80_FR_80572 80 FR 80325 - Extension of the Extended Missing Parts Pilot Program

80 FR 80325 - Extension of the Extended Missing Parts Pilot Program

DEPARTMENT OF COMMERCE
United States Patent and Trademark Office

Federal Register Volume 80, Issue 247 (December 24, 2015)

Page Range80325-80327
FR Document2015-32469

The United States Patent and Trademark Office (USPTO) implemented a pilot program (Extended Missing Parts Pilot Program) in which an applicant, under certain conditions, can request a 12-month time period to pay the search fee, the examination fee, any excess claim fees, and the surcharge (for the late submission of the search fee and the examination fee) in a nonprovisional application. The Extended Missing Parts Pilot Program benefits applicants by permitting additional time to determine if patent protection should be sought--at a relatively low cost--and by permitting applicants to focus efforts on commercialization during this period. The Extended Missing Parts Pilot Program benefits the USPTO and the public by adding publications to the body of prior art, and by removing from the USPTO's workload those nonprovisional applications for which applicants later decide not to pursue examination. The USPTO is extending the Extended Missing Parts Pilot Program until December 31, 2016, to allow for the USPTO to seek public comment, via a subsequent notice to be published in the middle of 2016, on whether the Extended Missing Parts Program offers sufficient benefits to the patent community for it to be made permanent. The requirements of the program have not changed.

Federal Register, Volume 80 Issue 247 (Thursday, December 24, 2015)
[Federal Register Volume 80, Number 247 (Thursday, December 24, 2015)]
[Notices]
[Pages 80325-80327]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-32469]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No.: PTO-P-2015-0079]


Extension of the Extended Missing Parts Pilot Program

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The United States Patent and Trademark Office (USPTO) 
implemented a pilot program (Extended Missing Parts Pilot Program) in 
which an applicant, under certain conditions, can request a 12-month 
time period to pay the search fee, the examination fee, any excess 
claim fees, and the surcharge (for the late submission of the search 
fee and the examination fee) in a nonprovisional application. The 
Extended Missing Parts Pilot Program benefits applicants by permitting 
additional time to determine if patent protection should be sought--at 
a relatively low cost--and by permitting applicants to focus efforts on 
commercialization during this period. The Extended Missing Parts Pilot 
Program benefits the USPTO and the public by adding publications to the 
body of prior art, and by removing from the USPTO's workload those 
nonprovisional applications for which applicants later decide not to 
pursue examination. The USPTO is extending the Extended Missing Parts 
Pilot Program until December 31, 2016, to allow for the USPTO to seek 
public comment, via a subsequent notice to be published in the middle 
of 2016, on whether the Extended Missing Parts Program offers 
sufficient benefits to the patent community for it to be made 
permanent. The requirements of the program have not changed.

DATES: Duration: The Extended Missing Parts Pilot Program will run 
through December 31, 2016. Therefore, any certification and request to 
participate in the Extended Missing Parts Pilot Program must be filed 
on or before December 31, 2016. The USPTO may further extend the pilot 
program (with or without modifications) depending on the feedback 
received and the continued effectiveness of the pilot program.

FOR FURTHER INFORMATION CONTACT: Eugenia A. Jones, Senior Legal 
Advisor, Office of Patent Legal Administration, Office of the Deputy 
Commissioner for Patent Examination Policy, by telephone at (571) 272-
7727, or by mail addressed to: Mail Stop Comments--Patents, 
Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450, 
marked to the attention of Eugenia A. Jones.
    Inquiries regarding this notice may be directed to the Office of 
Patent Legal Administration, by telephone at (571) 272-7701, or by 
electronic mail at [email protected].

