 7.5 years ........................................ 88,487 2,360.00 2,480.00 120.00 

Maintenance fee—due at 11.5 years ...................................... 42,193 3,910.00 4,110.00 200.00 

Filing of PCT application—USPTO ISA—national stage ........ 41,842 310.00 330.00 20.00 

National stage search fee—search report to USPTO ............. 38,457 410.00 430.00 20.00 

National stage search fee—all other situations ....................... 2,429 510.00 540.00 30.00 

National stage examination fee—all other situations .............. 41,044 210.00 220.00 10.00 

Independent claims in excess of three .................................... 9,367 210.00 220.00 10.00 

Claims in excess of 20 ............................................................ 14,983 50.00 52.00 2.00 

Multiple dependent claim ......................................................... 3,998 370.00 390.00 20.00 

Application size fee greater than 100 pages ........................... 2,102 260.00 270.00 10.00 

Notice of appeal ....................................................................... 21,646 510.00 540.00 30.00 

Brief in support of an appeal ................................................... 11,950 510.00 540.00 30.00 

Request for oral hearing .......................................................... 736 1,030.00 1,080.00 50.00 

4. Description of the reporting, 

recordkeeping and other compliance 

requirements of the final rule, including 

an estimate of the classes of small 

entities which will be subject to the 

requirement and the type of professional 


rfrederick on PROD1PC67 with RULES
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 47539 

skills necessary for preparation of the 

report or record: This rule does not 

require any reporting or recordkeeping 

or incorporate other compliance 

requirements. This rule only adjusts 

patent fees (as discussed previously) to 

reflect changes in the CPI. 

5. Description of any significant 

alternatives to the final rule which 

accomplish the stated objectives of 

applicable statutes and which minimize 

any significant economic impact of the 

rule on small entities: The alternative of 

not adjusting patent fees would have a 

lesser economic impact on small 

entities, but would not accomplish the 

stated objectives of applicable statutes. 

The Office is adjusting the patent fee 

amounts to ensure proper funding for 

effective Office operations. The patent 

fee CPI adjustment is a routine 

adjustment that has generally occurred 

on an annual basis to recover the higher 

costs of the Office’s operations that 

occur due to the increase in the price of 

products and services. The lack of 

proper funding for effective Office 

operations would result in a significant 

increase in patent pendency levels. 

6. Identification, to the extent 

practicable, of all relevant Federal rules 

which may duplicate, overlap or 

conflict with the final rules: The Office 

is the sole agency of the United States 

Government responsible for 

administering the provisions of title 35, 

United States Code, pertaining to 

examination and granting patents. 

Therefore, no other federal, state, or 

local entity shares jurisdiction over the 

examination and granting patents. 

Other countries, however, have their 

own patent laws, and an entity desiring 

a patent in a particular country must 

make an application for patent in that 

country, in accordance with the 

applicable law. Although the potential 

for overlap exists internationally, this 

cannot be avoided except by treaty 

(such as the Paris Convention for the 

Protection of Industrial Property, or the 

Patent Cooperation Treaty (PCT)). 

Nevertheless, the Office believes that 

there are no other duplicative or 

overlapping rules. 

B. Executive Order 13132 (Federalism) 

This final rulemaking does not 

contain policies with federalism 

implications sufficient to warrant 

preparation of a Federalism Assessment 

under Executive Order 13132 (Aug. 4, 

1999). 

C. Executive Order 12866 (Regulatory 

Planning and Review) 

This rulemaking has been determined 

to be significant for purposes of 

Executive Order 12866 (Sept. 30, 1993), 

as amended by Executive Order 13258 

(Feb. 26, 2002) and Executive Order 

13422 (Jan. 18, 2007). 

D. Executive Order 13175 (Tribal 

Consultation) 

This rulemaking will not: (1) Have 

substantial direct effects on one or more 

Indian tribes; (2) impose substantial 

direct compliance costs on Indian tribal 

governments; or (3) preempt tribal law. 

Therefore, a tribal summary impact 

statement is not required under 

Executive Order 13175 (Nov. 6, 2000). 

