81_FR_93914 81 FR 93669 - Extension of the Extended Missing Parts Pilot Program

81 FR 93669 - Extension of the Extended Missing Parts Pilot Program

DEPARTMENT OF COMMERCE
Patent and Trademark Office

Federal Register Volume 81, Issue 245 (December 21, 2016)

Page Range93669-93671
FR Document2016-30733

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. While the USPTO has not yet completed its evaluation of the program, the number of participants in the program over the past several years indicates that there may be sufficient benefits to the patent community. Thus, the USPTO is extending the Extended Missing Parts Pilot Program until January 2, 2018, to allow the USPTO to continue its evaluation of the pilot program. The requirements of the program have not changed.

Federal Register, Volume 81 Issue 245 (Wednesday, December 21, 2016)
[Federal Register Volume 81, Number 245 (Wednesday, December 21, 2016)]
[Notices]
[Pages 93669-93671]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-30733]


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DEPARTMENT OF COMMERCE

 Patent and Trademark Office

[Docket No.: PTO-P-2016-0055]


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. While the USPTO has not yet completed its 
evaluation of the program, the number of participants in the program 
over the past several years indicates that there may be sufficient 
benefits to the patent community. Thus, the USPTO is extending the 
Extended Missing Parts Pilot Program until January 2, 2018, to allow 
the USPTO to continue its evaluation of the pilot program. The 
requirements of the program have not changed.

DATES: Duration: The Extended Missing Parts Pilot Program will run 
through January 2, 2018. Therefore, any certification and request to 
participate in the Extended Missing Parts Pilot Program must be filed 
on or before January 2, 2018. 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 Erin M. Harriman, Legal Advisor, Office of Patent Legal 
Administration, Office of the Deputy Commissioner for Patent 
Examination Policy, by telephone at (571) 272-7747.
    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]. Alternatively, mail may be 
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.

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). Over the 
course of the pilot program, the USPTO provided extensions of the 
Extended Missing Parts Pilot Program through notices published in the 
Federal Register. The most recent notice extended the program until 
December 31, 2016, to allow the USPTO time to seek public comment on 
whether the Extended Missing Parts Pilot Program offers sufficient 
benefits to the patent community for it to be made permanent. See 
Extension of Extended Missing Parts Pilot Program, 80 FR 80325 (Dec. 
24, 2015), 1422 Off. Gaz. Pat. Office 192 (Jan. 19, 2016).
    On September 6, 2016, the USPTO sought public comment on whether 
the Extended Missing Parts Pilot Program offers sufficient benefits to 
the patent community for it to be made permanent or whether the USPTO 
should permit the pilot program to expire. See Request for Comments on 
the Extended Missing Parts Pilot Program, 81 FR 61195 (Sept. 6, 2016), 
1430 Off. Gaz. Pat. Office 269 (Sept. 27, 2016). The USPTO received a 
total of two comments, and both comments appear to support the pilot 
program. The two comments are available via the USPTO's Internet Web 
site at https://www.uspto.gov/patent/laws-and-regulations/comments-public/comments-extended-missing-parts-pilot-program. While the USPTO 
has not yet completed its evaluation of the pilot program, the increase 
in the number of participants in the program over the past five years 
indicates that there may be sufficient benefits to the patent 
community. Thus, the USPTO is extending the Extended Missing Parts 
Pilot Program until January 2, 2018, to allow the USPTO to continue its 
evaluation of the pilot program.
    The requirements of the program, which have not been modified, are 
reiterated below. Applicants are strongly advised to review the pilot 
program requirements before making a request to participate in the 
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 cautions all applicants that, in order to claim the 
benefit of a prior provisional application, the statute

[[Page 93670]]

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.  20-203, 126 Stat. 1527, 1533-37 (2012). In the 
rulemaking to implement the PLT and title II of the PLTIA, the USPTO 
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 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 
USPTO 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, 
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

[[Page 93671]]

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 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 USPTO 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 15, 2016.
Michelle K. Lee,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2016-30733 Filed 12-20-16; 8:45 am]
 BILLING CODE 3510-16-P