SUPPLEMENTARY INFORMATION: On December 8, 2010, after considering 
written comments from the public, the USPTO changed the missing parts 
examination procedures in certain nonprovisional applications by 
implementing a pilot program (i.e., Extended Missing Parts Pilot 
Program). See Pilot Program for Extended Time Period To Reply to a 
Notice to File Missing Parts of Nonprovisional Application, 75 FR 76401 
(Dec. 8, 2010), 1362 Off. Gaz. Pat. Office 44 (Jan. 4, 2011). The USPTO 
has previously announced extensions of the Extended Missing Parts Pilot 
Program through notices published in the Federal Register. See 
Extension of the Extended Missing Parts Pilot Program, 76 FR 78246 
(Dec. 16, 2011), 1374 Off. Gaz. Pat. Office 113 (Jan. 10, 2012); 
Extension of the Extended Missing Parts Pilot Program, 78 FR 2256 (Jan. 
10, 2013), 1387 Off. Gaz. Pat. Office 46 (Feb. 5, 2013); Extension of 
Extended Missing Parts Pilot Program, 79 FR 642 (Jan. 6, 2014), 1398 
Off. Gaz. Pat. Office 197 (Jan. 28, 2014); Extension of Extended 
Missing Parts Pilot Progam, 80 FR 1624 (Jan. 13, 2015), 1412 Off. Gaz. 
Pat. Office 211 (Mar. 24, 2015). The program is currently set to expire 
on December 31, 2015.
    Through this notice, the USPTO is further extending the Extended 
Missing Parts Pilot Program until December 31, 2016. The USPTO may 
further extend the Extended Missing Parts Pilot Program, or may 
discontinue the pilot program after December 31, 2016, depending on the 
results of the program. The requirements of the program, which have not 
been modified, are reiterated below. Applicants are strongly cautioned 
to review the pilot program requirements before making a request to 
participate in the Extended Missing Parts Pilot Program.
    The USPTO cautions all applicants that, in order to claim the 
benefit of a prior provisional application, the statute requires a 
nonprovisional application filed under 35 U.S.C. 111(a) to be filed 
within 12 months after the date on which the corresponding provisional 
application was filed. See 35 U.S.C. 119(e). It is essential that 
applicants understand that the Extended Missing Parts Pilot Program 
cannot and does not change this statutory requirement. Title II of the 
Patent Law Treaties Implementation Act of 2012 (PLTIA) amended the 
provisions of title 35, United States Code, including 35 U.S.C. 119(e), 
to implement the Patent Law Treaty (PLT). See Public Law 112-211, 
Sec. Sec.  20-203, 126 Stat. 1527, 1533-37 (2012). In the rulemaking to 
implement the PLT and title II of the PLTIA, the Office provided that 
an applicant may file a petition under 37 CFR 1.78(b) to restore the 
benefit of a provisional application filed up to fourteen months 
earlier. See Changes To Implement the Patent Law Treaty, 78 FR 62367, 
62368-69 (Oct. 21, 2013) (final rule). Any petition to restore the 
benefit of a provisional application must include the benefit claim, 
the petition fee, and a statement that the delay in filing the 
subsequent application was unintentional. This change was effective on 
December 18, 2013, and applies to any application filed before, on, or 
after December 18, 2013. However, if a nonprovisional application is 
filed

[[Page 80326]]