E. Executive Order 13211 (Energy 

Effects) 

This rulemaking is not a significant 

energy action under Executive Order 

13211 because this rulemaking is not 

likely to have a significant adverse effect 

on the supply, distribution, or use of 

energy. Therefore, a Statement of Energy 

Effects is not required under Executive 

Order 13211 (May 18, 2001). 

F. Executive Order 12988 (Civil Justice 

Reform) 

This rulemaking meets applicable 

standards to minimize litigation, 

eliminate ambiguity, and reduce burden 

as set forth in sections 3(a) and 3(b)(2) 

of Executive Order 12988 (Feb. 5, 1996). 

G. Executive Order 13045 (Protection of 

Children) 

This rulemaking does not concern an 

environmental risk to health or safety 

that may disproportionately affect 

children under Executive Order 13045 

(Apr. 21, 1997). 

H. Executive Order 12630 (Taking of 

Private Property) 

This rulemaking will not effect a 

taking of private property or otherwise 

have taking implications under 

Executive Order 12630 (Mar. 15, 1988). 

I. Congressional Review Act 

Under the Congressional Review Act 

provisions of the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (5 U.S.C. 801 et seq.), the United 

States Patent and Trademark Office has 

submitted a report containing the final 

rule and other required information to 

the United States Senate, the United 

States House of Representatives and the 

Comptroller General of the Government 

Accountability Office. The changes in 

this final rule will not result in an 

annual effect on the economy of 100 

million dollars or more, a major increase 

in costs or prices, or significant adverse 

effects on competition, employment, 

investment, productivity, innovation, or 

the ability of United States-based 

enterprises to compete with foreignbased enterprises in domestic and 

export markets. Therefore, this final rule 

is not a ‘‘major rule’’ as defined in 

5 U.S.C. 804(2). 

J. Unfunded Mandates Reform Act of 

1995 

The changes in this final rule do not 

involve a Federal intergovernmental 

mandate that will result in the 

expenditure by State, local, and tribal 

governments, in the aggregate, of 100 

million dollars (as adjusted) or more in 

any one year, or a Federal private sector 

mandate that will result in the 

expenditure by the private sector of 100 

million dollars (as adjusted) or more in 

any one year, and will not significantly 

or uniquely affect small governments. 

Therefore, no actions are necessary 

under the provisions of the Unfunded 

Mandates Reform Act of 1995. See 2 

U.S.C. 1501 et seq. 

K. National Environmental Policy Act 

This rulemaking will not have any 

effect on the quality of environment and 

is thus categorically excluded from 

review under the National 

Environmental Policy Act of 1969. See 

42 U.S.C. 4321 et seq. 

L. National Technology Transfer and 

Advancement Act 

The requirements of section 12(d) of 

the National Technology Transfer and 

Advancement Act of 1995 (15 U.S.C. 

272 note) are inapplicable because this 

rule making does not contain provisions 

which involve the use of technical 

standards. 

M. Paperwork Reduction Act 

This rule involves information 

collection requirements which are 

subject to review by the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.). The collections 

of information involved in this rule 

have been reviewed and approved by 

OMB under OMB control numbers 

0651–0016, 0651–0021, 0651–0031, 

0651–0032, and 0651–0033. The Office 

is not resubmitting information 

collection packages to OMB for its 

review and approval at this time but 

will update the fee amounts for existing 

information collection requirements 

associated with the information 

collections under OMB control numbers 

0651–0016, 0651–0021, 0651–0031, 

0651–0032, and 0651–0033. The Office 

will submit fee revision changes for 

OMB control numbers 0651–0016, 

0651–0021, 0651–0031, 0651–0032, and 

0651–0033 at the time these collections 

are resubmitted to OMB for renewal. 


rfrederick on PROD1PC67 with RULES
47540 Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 

Notwithstanding any other provision 

of law, no person is required to respond 

to nor shall a person be subject to a 

penalty for failure to comply with a 

collection of information subject to the 

requirements of the Paperwork 

Reduction Act unless that collection of 

information displays a currently valid 

OMB control number. 