                                                                             Federal Register / Vol. 81, No. 245 / Wednesday, December 21, 2016 / Notices                                           93669

                                                    interpretation or other ancillary aids, are             can request a 12-month time period to                 examination procedures in certain
                                                    asked to notify Mr. Reed at (202) 482–                  pay the search fee, the examination fee,              nonprovisional applications by
                                                    5955 or dreed@ntia.doc.gov at least ten                 any excess claim fees, and the surcharge              implementing a pilot program (i.e.,
                                                    (10) business days before the meeting.                  (for the late submission of the search fee            Extended Missing Parts Pilot Program).
                                                       Status: Interested parties are invited               and the examination fee) in a                         See Pilot Program for Extended Time
                                                    to attend and to submit written                         nonprovisional application. The                       Period To Reply to a Notice to File
                                                    comments to the Committee at any time                   Extended Missing Parts Pilot Program                  Missing Parts of Nonprovisional
                                                    before or after the meeting. Parties                    benefits applicants by permitting                     Application, 75 FR 76401 (Dec. 8, 2010),
                                                    wishing to submit written comments for                  additional time to determine if patent                1362 Off. Gaz. Pat. Office 44 (Jan. 4,
                                                    consideration by the Committee in                       protection should be sought—at a                      2011). Over the course of the pilot
                                                    advance of a meeting may send them via                  relatively low cost—and by permitting                 program, the USPTO provided
                                                    postal mail to Commerce Spectrum                        applicants to focus efforts on                        extensions of the Extended Missing
                                                    Management Advisory Committee,                          commercialization during this period.                 Parts Pilot Program through notices
                                                    National Telecommunications and                         The Extended Missing Parts Pilot                      published in the Federal Register. The
                                                    Information Administration, 1401                        Program benefits the USPTO and the                    most recent notice extended the
                                                    Constitution Avenue NW., Room 4600,                     public by adding publications to the                  program until December 31, 2016, to
                                                    Washington, DC 20230. It would be                       body of prior art, and by removing from               allow the USPTO time to seek public
                                                    helpful if paper submissions also                       the USPTO’s workload those                            comment on whether the Extended
                                                    include a compact disc (CD) that                        nonprovisional applications for which                 Missing Parts Pilot Program offers
                                                    contains the comments in Microsoft                      applicants later decide not to pursue                 sufficient benefits to the patent
                                                    Word and/or PDF file formats. CDs                       examination. While the USPTO has not                  community for it to be made permanent.
                                                    should be labeled with the name and                     yet completed its evaluation of the                   See Extension of Extended Missing Parts
                                                    organizational affiliation of the filer.                program, the number of participants in                Pilot Program, 80 FR 80325 (Dec. 24,
                                                    Alternatively, comments may be                          the program over the past several years               2015), 1422 Off. Gaz. Pat. Office 192
                                                    submitted via electronic mail to dreed@                 indicates that there may be sufficient                (Jan. 19, 2016).
                                                    ntia.doc.gov and should also be in one                  benefits to the patent community. Thus,                  On September 6, 2016, the USPTO
                                                    or both of the file formats specified                   the USPTO is extending the Extended                   sought public comment on whether the
                                                    above. Comments must be received five                   Missing Parts Pilot Program until                     Extended Missing Parts Pilot Program
                                                    (5) business days before the scheduled                  January 2, 2018, to allow the USPTO to                offers sufficient benefits to the patent
                                                    meeting date in order to provide                        continue its evaluation of the pilot                  community for it to be made permanent
                                                    sufficient time for review. Comments                    program. The requirements of the                      or whether the USPTO should permit
                                                    received after this date will be                        program have not changed.                             the pilot program to expire. See Request
                                                    distributed to the Committee, but may                   DATES: Duration: The Extended Missing                 for Comments on the Extended Missing
                                                    not be reviewed prior to the meeting.                   Parts Pilot Program will run through                  Parts Pilot Program, 81 FR 61195 (Sept.
                                                       Records: NTIA maintains records of                   January 2, 2018. Therefore, any                       6, 2016), 1430 Off. Gaz. Pat. Office 269
                                                    all Committee proceedings. Committee                    certification and request to participate              (Sept. 27, 2016). The USPTO received a
                                                    records are available for public                        in the Extended Missing Parts Pilot                   total of two comments, and both
                                                    inspection at NTIA’s Washington, DC                     Program must be filed on or before                    comments appear to support the pilot