outside the 12 month period from the date on which the corresponding 
provisional application was filed, the nonprovisional application is 
not eligible for participation in the Extended Missing Parts Pilot 
Program, even though the applicant may be able to restore the benefit 
of the provisional application by submitting a petition under 37 CFR 
1.78(b).
    I. Requirements: In order for an applicant to be provided a 12-
month (non-extendable) time period to pay the search and examination 
fees and any required excess claims fees in response to a Notice to 
File Missing Parts of Nonprovisional Application under the Extended 
Missing Parts Pilot Program, the applicant must satisfy the following 
conditions: (1) The applicant must submit a certification and request 
to participate in the Extended Missing Parts Pilot Program with the 
nonprovisional application on filing, preferably by using Form PTO/AIA/
421, titled ``Certification and Request for Extended Missing Parts 
Pilot Program''; (2) the application must be an original (i.e., not a 
Reissue) nonprovisional utility or plant application filed under 35 
U.S.C. 111(a) within the duration of the pilot program; (3) the 
nonprovisional application must directly claim the benefit under 35 
U.S.C. 119(e) and 37 CFR 1.78 of a prior provisional application filed 
within the previous 12 months, and the specific reference to the 
provisional application must be in an application data sheet under 37 
CFR 1.76 (see 37 CFR 1.78(a)(3)); and (4) the applicant must not have 
filed a nonpublication request.
    As required for all nonprovisional applications, the applicant will 
need to satisfy filing date requirements and publication requirements. 
In the rulemaking to implement the PLT and title II of the PLTIA, the 
Office provided that an application (other than an application for a 
design patent) filed on or after December 18, 2013, is not required to 
include a claim to be entitled to a filing date. See Changes To 
Implement the Patent Law Treaty, 78 FR 62367, 62638 (Oct. 21, 2013) 
(final rule). This change was effective on December 18, 2013, and 
applies to any application filed under 35 U.S.C. 111 on or after 
December 18, 2013. However, if an application is filed without any 
claims, the Office of Patent Application Processing will issue a notice 
giving the applicant a two-month (extendable) time period within which 
to submit at least one claim in order to avoid abandonment (see 37 CFR 
1.53(f)). The Extended Missing Parts Pilot Program does not change this 
time period. In accordance with 35 U.S.C. 122(b), the USPTO will 
publish the application promptly after the expiration of 18 months from 
the earliest filing date for which benefit is sought. Therefore, the 
nonprovisional application should also be in condition for publication 
as provided in 37 CFR 1.211(c). The following are required in order for 
the nonprovisional application to be in condition for publication: (1) 
The basic filing fee; (2) the executed inventor's oath or declaration 
in compliance with 37 CFR 1.63 or an application data sheet containing 
the information specified in 37 CFR 1.63(b); (3) a specification in 
compliance with 37 CFR 1.52; (4) an abstract in compliance with 37 CFR 
1.72(b); (5) drawings in compliance with 37 CFR 1.84 (if applicable); 
(6) any application size fee required under 37 CFR 1.16(s); (7) any 
English translation required by 37 CFR 1.52(d); and (8) a sequence 
listing in compliance with 37 CFR 1.821-1.825 (if applicable). The 
USPTO also requires any compact disc requirements to be satisfied and 
an English translation of the provisional application to be filed in 
the provisional application if the provisional application was filed in 
a non-English language and a translation has not yet been filed. If the 
requirements for publication are not met, the applicant will need to 
satisfy the publication requirements within a two-month extendable time 
period.
    As noted above, applicants should request participation in the 
Extended Missing Parts Pilot Program by using Form PTO/AIA/421. For 
utility patent applications, the applicant may file the application and 
the certification and request electronically using the USPTO electronic 
filing system, EFS-Web, and selecting the document description of 
``Certification and Request for Missing Parts Pilot'' for the 
certification and request on the EFS-Web screen. Form PTO/AIA/421 is 
available on the USPTO Web site at http://www.uspto.gov/sites/default/files/forms/aia0421.pdf. Information regarding EFS-Web is available on 
the USPTO Web site at http://www.uspto.gov/patents-application-process/applying-online/about-efs-web.
    The utility application including the certification and request to 
participate in the pilot program may also be hand-carried to the USPTO 
or filed by mail, for example, by Priority Mail Express[supreg] in 
accordance with 37 CFR 1.10. However, applicants are advised that, 
effective November 15, 2011, as provided in the Leahy-Smith America 
Invents Act, a new additional fee of $400.00 for a non-small entity 
($200.00 for a small entity) is due for any nonprovisional utility 
patent application that is not filed by EFS-Web. See Public Law 112-29, 
Sec.  10(h), 125 Stat. 283, 319 (2011). This non-electronic filing fee 
is due on filing of the utility application or within the two-month 
(extendable) time period to reply to the Notice to File Missing Parts 
of Nonprovisional Application. Applicants will not be given the 12-