List of Subjects 

37 CFR Part 1 

Administrative practice and 

procedure, Courts, Freedom of 

Information, Inventions and patents, 

Reporting and recordkeeping 

requirements, Small businesses. 

37 CFR Part 41 

Administrative practice and 

procedure, Inventions and patents, 

Lawyers. 

■ For the reasons set forth in the 

preamble, 37 CFR parts 1 and 41 are 

amended as follows: 

PART 1—RULES OF PRACTICE IN 

PATENT CASES 

■ 1. The authority citation for 37 CFR 

part 1 continues to read as follows: 

Authority: 35 U.S.C. 2(b)(2). 

■ 2. Section 1.1 is amended by revising 

paragraph (d) to read as follows: 

§ 1.1 Addresses for non-trademark 

correspondence with the United States 

Patent and Trademark Office. 

* * * * * 

(d) Payments of maintenance fees in 

patents not submitted electronically 

over the Internet, and correspondence 

related to maintenance fees may be 

addressed to: Director of the United 

States Patent and Trademark Office, 

Attn: Maintenance Fee, 2051 Jamieson 

Avenue, Suite 300, Alexandria, Virginia 

22314. 

* * * * * 

■ 3. Part 1 of 37 CFR is amended 

immediately after the undesignated 

center heading ‘‘Fees and Payment of 

Money’’ to include the following 

authority citation: 

Authority: Secs. 1.16 to 1.22 also issued 

under 35 U.S.C. 41, 111, 119, 120, 132(b), 

156, 157, 255, 302, and 311, and Public Laws 

103–465, and 106–113. 

■ 4. Section 1.16 is amended by revising 

paragraphs (a) through (e), (h) through 

(k), and (m) through (s) to read as 

follows: 

§ 1.16 National application filing, search, 

and examination fees. 

(a) Basic fee for filing each application 

under 35 U.S.C. 111 for an original 

patent, except design, plant, or 

provisional applications: 

(1) For an application filed on or after 

December 8, 2004: 

By a small entity (§ 1.27(a)) if 

the application is submitted in 

compliance with the Office 

electronic filing system 

(§ 1.27(b)(2)) ............................. $82.00 

By a small entity (§ 1.27(a)) ........ $165.00 

By other than a small entity ....... $330.00 

(2) For an application filed before 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $425.00 

By other than a small entity ....... $850.00 

(b) Basic fee for filing each 

application for an original design 

patent: 

(1) For an application filed on or after 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(2) For an application filed before 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $190.00 

By other than a small entity ....... $380.00 

(c) Basic fee for filing each application 

for an original plant patent: 

(1) For an application filed on or after 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(2) For an application filed before 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $300.00 

By other than a small entity ....... $600.00 

(d) Basic fee for filing each 

provisional application: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(e) Basic fee for filing each application 

for the reissue of a patent: 

(1) For an application filed on or after 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $165.00 

By other than a small entity ....... $330.00 

(2) For an application filed before 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $425.00 

By other than a small entity ....... $850.00 

* * * * * 

(h) In addition to the basic filing fee 

in an application, other than a 

provisional application, for filing or 

later presentation at any other time of 

each claim in independent form in 

excess of 3: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(i) In addition to the basic filing fee 

in an application, other than a 

provisional application, for filing or 

later presentation at any other time of 

each claim (whether dependent or 

independent) in excess of 20 (note that 

§ 1.75(c) indicates how multiple 

dependent claims are considered for fee 

calculation purposes): 

By a small entity (§ 1.27(a)) ........ $26.00 

By other than a small entity ....... $52.00 

(j) In addition to the basic filing fee in 

an application, other than a provisional 

application, that contains, or is 

amended to contain, a multiple 

dependent claim, per application: 

By a small entity (§ 1.27(a)) ........ $195.00 

By other than a small entity ....... $390.00 

(k) Search fee for each application 

filed under 35 U.S.C. 111 on or after 

December 8, 2004, for an original patent, 

except design, plant, or provisional 

applications: 