                                                    office at the address above. Documents                  January 2, 2018. The USPTO may                        program. The two comments are
                                                    including the Committee’s charter,                      further extend the pilot program (with                available via the USPTO’s Internet Web
                                                    member list, agendas, minutes, and                      or without modifications) depending on                site at https://www.uspto.gov/patent/
                                                    reports are available on NTIA’s Web site                the feedback received and the continued               laws-and-regulations/comments-public/
                                                    at http://www.ntia.doc.gov/category/                    effectiveness of the pilot program.                   comments-extended-missing-parts-pilot-
                                                    csmac.                                                                                                        program. While the USPTO has not yet
                                                                                                            FOR FURTHER INFORMATION CONTACT:
                                                      Dated: December 15, 2016.                                                                                   completed its evaluation of the pilot
                                                                                                            Eugenia A. Jones, Senior Legal Advisor,
                                                                                                                                                                  program, the increase in the number of
                                                    Kathy D. Smith,                                         Office of Patent Legal Administration,
                                                                                                                                                                  participants in the program over the
                                                    Chief Counsel, National Telecommunications              Office of the Deputy Commissioner for
                                                                                                                                                                  past five years indicates that there may
                                                    and Information Administration.                         Patent Examination Policy, by telephone
                                                                                                                                                                  be sufficient benefits to the patent
                                                    [FR Doc. 2016–30679 Filed 12–20–16; 8:45 am]            at (571) 272–7727, or Erin M. Harriman,
                                                                                                                                                                  community. Thus, the USPTO is
                                                    BILLING CODE 3510–60–P                                  Legal Advisor, Office of Patent Legal
                                                                                                                                                                  extending the Extended Missing Parts
                                                                                                            Administration, Office of the Deputy
                                                                                                                                                                  Pilot Program until January 2, 2018, to
                                                                                                            Commissioner for Patent Examination
                                                                                                                                                                  allow the USPTO to continue its
                                                    DEPARTMENT OF COMMERCE                                  Policy, by telephone at (571) 272–7747.               evaluation of the pilot program.
                                                                                                               Inquiries regarding this notice may be                The requirements of the program,
                                                    Patent and Trademark Office                             directed to the Office of Patent Legal                which have not been modified, are
                                                    [Docket No.: PTO–P–2016–0055]                           Administration, by telephone at (571)                 reiterated below. Applicants are
                                                                                                            272–7701, or by electronic mail at                    strongly advised to review the pilot
                                                    Extension of the Extended Missing                       PatentPractice@uspto.gov.                             program requirements before making a
                                                    Parts Pilot Program                                     Alternatively, mail may be addressed to:              request to participate in the Extended
                                                                                                            Mail Stop Comments—Patents,                           Missing Parts Pilot Program. See Pilot
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                                                    AGENCY: United States Patent and                        Commissioner for Patents, P.O. Box
                                                    Trademark Office, Commerce.                                                                                   Program for Extended Time Period To
                                                                                                            1450, Alexandria, VA 22313–1450,                      Reply to a Notice To File Missing Parts
                                                    ACTION: Notice.                                         marked to the attention of Eugenia A.                 of Nonprovisional Application, 75 FR
                                                    SUMMARY:  The United States Patent and                  Jones.                                                76401 (Dec. 8, 2010), 1362 Off. Gaz. Pat.
                                                    Trademark Office (USPTO)                                SUPPLEMENTARY INFORMATION: On                         Office 44 (Jan. 4, 2011).
                                                    implemented a pilot program (Extended                   December 8, 2010, after considering                      The USPTO cautions all applicants
                                                    Missing Parts Pilot Program) in which                   written comments from the public, the                 that, in order to claim the benefit of a
                                                    an applicant, under certain conditions,                 USPTO changed the missing parts                       prior provisional application, the statute