month time period to pay the non-electronic filing fee. Therefore, 
utility applicants are strongly encouraged to file their utility 
applications via EFS-Web to avoid this additional fee.
    For plant patent applications, the applicant must file the 
application including the certification and request to participate in 
the pilot program by mail or hand-carried to the USPTO since plant 
patent applications cannot be filed electronically using EFS-Web. See 
Legal Framework for Electronic Filing System--Web (EFS-Web), 74 FR 
55200 (Oct. 27, 2009), 1348 Off. Gaz. Pat. Office 394 (Nov. 24, 2009).
    II. Processing of Requests: If the applicant satisfies the 
requirements (discussed above) on filing of the nonprovisional 
application and the application is in condition for publication, the 
USPTO will send the applicant a Notice to File Missing Parts of 
Nonprovisional Application that sets a 12-month (non-extendable) time 
period to submit the search fee, the examination fee, any excess claims 
fees (under 37 CFR 1.16(h)-(j)), and the surcharge under 37 CFR 1.16(f) 
(for the late submission of the search fee and examination fee). The 
12-month time period will run from the mailing date, or notification 
date for e-Office Action participants, of the Notice to File Missing 
Parts. For information on the e-Office Action program, see Electronic 
Office Action, 1343 Off. Gaz. Pat. Office 45 (June 2, 2009), and http://www.uspto.gov/patents-application-process/checking-application-status/e-office-action-program. After an applicant files a timely reply to the 
Notice to File Missing Parts within the 12-month time period and the 
nonprovisional application is completed, the nonprovisional application 
will be placed in the examination queue based on the actual filing date 
of the nonprovisional application.
    For a detailed discussion regarding treatment of applications that 
are not in condition for publication, processing of improper requests 
to participate in the program, and treatment of authorizations to 
charge fees, see Pilot Program for Extended Time Period To Reply to a 
Notice to File Missing Parts of Nonprovisional Application, 75 FR 
76401, 76403-04 (Dec. 8, 2010), 1362

[[Page 80327]]

Off. Gaz. Pat. Office 44, 47-49 (Jan. 4, 2011).
    III. Important Reminders: Applicants are reminded that the 
disclosure of an invention in a provisional application should be as 
complete as possible because the claimed subject matter in the later-
filed nonprovisional application must have support in the provisional 
application in order for the applicant to obtain the benefit of the 
filing date of the provisional application.
    Furthermore, the nonprovisional application as originally filed 
must have a complete disclosure that complies with 35 U.S.C. 112(a) and 
is sufficient to support the claims submitted on filing and any claims 
submitted later during prosecution. New matter cannot be added to an 
application after the filing date of the application. See 35 U.S.C. 
132(a). In the rulemaking to implement the PLT and title II of the 
PLTIA, the Office provided that, in order to be accorded a filing date, 
a nonprovisional application (other than an application for a design 
patent) must include a specification with or without claims. See 
Changes To Implement the Patent Law Treaty, 78 FR 62367, 62369 (Oct. 
21, 2013) (final rule). This change was effective on December 18, 2013, 
and applies to any application filed under 35 U.S.C. 111 on or after 
December 18, 2013. Although a claim is not required in a nonprovisional 
application (other than an application for a design patent) for filing 
date purposes and the applicant may file an amendment adding additional 
claims as prescribed by 35 U.S.C. 112 and drawings as prescribed by 35 
U.S.C. 113 later during prosecution, the applicant should consider the 
benefits of submitting a complete set of claims and any necessary 
drawings on filing of the nonprovisional application. This would reduce 
the likelihood that any claims and/or drawings added later during 
prosecution might be found to contain new matter. Also, if a patent is 
granted and the patentee is successful in litigation against an 
infringer, provisional rights to a reasonable royalty under 35 U.S.C. 
154(d) may be available only if the claims that are published in the 
patent application publication are substantially identical to the 
patented claims that are infringed, assuming timely actual notice is 
provided. Thus, the importance of the claims that are included in the 
patent application publication should not be overlooked.
    Applicants are also advised that the extended missing parts period 
does not affect the 12-month priority period provided by the Paris 
Convention for the Protection of Industrial Property (Paris 
Convention). Accordingly, any foreign filings must, in most cases, 
still be made within 12 months of the filing date of the provisional 
application if the applicant wishes to rely on the provisional 
application in the foreign-filed application or if protection is 
desired in a country requiring filing within 12 months of the earliest 
application for which rights are left outstanding in order to be 
entitled to priority.
    For additional reminders, see Pilot Program for Extended Time 
Period To Reply to a Notice to File Missing Parts of Nonprovisional 
Application, 75 FR 76401, 76405 (Dec. 8, 2010), 1362 Off. Gaz. Pat. 
Office 44, 50 (Jan. 4, 2011).