By a small entity (§ 1.27(a)) ........ $270.00 

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

* * * * * 

(m) Search fee for each application 

filed on or after December 8, 2004, for 

an original plant patent: 

By a small entity (§ 1.27(a)) ........ $165.00 

By other than a small entity ....... $330.00 

(n) Search fee for each application 

filed on or after December 8, 2004, for 

the reissue of a patent: 

By a small entity (§ 1.27(a)) ........ $270.00 

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

(o) Examination fee for each 

application filed under 35 U.S.C. 111 on 

or after December 8, 2004, for an 

original patent, except design, plant, or 

provisional applications: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(p) Examination fee for each 

application filed on or after December 8, 

2004, for an original design patent: 

By a small entity (§ 1.27(a)) ........ $70.00 

By other than a small entity ....... $140.00 

(q) Examination fee for each 

application filed on or after December 8, 

2004, for an original plant patent: 

By a small entity (§ 1.27(a)) ........ $85.00 

By other than a small entity ....... $170.00 

(r) Examination fee for each 

application filed on or after December 8, 

2004, for the reissue of a patent: 

By a small entity (§ 1.27(a)) ........ $325.00 

By other than a small entity ....... $650.00 

(s) Application size fee for any 

application under 35 U.S.C. 111 filed on 

or after December 8, 2004, the 

specification and drawings of which 

exceed 100 sheets of paper, for each 

additional 50 sheets or fraction thereof: 

By a small entity (§ 1.27(a)) ........ $135.00 

By other than a small entity ....... $270.00 

* * * * * 

■ 5. Section 1.17 is amended by revising 

paragraphs (a), (l), and (m) to read as 

follows: 


rfrederick on PROD1PC67 with RULES
Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 47541 

§ 1.17 Patent application and 

reexamination processing fees. 

(a) Extension fees pursuant to 

§ 1.136(a): 

(1) For reply within first month: 

By a small entity (§ 1.27(a)) ........ $65.00 

By other than a small entity ....... $130.00 

(2) For reply within second month: 

By a small entity (§ 1.27(a)) ........ $245.00 

By other than a small entity ....... $490.00 

(3) For reply within third month: 

By a small entity (§ 1.27(a)) ........ $555.00 

By other than a small entity ....... $1,110.00 

(4) For reply within fourth month: 

By a small entity (§ 1.27(a)) ........ $865.00 

By other than a small entity ....... $1,730.00 

(5) For reply within fifth month: 

By a small entity (§ 1.27(a)) ........ $1,175.00 

By other than a small entity ....... $2,350.00 

* * * * * 

(l) For filing a petition for the revival 

of an unavoidably abandoned 

application under 35 U.S.C. 111, 133, 

364, or 371, for the unavoidably delayed 

payment of the issue fee under 35 U.S.C. 

151, or for the revival of an unavoidably 

terminated reexamination proceeding 

under 35 U.S.C. 133 (§ 1.137(a)): 

By a small entity (§ 1.27(a)) ........ $270.00 

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

(m) For filing a petition for the revival 

of an unintentionally abandoned 

application, for the unintentionally 

delayed payment of the fee for issuing 

a patent, or for the revival of an 

unintentionally terminated 

reexamination proceeding under 35 

U.S.C. 41(a)(7) (§ 1.137(b)): 

By a small entity (§ 1.27(a)) ........ $810.00 

By other than a small entity ....... $1,620.00 

* * * * * 

■ 6. Section 1.18 is amended by revising 

paragraphs (a) through (c) to read as 

follows: 

§ 1.18 Patent post allowance (including 

issue) fees. 

(a) Issue fee for issuing each original 

patent, except a design or plant patent, 

or for issuing each reissue patent: 

By a small entity (§ 1.27(a)) ........ $755.00 

By other than a small entity ....... $1,510.00 

(b) Issue fee for issuing an original 

design patent: 

By a small entity (§ 1.27(a)) ........ $430.00 

By other than a small entity ....... $860.00 

(c) Issue fee for issuing an original 

plant patent: 

By a small entity (§ 1.27(a)) ........ $595.00 

By other than a small entity ....... $1,190.00 

* * * * * 

■ 7. Section 1.20 is amended by revising 

paragraphs (c)(3), (c)(4), and (d) through 

(g) to read as follows: 

§ 1.20 Post issuance fees. 