                                               VerDate Sep<11>2014   18:38 Dec 20, 2016   Jkt 241001   PO 00000   Frm 00015   Fmt 4703   Sfmt 4703   E:\FR\FM\21DEN1.SGM   21DEN1


                                                    93670                    Federal Register / Vol. 81, No. 245 / Wednesday, December 21, 2016 / Notices

                                                    requires a nonprovisional application                   directly claim the benefit under 35                   publication are not met, the applicant
                                                    filed under 35 U.S.C. 111(a) to be filed                U.S.C. 119(e) and 37 CFR 1.78 of a prior              will need to satisfy the publication
                                                    within 12 months after the date on                      provisional application filed within the              requirements within a two-month
                                                    which the corresponding provisional                     previous 12 months, and the specific                  extendable time period.
                                                    application was filed. See 35 U.S.C.                    reference to the provisional application                 As noted above, applicants should
                                                    119(e). It is essential that applicants                 must be in an application data sheet                  request participation in the Extended
                                                    understand that the Extended Missing                    under 37 CFR 1.76 (see 37 CFR                         Missing Parts Pilot Program by using
                                                    Parts Pilot Program cannot and does not                 1.78(a)(3)); and (4) the applicant must               Form PTO/AIA/421. For utility patent
                                                    change this statutory requirement. Title                not have filed a nonpublication request.              applications, the applicant may file the
                                                    II of the Patent Law Treaties                              As required for all nonprovisional                 application and the certification and
                                                    Implementation Act of 2012 (PLTIA)                      applications, the applicant will need to              request electronically using the USPTO
                                                    amended the provisions of title 35,                     satisfy filing date requirements and                  electronic filing system, EFS-Web, and
                                                    United States Code, including 35 U.S.C.                 publication requirements. In the                      selecting the document description of
                                                    119(e), to implement the Patent Law                     rulemaking to implement the PLT and                   ‘‘Certification and Request for Missing
                                                    Treaty (PLT). See Public Law 112–211,                   title II of the PLTIA, the USPTO                      Parts Pilot’’ for the certification and
                                                    § 20–203, 126 Stat. 1527, 1533–37                       provided that an application (other than              request on the EFS-Web screen. Form
                                                    (2012). In the rulemaking to implement                  an application for a design patent) filed             PTO/AIA/421 is available on the
                                                    the PLT and title II of the PLTIA, the                  on or after December 18, 2013, is not                 USPTO Web site at http://
                                                    USPTO provided that an applicant may                                                                          www.uspto.gov/sites/default/files/
                                                                                                            required to include a claim to be
                                                    file a petition under 37 CFR 1.78(b) to                                                                       forms/aia0421.pdf. Information
                                                                                                            entitled to a filing date. See Changes To
                                                    restore the benefit of a provisional                                                                          regarding EFS-Web is available on the
                                                                                                            Implement the Patent Law Treaty, 78 FR
                                                    application filed up to fourteen months                                                                       USPTO Web site at http://
                                                                                                            62367, 62638 (Oct. 21, 2013) (final rule).
                                                    earlier. See Changes To Implement the                                                                         www.uspto.gov/patents-application-
                                                                                                            This change was effective on December
                                                    Patent Law Treaty, 78 FR 62367, 62368–                                                                        process/applying-online/about-efs-web.
                                                                                                            18, 2013, and applies to any application                 The utility application including the
                                                    69 (Oct. 21, 2013) (final rule). Any                    filed under 35 U.S.C. 111 on or after
                                                    petition to restore the benefit of a                                                                          certification and request to participate
                                                                                                            December 18, 2013. However, if an                     in the pilot program may also be hand-
                                                    provisional application must include                    application is filed without any claims,
                                                    the benefit claim, the petition fee, and                                                                      carried to the USPTO or filed by mail,
                                                                                                            the Office of Patent Application                      for example, by Priority Mail Express®
                                                    a statement that the delay in filing the                Processing will issue a notice giving the
                                                    subsequent application was                                                                                    in accordance with 37 CFR 1.10.
                                                                                                            applicant a two-month (extendable)                    However, applicants are advised that,