    Dated: December 18, 2015.
Michelle K. Lee,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2015-32469 Filed 12-23-15; 8:45 am]
 BILLING CODE 3510-16-P



                                                                            Federal Register / Vol. 80, No. 247 / Thursday, December 24, 2015 / Notices                                           80325

                                                  state port-side monitoring data to                      benefits applicants by permitting                     Register. See Extension of the Extended
                                                  monitor the River herring/Shad catch                    additional time to determine if patent                Missing Parts Pilot Program, 76 FR
                                                  caps. They will review options for the                  protection should be sought—at a                      78246 (Dec. 16, 2011), 1374 Off. Gaz.
                                                  Atlantic herring fishery in the Omnibus                 relatively low cost—and by permitting                 Pat. Office 113 (Jan. 10, 2012); Extension
                                                  Industry-Funded Monitoring                              applicants to focus efforts on                        of the Extended Missing Parts Pilot
                                                  Amendment. They will also discuss 5-                    commercialization during this period.                 Program, 78 FR 2256 (Jan. 10, 2013),
                                                  year research priorities for Atlantic                   The Extended Missing Parts Pilot                      1387 Off. Gaz. Pat. Office 46 (Feb. 5,
                                                  herring (2017–2022). The panel will also                Program benefits the USPTO and the                    2013); Extension of Extended Missing
                                                  review a future action to consider                      public by adding publications to the                  Parts Pilot Program, 79 FR 642 (Jan. 6,
                                                  revising the haddock catch cap                          body of prior art, and by removing from               2014), 1398 Off. Gaz. Pat. Office 197
                                                  accountability measure. They will also                  the USPTO’s workload those                            (Jan. 28, 2014); Extension of Extended
                                                  discuss other business as necessary.                    nonprovisional applications for which                 Missing Parts Pilot Progam, 80 FR 1624
                                                     Although non-emergency issues not                    applicants later decide not to pursue                 (Jan. 13, 2015), 1412 Off. Gaz. Pat.
                                                  contained in this agenda may come                       examination. The USPTO is extending                   Office 211 (Mar. 24, 2015). The program
                                                  before this group for discussion, those                 the Extended Missing Parts Pilot                      is currently set to expire on December
                                                  issues may not be the subject of formal                 Program until December 31, 2016, to                   31, 2015.
                                                  action during this meeting. Action will                 allow for the USPTO to seek public                       Through this notice, the USPTO is
                                                  be restricted to those issues specifically              comment, via a subsequent notice to be                further extending the Extended Missing
                                                  listed in this notice and any issues                    published in the middle of 2016, on                   Parts Pilot Program until December 31,
                                                  arising after publication of this notice                whether the Extended Missing Parts                    2016. The USPTO may further extend
                                                  that require emergency action under                     Program offers sufficient benefits to the             the Extended Missing Parts Pilot
                                                  section 305(c) of the Magnuson-Stevens                  patent community for it to be made                    Program, or may discontinue the pilot
                                                  Act, provided the public has been                       permanent. The requirements of the                    program after December 31, 2016,
                                                  notified of the Council’s intent to take                program have not changed.                             depending on the results of the program.
                                                  final action to address the emergency.                  DATES: Duration: The Extended Missing                 The requirements of the program, which
                                                                                                          Parts Pilot Program will run through                  have not been modified, are reiterated
                                                  Special Accommodations                                                                                        below. Applicants are strongly
                                                                                                          December 31, 2016. Therefore, any
                                                    This meeting is physically accessible                 certification and request to participate              cautioned to review the pilot program
                                                  to people with disabilities. Requests for               in the Extended Missing Parts Pilot                   requirements before making a request to
                                                  sign language interpretation or other                   Program must be filed on or before                    participate in the Extended Missing
                                                  auxiliary aids should be directed to                    December 31, 2016. The USPTO may                      Parts Pilot Program.
                                                  Thomas A. Nies, Executive Director, at                                                                           The USPTO cautions all applicants
                                                                                                          further extend the pilot program (with
                                                  (978) 465–0492, at least 5 days prior to                                                                      that, in order to claim the benefit of a
                                                                                                          or without modifications) depending on
                                                  the meeting date.                                                                                             prior provisional application, the statute
                                                                                                          the feedback received and the continued
                                                                                                                                                                requires a nonprovisional application
                                                     Authority: 16 U.S.C. 1801 et seq.                    effectiveness of the pilot program.
                                                                                                                                                                filed under 35 U.S.C. 111(a) to be filed
                                                    Dated: December 21, 2015.                             FOR FURTHER INFORMATION CONTACT:                      within 12 months after the date on
                                                  Tracey L. Thompson,
                                                                                                          Eugenia A. Jones, Senior Legal Advisor,               which the corresponding provisional
                                                                                                          Office of Patent Legal Administration,                application was filed. See 35 U.S.C.
                                                  Acting Deputy Director, Office of Sustainable
                                                  Fisheries, National Marine Fisheries Service.
                                                                                                          Office of the Deputy Commissioner for                 119(e). It is essential that applicants
                                                                                                          Patent Examination Policy, by telephone               understand that the Extended Missing
                                                  [FR Doc. 2015–32432 Filed 12–23–15; 8:45 am]
                                                                                                          at (571) 272–7727, or by mail addressed               Parts Pilot Program cannot and does not
                                                  BILLING CODE 3510–22–P
                                                                                                          to: Mail Stop Comments—Patents,                       change this statutory requirement. Title
                                                                                                          Commissioner for Patents, P.O. Box                    II of the Patent Law Treaties
                                                                                                          1450, Alexandria, VA 22313–1450,                      Implementation Act of 2012 (PLTIA)
                                                  DEPARTMENT OF COMMERCE
                                                                                                          marked to the attention of Eugenia A.                 amended the provisions of title 35,
                                                  United States Patent and Trademark                      Jones.                                                United States Code, including 35 U.S.C.
                                                  Office                                                     Inquiries regarding this notice may be             119(e), to implement the Patent Law
                                                                                                          directed to the Office of Patent Legal                Treaty (PLT). See Public Law 112–211,
                                                  [Docket No.: PTO–P–2015–0079]                           Administration, by telephone at (571)                 §§ 20–203, 126 Stat. 1527, 1533–37
                                                                                                          272–7701, or by electronic mail at                    (2012). In the rulemaking to implement
                                                  Extension of the Extended Missing                       PatentPractice@uspto.gov.
                                                  Parts Pilot Program                                                                                           the PLT and title II of the PLTIA, the
                                                                                                          SUPPLEMENTARY INFORMATION: On                         Office provided that an applicant may
                                                  AGENCY: United States Patent and                        December 8, 2010, after considering                   file a petition under 37 CFR 1.78(b) to
                                                  Trademark Office, Commerce.                             written comments from the public, the                 restore the benefit of a provisional
                                                  ACTION: Notice.                                         USPTO changed the missing parts                       application filed up to fourteen months
                                                                                                          examination procedures in certain                     earlier. See Changes To Implement the
                                                  SUMMARY:    The United States Patent and                nonprovisional applications by                        Patent Law Treaty, 78 FR 62367, 62368–
                                                  Trademark Office (USPTO)                                implementing a pilot program (i.e.,                   69 (Oct. 21, 2013) (final rule). Any
                                                  implemented a pilot program (Extended                   Extended Missing Parts Pilot Program).                petition to restore the benefit of a
                                                  Missing Parts Pilot Program) in which                   See Pilot Program for Extended Time                   provisional application must include
mstockstill on DSK4VPTVN1PROD with NOTICES