* * * * * 

(c) * * * 

(3) For filing with a request for 

reexamination or later presentation at 

any other time of each claim in 

independent form in excess of 3 and 

also in excess of the number of claims 

in independent form in the patent under 

reexamination: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(4) For filing with a request for 

reexamination or later presentation at 

any other time of each claim (whether 

dependent or independent) in excess of 

20 and also in excess of the number of 

claims in the patent under 

reexamination (note that § 1.75(c) 

indicates how multiple dependent 

claims are considered for fee calculation 

purposes): 

By a small entity (§ 1.27(a)) ........ $26.00 

By other than a small entity ....... $52.00 

* * * * * 

(d) For filing each statutory disclaimer 

(§ 1.321): 

By a small entity (§ 1.27(a)) ........ $70.00 

By other than a small entity ....... $140.00 

(e) For maintaining an original or 

reissue patent, except a design or plant 

patent, based on an application filed on 

or after December 12, 1980, in force 

beyond four years, the fee being due by 

three years and six months after the 

original grant: 

By a small entity (§ 1.27(a)) ........ $490.00 

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

(f) For maintaining an original or 

reissue patent, except a design or plant 

patent, based on an application filed on 

or after December 12, 1980, in force 

beyond eight years, the fee being due by 

seven years and six months after the 

original grant: 

By a small entity (§ 1.27(a)) ........ $1,240.00 

By other than a small entity ....... $2,480.00 

(g) For maintaining an original or 

reissue patent, except a design or plant 

patent, based on an application filed on 

or after December 12, 1980, in force 

beyond twelve years, the fee being due 

by eleven years and six months after the 

original grant: 

By a small entity (§ 1.27(a)) ........ $2,055.00 

By other than a small entity ....... $4,110.00 

* * * * * 

■ 8. Section 1.25 is amended by 

removing paragraph (c)(4) and revising 

paragraph (c)(3) to read as follows: 

§ 1.25 Deposit accounts. 

* * * * * 

(c) * * * 

(3) A payment to replenish a deposit 

account may be addressed to: Director of 

the United States Patent and Trademark 

Office, Attn: Deposit Accounts, 2051 

Jamieson Avenue, Suite 300, 

Alexandria, Virginia 22314. 

■ 9. Section 1.492 is amended by 

revising paragraphs (a), (b)(3), (b)(4), 

(c)(2), (d) through (f) and (j) to read as 

follows: 

§ 1.492 National stage fees. 

* * * * * 

(a) The basic national fee for an 

international application entering the 

national stage under 35 U.S.C. 371 if the 

basic national fee was not paid before 

December 8, 2004: 

By a small entity (§ 1.27(a)) ........ $165.00 

By other than a small entity ....... $330.00 

(b) * * * 

(3) If an international search report on 

the international application has been 

prepared by an International Searching 

Authority other than the United States 

International Searching Authority and is 

provided, or has been previously 

communicated by the International 

Bureau, to the Office: 

By a small entity (§ 1.27(a)) ........ $215.00 

By other than a small entity ....... $430.00 

(4) In all situations not provided for 

in paragraphs (b)(1), (b)(2), or (b)(3) of 

this section: 

By a small entity (§ 1.27(a)) ........ $270.00 

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

(c) * * * 

(2) In all situations not provided for 

in paragraph (c)(1) of this section: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(d) In addition to the basic national 

fee, for filing or on later presentation at 

any other time of each claim in 

independent form in excess of 3: 

By a small entity (§ 1.27(a)) ........ $110.00 

By other than a small entity ....... $220.00 

(e) In addition to the basic national 

fee, for filing or on later presentation at 

any other time of each claim (whether 

dependent or independent) in excess of 

20 (note that § 1.75(c) indicates how 

multiple dependent claims are 

considered for fee calculation purposes): 