                                                    unintentional. This change was effective                time period within which to submit at
                                                    on December 18, 2013, and applies to                                                                          effective November 15, 2011, as
                                                                                                            least one claim in order to avoid                     provided in the Leahy-Smith America
                                                    any application filed before, on, or after              abandonment (see 37 CFR 1.53(f)). The                 Invents Act, a new additional fee of
                                                    December 18, 2013. However, if a                        Extended Missing Parts Pilot Program                  $400.00 for a non-small entity ($200.00
                                                    nonprovisional application is filed                     does not change this time period. In                  for a small entity) is due for any
                                                    outside the 12 month period from the                    accordance with 35 U.S.C. 122(b), the                 nonprovisional utility patent
                                                    date on which the corresponding                         USPTO will publish the application                    application that is not filed by EFS-Web.
                                                    provisional application was filed, the                  promptly after the expiration of 18                   See Public Law 112–29, 10(h), 125 Stat.
                                                    nonprovisional application is not                       months from the earliest filing date for              283, 319 (2011). This non-electronic
                                                    eligible for participation in the                       which benefit is sought. Therefore, the               filing fee is due on filing of the utility
                                                    Extended Missing Parts Pilot Program,                   nonprovisional application should also                application or within the two-month
                                                    even though the applicant may be able                   be in condition for publication as                    (extendable) time period to reply to the
                                                    to restore the benefit of the provisional               provided in 37 CFR 1.211(c). The                      Notice to File Missing Parts of
                                                    application by submitting a petition                    following are required in order for the               Nonprovisional Application. Applicants
                                                    under 37 CFR 1.78(b).                                   nonprovisional application to be in                   will not be given the 12-month time
                                                       I. Requirements: In order for an                     condition for publication: (1) The basic              period to pay the non-electronic filing
                                                    applicant to be provided a 12-month                     filing fee; (2) the executed inventor’s               fee. Therefore, utility applicants are
                                                    (non-extendable) time period to pay the                 oath or declaration in compliance with                strongly encouraged to file their utility
                                                    search and examination fees and any                     37 CFR 1.63 or an application data sheet              applications via EFS-Web to avoid this
                                                    required excess claims fees in response                 containing the information specified in               additional fee.
                                                    to a Notice to File Missing Parts of                    37 CFR 1.63(b); (3) a specification in                   For plant patent applications, the
                                                    Nonprovisional Application under the                    compliance with 37 CFR 1.52; (4) an                   applicant must file the application
                                                    Extended Missing Parts Pilot Program,                   abstract in compliance with 37 CFR                    including the certification and request
                                                    the applicant must satisfy the following                1.72(b); (5) drawings in compliance with              to participate in the pilot program by
                                                    conditions: (1) The applicant must                      37 CFR 1.84 (if applicable); (6) any                  mail or hand-carried to the USPTO
                                                    submit a certification and request to                   application size fee required under 37                since plant patent applications cannot
                                                    participate in the Extended Missing                     CFR 1.16(s); (7) any English translation              be filed electronically using EFS-Web.
                                                    Parts Pilot Program with the                            required by 37 CFR 1.52(d); and (8) a                 See Legal Framework for Electronic
                                                    nonprovisional application on filing,                   sequence listing in compliance with 37                Filing System—Web (EFS-Web), 74 FR
                                                    preferably by using Form PTO/AIA/421,                   CFR 1.821–1.825 (if applicable). The                  55200 (Oct. 27, 2009), 1348 Off. Gaz.
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                                                    titled ‘‘Certification and Request for                  USPTO also requires any compact disc                  Pat. Office 394 (Nov. 24, 2009).
                                                    Extended Missing Parts Pilot Program’’;                 requirements to be satisfied and an                      II. Processing of Requests: If the
                                                    (2) the application must be an original                 English translation of the provisional                applicant satisfies the requirements
                                                    (i.e., not a Reissue) nonprovisional                    application to be filed in the provisional            (discussed above) on filing of the
                                                    utility or plant application filed under                application if the provisional                        nonprovisional application and the
                                                    35 U.S.C. 111(a) within the duration of                 application was filed in a non-English                application is in condition for
                                                    the pilot program; (3) the                              language and a translation has not yet                publication, the USPTO will send the
                                                    nonprovisional application must                         been filed. If the requirements for                   applicant a Notice to File Missing Parts