                                                  an applicant, under certain conditions,                 Period To Reply to a Notice to File                   the benefit claim, the petition fee, and
                                                  can request a 12-month time period to                   Missing Parts of Nonprovisional                       a statement that the delay in filing the
                                                  pay the search fee, the examination fee,                Application, 75 FR 76401 (Dec. 8, 2010),              subsequent application was
                                                  any excess claim fees, and the surcharge                1362 Off. Gaz. Pat. Office 44 (Jan. 4,                unintentional. This change was effective
                                                  (for the late submission of the search fee              2011). The USPTO has previously                       on December 18, 2013, and applies to
                                                  and the examination fee) in a                           announced extensions of the Extended                  any application filed before, on, or after
                                                  nonprovisional application. The                         Missing Parts Pilot Program through                   December 18, 2013. However, if a
                                                  Extended Missing Parts Pilot Program                    notices published in the Federal                      nonprovisional application is filed


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                                                  80326                     Federal Register / Vol. 80, No. 247 / Thursday, December 24, 2015 / Notices

                                                  outside the 12 month period from the                    USPTO will publish the application                    application that is not filed by EFS-Web.
                                                  date on which the corresponding                         promptly after the expiration of 18                   See Public Law 112–29, § 10(h), 125
                                                  provisional application was filed, the                  months from the earliest filing date for              Stat. 283, 319 (2011). This non-
                                                  nonprovisional application is not                       which benefit is sought. Therefore, the               electronic filing fee is due on filing of
                                                  eligible for participation in the                       nonprovisional application should also                the utility application or within the two-
                                                  Extended Missing Parts Pilot Program,                   be in condition for publication as                    month (extendable) time period to reply
                                                  even though the applicant may be able                   provided in 37 CFR 1.211(c). The                      to the Notice to File Missing Parts of
                                                  to restore the benefit of the provisional               following are required in order for the               Nonprovisional Application. Applicants
                                                  application by submitting a petition                    nonprovisional application to be in                   will not be given the 12-month time
                                                  under 37 CFR 1.78(b).                                   condition for publication: (1) The basic              period to pay the non-electronic filing
                                                     I. Requirements: In order for an                     filing fee; (2) the executed inventor’s               fee. Therefore, utility applicants are
                                                  applicant to be provided a 12-month                     oath or declaration in compliance with                strongly encouraged to file their utility
                                                  (non-extendable) time period to pay the                 37 CFR 1.63 or an application data sheet              applications via EFS-Web to avoid this
                                                  search and examination fees and any                     containing the information specified in               additional fee.
                                                  required excess claims fees in response                 37 CFR 1.63(b); (3) a specification in                   For plant patent applications, the
                                                  to a Notice to File Missing Parts of                    compliance with 37 CFR 1.52; (4) an                   applicant must file the application
                                                  Nonprovisional Application under the                    abstract in compliance with 37 CFR                    including the certification and request
                                                  Extended Missing Parts Pilot Program,                   1.72(b); (5) drawings in compliance with              to participate in the pilot program by
                                                  the applicant must satisfy the following                37 CFR 1.84 (if applicable); (6) any                  mail or hand-carried to the USPTO
                                                  conditions: (1) The applicant must                      application size fee required under 37                since plant patent applications cannot
                                                  submit a certification and request to                   CFR 1.16(s); (7) any English translation              be filed electronically using EFS-Web.
                                                  participate in the Extended Missing                     required by 37 CFR 1.52(d); and (8) a                 See Legal Framework for Electronic
                                                  Parts Pilot Program with the                            sequence listing in compliance with 37                Filing System—Web (EFS-Web), 74 FR
                                                  nonprovisional application on filing,                   CFR 1.821–1.825 (if applicable). The                  55200 (Oct. 27, 2009), 1348 Off. Gaz.
                                                  preferably by using Form PTO/AIA/421,                   USPTO also requires any compact disc                  Pat. Office 394 (Nov. 24, 2009).
                                                  titled ‘‘Certification and Request for                  requirements to be satisfied and an                      II. Processing of Requests: If the
                                                  Extended Missing Parts Pilot Program’’;                 English translation of the provisional                applicant satisfies the requirements
                                                  (2) the application must be an original                 application to be filed in the provisional            (discussed above) on filing of the
                                                  (i.e., not a Reissue) nonprovisional                    application if the provisional                        nonprovisional application and the
                                                  utility or plant application filed under                application was filed in a non-English                application is in condition for