By a small entity (§ 1.27(a)) ........ $26.00 

By other than a small entity ....... $52.00 

(f) In addition to the basic national 

fee, if the application contains, or is 

amended to contain, a multiple 

dependent claim, per application: 

By a small entity (§ 1.27(a)) ........ $195.00 

By other than a small entity ....... $390.00 

* * * * * 

(j) Application size fee for any 

international application for which the 

basic national fee was not paid before 

December 8, 2004, the specification and 

drawings of which exceed 100 sheets of 


rfrederick on PROD1PC67 with RULES
47542 Federal Register / Vol. 73, No. 158 / Thursday, August 14, 2008 / Rules and Regulations 

1On July 25, 2002, EPA approved multiple 

documents submitted to EPA by Arizona for the 

Maricopa County area as meeting the CAA 

requirements for serious PM–10 nonattainment 

areas for the 24-hour and annual PM–10 national 

ambient air quality standards (NAAQS). Among 

these documents is the ‘‘Revised MAG 1999 Serious 

Area Particulate Plan for PM–10 for the Maricopa 

County Nonattainment Area,’’ February 2000 (MAG 

plan) that includes the BACM demonstrations for 

all significant source categories (except agriculture) 

for both the 24-hour and annual PM–10 standards 

and the State’s request and supporting 

documentation, including the most stringent 

measure analysis (except for agriculture) for an 

attainment date extension for both standards. EPA’s 

July 25, 2002 final action included approval of 

these elements of the MAG plan. For a detailed 

discussion of the MAG plan and the serious area 

PM–10 requirements, please see EPA’s proposed 

and final approval actions at 65 FR 19964 (April 13, 

2000), 66 FR 50252 (October 2, 2001) and 67 FR 

48718 (July 25, 2002). 

Note that, effective December 18, 2006, EPA 

revoked the annual PM–10 standard. 71 FR 61144 

(October 17, 2006). References to the annual 

standard in this final rule are for historical purposes 

only. EPA is not taking any regulatory action with 

regard to this former standard. 

paper, for each additional 50 sheets or 

fraction thereof: 

By a small entity (§ 1.27(a)) ........ $135.00 

By other than a small entity ....... $270.00 

PART 41—PRACTICE BEFORE THE 

BOARD OF PATENT APPEALS AND 

INTERFERENCES 

■ 10. The authority citation for 37 CFR 

part 41 continues to read as follows: 

Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 

23, 32, 41, 134, 135. 

■ 11. Section 41.20 is amended by 

revising paragraph (b) to read as follows: 

§ 41.20 Fees. 

* * * * * 

(b) Appeal fees. (1) For filing a notice 

of appeal from the examiner to the 

Board: 

By a small entity (§ 1.27(a) of 

this title) ................................... $270.00 

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

(2) In addition to the fee for filing a 

notice of appeal, for filing a brief in 

support of an appeal: 

By a small entity (§ 1.27(a) of 

this title) ................................... $270.00 

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

(3) For filing a request for an oral 

hearing before the Board in an appeal 

under 35 U.S.C. 134: 

By a small entity (§ 1.27(a)) ........ $540.00 

By other than a small entity ....... $1,080.00 

Dated: August 8, 2008. 

Margaret J. A. Peterlin, 

Deputy Under Secretary of Commerce for 

Intellectual Property and Deputy Director of 

the United States Patent and Trademark 

Office. 

[FR Doc. E8–18822 Filed 8–13–08; 8:45 am] 

BILLING CODE 3510–16–P 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Part 52 

[EPA–R09–OAR–2006–0571; FRL–8703–3] 

Approval and Promulgation of 

Implementation Plans for Arizona; 

Maricopa County PM–10 

Nonattainment Area; Serious Area Plan 

for Attainment of the 24-Hour and 

Annual PM–10 Standards 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: EPA is taking final action 

under the Clean Air Act (CAA) to 

approve the Best Available Control 

Measure (BACM) and the Most Stringent 

Measure (MSM) demonstrations in the 

serious area particulate matter (PM–10) 

plan for the Maricopa County portion of 

the metropolitan Phoenix (Arizona) 

nonattainment area (Maricopa County 

area). EPA is also confirming that it 

appropriately granted Arizona’s request 

to extend the attainment deadline from 

2001 to 2006. EPA originally approved 

these demonstrations and granted the 

extension request on July 25, 2002. 