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                                                                             Federal Register / Vol. 81, No. 245 / Wednesday, December 21, 2016 / Notices                                           93671

                                                    of Nonprovisional Application that sets                 was effective on December 18, 2013, and               DEPARTMENT OF EDUCATION
                                                    a 12-month (non-extendable) time                        applies to any application filed under
                                                    period to submit the search fee, the                    35 U.S.C. 111 on or after December 18,                Applications for New Awards;
                                                    examination fee, any excess claims fees                 2013. Although a claim is not required                Supporting Effective Educator
                                                    (under 37 CFR 1.16(h)–(j)), and the                     in a nonprovisional application (other                Development Grant Program
                                                    surcharge under 37 CFR 1.16(f) (for the                 than an application for a design patent)              AGENCY: Office of Innovation and
                                                    late submission of the search fee and                   for filing date purposes and the                      Improvement, Department of Education.
                                                    examination fee). The 12-month time                     applicant may file an amendment
                                                    period will run from the mailing date,                                                                        ACTION: Notice.
                                                                                                            adding additional claims as prescribed
                                                    or notification date for e-Office Action                                                                         Overview Information:
                                                                                                            by 35 U.S.C. 112 and drawings as
                                                    participants, of the Notice to File
                                                                                                            prescribed by 35 U.S.C. 113 later during              Supporting Effective Educator
                                                    Missing Parts. For information on the e-
                                                    Office Action program, see Electronic                   prosecution, the applicant should                        Development (SEED) Grant Program
                                                    Office Action, 1343 Off. Gaz. Pat. Office               consider the benefits of submitting a                    Notice inviting applications for new
                                                    45 (June 2, 2009), and http://                          complete set of claims and any                        awards for fiscal year (FY) 2016.
                                                    www.uspto.gov/patents-application-                      necessary drawings on filing of the                   Catalog of Federal Domestic Assistance
                                                    process/checking-application-status/e-                  nonprovisional application. This would                   (CFDA) Number: 84.367D
                                                    office-action-program. After an                         reduce the likelihood that any claims                    Dates:
                                                    applicant files a timely reply to the                   and/or drawings added later during                       Applications Available: December 21,
                                                    Notice to File Missing Parts within the                 prosecution might be found to contain                 2016.
                                                    12-month time period and the                            new matter. Also, if a patent is granted                 Deadline for Notice of Intent to Apply:
                                                    nonprovisional application is                           and the patentee is successful in                     January 20, 2017.
                                                    completed, the nonprovisional                           litigation against an infringer,                         Date of Informational Webinar: The
                                                    application will be placed in the                       provisional rights to a reasonable                    SEED program intends to hold a
                                                    examination queue based on the actual                   royalty under 35 U.S.C. 154(d) may be                 Webinar designed to provide technical
                                                    filing date of the nonprovisional                       available only if the claims that are                 assistance to interested applicants.
                                                    application.                                            published in the patent application                   Detailed information regarding this
                                                       For a detailed discussion regarding                  publication are substantially identical to            Webinar will be provided on the SEED
                                                    treatment of applications that are not in               the patented claims that are infringed,               Web site at http://innovation.ed.gov/
                                                    condition for publication, processing of                                                                      what-we-do/teacher-quality/supporting-
                                                                                                            assuming timely actual notice is
                                                    improper requests to participate in the                                                                       effective-educator-development-grant-
                                                    program, and treatment of                               provided. Thus, the importance of the
                                                                                                            claims that are included in the patent                program/.
                                                    authorizations to charge fees, see Pilot                                                                         Deadline for Transmittal of
                                                    Program for Extended Time Period To                     application publication should not be
                                                                                                            overlooked.                                           Applications: March 7, 2017.
                                                    Reply to a Notice to File Missing Parts                                                                          Deadline for Intergovernmental
                                                    of Nonprovisional Application, 75 FR                       Applicants are also advised that the               Review: April 20, 2017.