                                                  35 U.S.C. 111(a) within the duration of                 language and a translation has not yet                publication, the USPTO will send the
                                                  the pilot program; (3) the                              been filed. If the requirements for                   applicant a Notice to File Missing Parts
                                                  nonprovisional application must                         publication are not met, the applicant                of Nonprovisional Application that sets
                                                  directly claim the benefit under 35                     will need to satisfy the publication                  a 12-month (non-extendable) time
                                                  U.S.C. 119(e) and 37 CFR 1.78 of a prior                requirements within a two-month                       period to submit the search fee, the
                                                  provisional application filed within the                extendable time period.                               examination fee, any excess claims fees
                                                  previous 12 months, and the specific                       As noted above, applicants should                  (under 37 CFR 1.16(h)–(j)), and the
                                                  reference to the provisional application                request participation in the Extended                 surcharge under 37 CFR 1.16(f) (for the
                                                  must be in an application data sheet                    Missing Parts Pilot Program by using                  late submission of the search fee and
                                                  under 37 CFR 1.76 (see 37 CFR                           Form PTO/AIA/421. For utility patent                  examination fee). The 12-month time
                                                  1.78(a)(3)); and (4) the applicant must                 applications, the applicant may file the              period will run from the mailing date,
                                                  not have filed a nonpublication request.                application and the certification and                 or notification date for e-Office Action
                                                     As required for all nonprovisional                   request electronically using the USPTO                participants, of the Notice to File
                                                  applications, the applicant will need to                electronic filing system, EFS-Web, and                Missing Parts. For information on the e-
                                                  satisfy filing date requirements and                    selecting the document description of                 Office Action program, see Electronic
                                                  publication requirements. In the                        ‘‘Certification and Request for Missing               Office Action, 1343 Off. Gaz. Pat. Office
                                                  rulemaking to implement the PLT and                     Parts Pilot’’ for the certification and               45 (June 2, 2009), and http://
                                                  title II of the PLTIA, the Office provided              request on the EFS-Web screen. Form                   www.uspto.gov/patents-application-
                                                  that an application (other than an                      PTO/AIA/421 is available on the                       process/checking-application-status/e-
                                                  application for a design patent) filed on               USPTO Web site at http://                             office-action-program. After an
                                                  or after December 18, 2013, is not                      www.uspto.gov/sites/default/files/                    applicant files a timely reply to the
                                                  required to include a claim to be                       forms/aia0421.pdf. Information                        Notice to File Missing Parts within the
                                                  entitled to a filing date. See Changes To               regarding EFS-Web is available on the                 12-month time period and the
                                                  Implement the Patent Law Treaty, 78 FR                  USPTO Web site at http://                             nonprovisional application is
                                                  62367, 62638 (Oct. 21, 2013) (final rule).              www.uspto.gov/patents-application-                    completed, the nonprovisional
                                                  This change was effective on December                   process/applying-online/about-efs-web.                application will be placed in the
                                                  18, 2013, and applies to any application                   The utility application including the              examination queue based on the actual
                                                  filed under 35 U.S.C. 111 on or after                   certification and request to participate              filing date of the nonprovisional
                                                  December 18, 2013. However, if an                       in the pilot program may also be hand-                application.
                                                  application is filed without any claims,                carried to the USPTO or filed by mail,                   For a detailed discussion regarding
                                                  the Office of Patent Application                        for example, by Priority Mail Express®                treatment of applications that are not in
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                                                  Processing will issue a notice giving the               in accordance with 37 CFR 1.10.                       condition for publication, processing of
                                                  applicant a two-month (extendable)                      However, applicants are advised that,                 improper requests to participate in the
                                                  time period within which to submit at                   effective November 15, 2011, as                       program, and treatment of
                                                  least one claim in order to avoid                       provided in the Leahy-Smith America                   authorizations to charge fees, see Pilot
                                                  abandonment (see 37 CFR 1.53(f)). The                   Invents Act, a new additional fee of                  Program for Extended Time Period To
                                                  Extended Missing Parts Pilot Program                    $400.00 for a non-small entity ($200.00               Reply to a Notice to File Missing Parts
                                                  does not change this time period. In                    for a small entity) is due for any                    of Nonprovisional Application, 75 FR
                                                  accordance with 35 U.S.C. 122(b), the                   nonprovisional utility patent                         76401, 76403–04 (Dec. 8, 2010), 1362