Thereafter EPA’s action was challenged 

in the U.S. Court of Appeals for the 

Ninth Circuit. In response to the Court’s 

remand, EPA reassessed the BACM 

demonstration for the significant source 

categories of on-road motor vehicles and 

nonroad engines and equipment 

exhaust, specifically regarding whether 

or not California Air Resources Board 

(CARB) diesel is a BACM and/or MSM. 

As a result of this reassessment, EPA in 

2006 again approved the BACM and 

MSM demonstrations in the plan and 

granted the request for an attainment 

date extension. In light of its 2007 

finding that the Maricopa County area 

failed to attain the 24-hour PM–10 

National Ambient Air Quality Standard 

(NAAQS) by December 31, 2006, EPA 

has again reassessed the BACM and 

MSM demonstrations and is again 

approving these demonstrations. 

DATES: Effective Date: This rule is 

effective on September 15, 2008. 

ADDRESSES: EPA has established docket 

number EPA–R09–OAR–0091 for this 

action. The index to the docket is 

available electronically at http:// 

www.regulations.gov and in hard copy 

at EPA Region 9, 75 Hawthorne Street, 

San Francisco, California. While all 

documents in the docket are listed in 

the index, some information may be 

publicly available only at the hard copy 

location, e.g., copyrighted material, and 

some may not be publicly available in 

either location, e.g., confidential 

business information. To inspect the 

hard copy materials, please schedule an 

appointment during normal business 

hours with the contact listed in the FOR

FURTHER INFORMATION CONTACT section. 

FOR FURTHER INFORMATION CONTACT: 

Carol Weisner, EPA Region IX, (415) 

947–4107, weisner.carol@epa.gov. 

SUPPLEMENTARY INFORMATION: 

Throughout this document, ‘‘we,’’ ‘‘us’’

and ‘‘our’’ refer to EPA. 

I. Summary of Proposed Action 

On June 8, 2007, EPA proposed to reapprove the BACM and MSM 

demonstrations in Arizona’s serious 

area PM–10 plan for the Maricopa 

County area. EPA also proposed to 

confirm that it appropriately granted 

Arizona’s request for an extension of the 

area’s attainment deadline from 

December 31, 2001 to December 31, 

2006. 72 FR 31778. EPA originally 

approved the BACM and MSM 

demonstrations and granted the 

attainment date extension in 2002.1

EPA’s 2002 action was subsequently 

challenged in the U.S. Court of Appeals 

for the Ninth Circuit. On May 10, 2004, 

the Court issued its opinion which 

upheld EPA’s final approval in part but 

remanded to EPA the issue of whether 

CARB diesel must be included in the 

serious area plan as a BACM and a 

MSM. See Vigil v. Leavitt, 366 F.3d 

1025, amended at 381 F.3d 826 (9th Cir. 

2004). 

In response to the Ninth Circuit’s 

remand, EPA re-examined the feasibility 

of CARB diesel for both the on-road 

motor vehicle exhaust and nonroad 

engines and equipment exhaust 

significant source categories. On August 

3, 2006, EPA again approved the BACM 

and MSM demonstrations in the MAG 

plan for these significant source 

categories without CARB diesel and 

granted the State’s request to extend the 

attainment deadline from 2001 to 2006. 

71 FR 43979. In this final action, EPA 

concluded that implementation of 

CARB diesel was not feasible for (1) onroad motor vehicle exhaust because 

Arizona would not be able to make a 

‘‘necessity’’ showing for CARB diesel 

and thus, would not be able to obtain a 

waiver of federal preemption under 

CAA section 211(c)(4)(C)(i) in light of 

EPA’s prior approval of the PM–10 

attainment demonstration that did not 

rely on reductions associated with the 

use of CARB diesel, and (2) nonroad 

engines and equipment exhaust because 

of the uncertainties with fuel 

availability, storage and segregation and 


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