                                                    76401, 76403–04 (Dec. 8, 2010), 1362                    extended missing parts period does not
                                                    Off. Gaz. Pat. Office 44, 47–49 (Jan. 4,                affect the 12-month priority period                   Full Text of Announcement
                                                    2011).                                                  provided by the Paris Convention for                  I. Funding Opportunity Description
                                                       III. Important Reminders: Applicants                 the Protection of Industrial Property
                                                    are reminded that the disclosure of an                                                                           Purpose of Program: The SEED
                                                                                                            (Paris Convention). Accordingly, any                  program provides funding for grants to
                                                    invention in a provisional application                  foreign filings must, in most cases, still
                                                    should be as complete as possible                                                                             National Not-for-Profit Organizations for
                                                                                                            be made within 12 months of the filing                projects that support teacher or
                                                    because the claimed subject matter in
                                                                                                            date of the provisional application if the            principal training or professional
                                                    the later-filed nonprovisional
                                                    application must have support in the                    applicant wishes to rely on the                       enhancement activities and that are
                                                    provisional application in order for the                provisional application in the foreign-               supported by at least Moderate Evidence
                                                    applicant to obtain the benefit of the                  filed application or if protection is                 of Effectiveness. The purpose of the
                                                    filing date of the provisional                          desired in a country requiring filing                 program is to increase the number of
                                                    application.                                            within 12 months of the earliest                      Highly Effective Teachers and
                                                       Furthermore, the nonprovisional                      application for which rights are left                 Principals by developing or expanding
                                                    application as originally filed must have               outstanding in order to be entitled to                the implementation of practices that are
                                                    a complete disclosure that complies                     priority.                                             demonstrated to have an impact on
                                                    with 35 U.S.C. 112(a) and is sufficient                    For additional reminders, see Pilot                improving Student Achievement or
                                                    to support the claims submitted on                      Program for Extended Time Period To                   Student Growth. These grants will allow
                                                    filing and any claims submitted later                   Reply to a Notice to File Missing Parts               eligible entities to develop, expand, and
                                                    during prosecution. New matter cannot                                                                         evaluate practices that can serve as
                                                                                                            of Nonprovisional Application, 75 FR
                                                    be added to an application after the                                                                          models that can be sustained and
                                                                                                            76401, 76405 (Dec. 8, 2010), 1362 Off.
                                                    filing date of the application. See 35                                                                        disseminated.
                                                    U.S.C. 132(a). In the rulemaking to                     Gaz. Pat. Office 44, 50 (Jan. 4, 2011).                  Please note that on December 10,
                                                    implement the PLT and title II of the                     Dated: December 15, 2016.                           2015, President Obama signed into law
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                                                    PLTIA, the USPTO provided that, in                      Michelle K. Lee,                                      the Every Student Succeeds Act (ESSA),
                                                    order to be accorded a filing date, a                   Under Secretary of Commerce for Intellectual          which reauthorized the Elementary and
                                                    nonprovisional application (other than                  Property and Director of the United States            Secondary Education Act of 1965
                                                    an application for a design patent) must                Patent and Trademark Office.                          (ESEA). ESSA provided specific
                                                    include a specification with or without                 [FR Doc. 2016–30733 Filed 12–20–16; 8:45 am]          statutory authority for the SEED
                                                    claims. See Changes To Implement the                                                                          program, under section 2242, for grant
                                                                                                            BILLING CODE 3510–16–P
                                                    Patent Law Treaty, 78 FR 62367, 62369                                                                         competitions beginning with funds
                                                    (Oct. 21, 2013) (final rule). This change                                                                     appropriated for FY 2017. Accordingly,


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Document Created: 2018-02-14 09:11:35
Document Modified: 2018-02-14 09:11:35
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 January 2, 2018. Therefore, any certification and request to participate in the Extended Missing Parts Pilot Program must be filed on or before January 2, 2018. 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- 7727, or Erin M. Harriman, Legal Advisor, Office of Patent Legal Administration, Office of the Deputy Commissioner for Patent Examination Policy, by telephone at (571) 272-7747.
FR Citation81 FR 93669 

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