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                                                                            Federal Register / Vol. 80, No. 247 / Thursday, December 24, 2015 / Notices                                          80327

                                                  Off. Gaz. Pat. Office 44, 47–49 (Jan. 4,                the Protection of Industrial Property                 information collection requirements of
                                                  2011).                                                  (Paris Convention). Accordingly, any                  the Final Rule.
                                                     III. Important Reminders: Applicants                 foreign filings must, in most cases, still            DATES: Comments must be submitted on
                                                  are reminded that the disclosure of an                  be made within 12 months of the filing                or before February 22, 2016.
                                                  invention in a provisional application                  date of the provisional application if the            ADDRESSES: You may submit comments,
                                                  should be as complete as possible                       applicant wishes to rely on the                       identified by ‘‘OMB Control No. 3038–
                                                  because the claimed subject matter in                   provisional application in the foreign-               0090; Records of Commodity Interest
                                                  the later-filed nonprovisional                          filed application or if protection is                 and Related Cash or Forward
                                                  application must have support in the                    desired in a country requiring filing                 Transactions Collection,’’ by any of the
                                                  provisional application in order for the                within 12 months of the earliest                      following methods:
                                                  applicant to obtain the benefit of the                  application for which rights are left                    • The Commission’s Web site, via its
                                                  filing date of the provisional                          outstanding in order to be entitled to                Comments Online process at http://
                                                  application.                                            priority.                                             comments.cftc.gov/. Follow the
                                                     Furthermore, the nonprovisional                         For additional reminders, see Pilot                instructions for submitting comments
                                                  application as originally filed must have               Program for Extended Time Period To                   through the Web site.
                                                  a complete disclosure that complies                     Reply to a Notice to File Missing Parts                  • Mail: Christopher Kirkpatrick,
                                                  with 35 U.S.C. 112(a) and is sufficient                 of Nonprovisional Application, 75 FR                  Secretary of the Commission,
                                                  to support the claims submitted on                      76401, 76405 (Dec. 8, 2010), 1362 Off.                Commodity Futures Trading
                                                  filing and any claims submitted later                   Gaz. Pat. Office 44, 50 (Jan. 4, 2011).               Commission, Three Lafayette Centre,
                                                  during prosecution. New matter cannot                     Dated: December 18, 2015.                           1155 21st Street NW., Washington, DC
                                                  be added to an application after the
                                                                                                          Michelle K. Lee,                                      20581.
                                                  filing date of the application. See 35                                                                           • Hand Delivery/Courier: Same as
                                                                                                          Under Secretary of Commerce for Intellectual
                                                  U.S.C. 132(a). In the rulemaking to                     Property and Director of the United States            Mail above.
                                                  implement the PLT and title II of the                   Patent and Trademark Office.                             • Federal eRulemaking Portal: http://
                                                  PLTIA, the Office provided that, in                                                                           www.regulations.gov/. Follow the
                                                                                                          [FR Doc. 2015–32469 Filed 12–23–15; 8:45 am]
                                                  order to be accorded a filing date, a                                                                         instructions for submitting comments
                                                                                                          BILLING CODE 3510–16–P
                                                  nonprovisional application (other than                                                                        through the Portal.
                                                  an application for a design patent) must                                                                         Please submit your comments using
                                                  include a specification with or without                                                                       only one method.
                                                  claims. See Changes To Implement the                    COMMODITY FUTURES TRADING
                                                                                                          COMMISSION                                               All comments must be submitted in
                                                  Patent Law Treaty, 78 FR 62367, 62369                                                                         English, or if not, accompanied by an
                                                  (Oct. 21, 2013) (final rule). This change               Agency Information Collection                         English translation. Comments will be
                                                  was effective on December 18, 2013, and                 Activities: Proposed Collection                       posted as received to http://
                                                  applies to any application filed under                  Revision, Comment Request: Final                      www.cftc.gov.
                                                  35 U.S.C. 111 on or after December 18,                  Rule for Records of Commodity
                                                  2013. Although a claim is not required                                                                        FOR FURTHER INFORMATION CONTACT:
                                                                                                          Interest and Related Cash or Forward                  Katherine Driscoll, Associate Chief
                                                  in a nonprovisional application (other                  Transactions
                                                  than an application for a design patent)                                                                      Counsel, (202) 418–5544, kdriscoll@
                                                  for filing date purposes and the                        AGENCY: Commodity Futures Trading                     cftc.gov; August A. Imholtz III, Special
                                                  applicant may file an amendment                         Commission.                                           Counsel, (202) 418–5140, aimholtz@
                                                  adding additional claims as prescribed                  ACTION: Notice.
                                                                                                                                                                cftc.gov; or Lauren Bennett, Special
                                                  by 35 U.S.C. 112 and drawings as                                                                              Counsel, (202) 418–5290, lbennett@
                                                  prescribed by 35 U.S.C. 113 later during                SUMMARY:    The Commodity Futures                     cftc.gov, Division of Swap Dealer and
                                                  prosecution, the applicant should                       Trading Commission (‘‘CFTC’’ or the                   Intermediary Oversight, Commodity
                                                  consider the benefits of submitting a                   ‘‘Commission’’) is announcing an                      Futures Trading Commission, 1155 21st
                                                  complete set of claims and any                          opportunity for public comment on the                 Street NW., Washington, DC 20581.
                                                  necessary drawings on filing of the                     proposed revision to the collection of                SUPPLEMENTARY INFORMATION: The Final
                                                  nonprovisional application. This would                  certain information by the Commission.                Rule amends Regulation 1.35(a). The
                                                  reduce the likelihood that any claims                   Under the Paperwork Reduction Act                     collections of information related to
                                                  and/or drawings added later during                      (‘‘PRA’’), Federal agencies are required              Regulation 1.35(a) have been previously
                                                  prosecution might be found to contain                   to publish notice in the Federal Register             reviewed and approved by OMB in
                                                  new matter. Also, if a patent is granted                concerning each proposed collection of                accordance with the PRA 1 and assigned
                                                  and the patentee is successful in                       information and to allow 60 days for                  OMB Control Number 3038–0090.
                                                  litigation against an infringer,                        public comment. The Commission                        Section 3506(c)(2)(A) of the PRA, 44
                                                  provisional rights to a reasonable                      recently adopted a final rule that                    U.S.C. 3506(c)(2)(A), requires Federal
                                                  royalty under 35 U.S.C. 154(d) may be                   amends the Commission Regulation                      agencies to provide a 60-day notice in
                                                  available only if the claims that are                   dealing with records of commodity                     the Federal Register concerning each
                                                  published in the patent application                     interest and related cash or forward                  proposed collection of information
                                                  publication are substantially identical to              transactions (the ‘‘Final Rule’’). The                before submitting the collection to OMB
                                                  the patented claims that are infringed,                 Final Rule modifies some of the                       for approval. To comply with this
                                                  assuming timely actual notice is                        recordkeeping requirements that apply                 requirement, the CFTC is publishing
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                                                  provided. Thus, the importance of the                   to certain participants in the markets                notice of the proposed revision to the
                                                  claims that are included in the patent                  regulated by the Commission. This                     collection of information listed below.
                                                  application publication should not be                   notice solicits additional comments on                   Title: Adaption of Regulations to
                                                  overlooked.                                             the PRA implications of the amended                   Incorporate Swaps—Records of
                                                     Applicants are also advised that the                 recordkeeping requirements that are set               Transactions (OMB Control No. 3038–
                                                  extended missing parts period does not                  forth in the Final Rule, including                    0090). This is a request for an extension
                                                  affect the 12-month priority period                     comments that address the burdens
                                                  provided by the Paris Convention for                    associated with the modified                            1 44   U.S.C. 3501 et seq.



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Document Created: 2015-12-24 02:25:47
Document Modified: 2015-12-24 02:25:47
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice.
DatesDuration: The Extended Missing Parts Pilot Program will run through December 31, 2016. Therefore, any certification and request to participate in the Extended Missing Parts Pilot Program must be filed on or before December 31, 2016. The USPTO may further extend the pilot program (with or without modifications) depending on the feedback received and the continued effectiveness of the pilot program.
ContactEugenia A. Jones, Senior Legal Advisor, Office of Patent Legal Administration, Office of the Deputy Commissioner for Patent Examination Policy, by telephone at (571) 272-
FR Citation80 FR 80325 

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