83_FR_1250 83 FR 1243 - Extension of the Extended Missing Parts Pilot Program

83 FR 1243 - Extension of the Extended Missing Parts Pilot Program

DEPARTMENT OF COMMERCE
United States Patent and Trademark Office

Federal Register Volume 83, Issue 7 (January 10, 2018)

Page Range1243-1245
FR Document2018-00270

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 providing 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 January 2, 2019, to allow the USPTO to continue its evaluation of the pilot program. The requirements of the program have not changed.

Federal Register, Volume 83 Issue 7 (Wednesday, January 10, 2018)
[Federal Register Volume 83, Number 7 (Wednesday, January 10, 2018)]
[Notices]
[Pages 1243-1245]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-00270]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No.: PTO-P-2017-0052]


Extension of the Extended Missing Parts Pilot Program

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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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 providing 
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 January 2, 2019, 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, 2019. Therefore, any certification and request to 
participate in the Extended Missing Parts Pilot Program must be filed 
on or before January 2, 2019. In addition, any certification and 
request to participate in the Extended Missing Parts Pilot Program 
filed between January 2, 2018, and the publication date of this notice 
will be considered timely. The USPTO intends to make a decision before 
January 2, 2019, 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 program to expire.

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, Senior 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 
January 2, 2018. See Extension of Extended Missing Parts Pilot Program, 
81 FR 93669 (Dec. 21, 2016), 1434 Off. Gaz. Pat. Office 187 (Jan. 17, 
2017).
    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 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 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,

[[Page 1244]]

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 (as prescribed by 35 U.S.C. 112) 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 use Form PTO/AIA/421 to request 
participation in the Extended Missing Parts Pilot Program. 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 website at http://www.uspto.gov/sites/default/files/forms/aia0421.pdf. Information regarding EFS-Web is available on 
the USPTO website 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-carry 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 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

[[Page 1245]]

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, in most cases, any foreign filings must 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: January 5, 2018.
Joseph D. Matal,
Associate Solicitor, performing the functions and duties of the Under 
Secretary of Commerce for Intellectual Property and Director of the 
United States Patent and Trademark Office.
[FR Doc. 2018-00270 Filed 1-9-18; 8:45 am]
 BILLING CODE 3510-16-P



                                                                           Federal Register / Vol. 83, No. 7 / Wednesday, January 10, 2018 / Notices                                              1243

                                                 (b) The accuracy of the agency’s                      in the Extended Missing Parts Pilot                    Program for Extended Time Period To
                                               estimate of the burden (including hours                 Program must be filed on or before                     Reply to a Notice to File Missing Parts
                                               and cost) of the proposed collection of                 January 2, 2019. In addition, any                      of Nonprovisional Application, 75 FR
                                               information;                                            certification and request to participate               76401 (Dec. 8, 2010), 1362 Off. Gaz. Pat.
                                                 (c) Ways to enhance the quality,                      in the Extended Missing Parts Pilot                    Office 44 (Jan. 4, 2011). The USPTO
                                               utility, and clarity of the information to              Program filed between January 2, 2018,                 cautions all applicants that, in order to
                                               be collected; and                                       and the publication date of this notice                claim the benefit of a prior provisional
                                                 (d) Ways to minimize the burden of                    will be considered timely. The USPTO                   application, the statute requires a
                                               the collection of information on                        intends to make a decision before                      nonprovisional application filed under
                                               respondents, e.g., the use of automated                 January 2, 2019, on whether the                        35 U.S.C. 111(a) to be filed within 12
                                               collection techniques or other forms of                 Extended Missing Parts Pilot Program                   months after the date on which the
                                               information technology.                                 offers sufficient benefits to the patent               corresponding provisional application
                                                                                                       community for it to be made permanent                  was filed. See 35 U.S.C. 119(e). It is
                                               Marcie Lovett,
                                                                                                       or whether the USPTO should permit                     essential that applicants understand that
                                               Records and Information Governance                      the program to expire.                                 the Extended Missing Parts Pilot
                                               Division Director, OCTO, United States Patent
                                               and Trademark Office.                                   FOR FURTHER INFORMATION CONTACT:                       Program cannot and does not change
                                                                                                       Eugenia A. Jones, Senior Legal Advisor,                this statutory requirement. Title II of the
                                               [FR Doc. 2018–00265 Filed 1–9–18; 8:45 am]
                                                                                                       Office of Patent Legal Administration,                 Patent Law Treaties Implementation Act
                                               BILLING CODE 3510–16–P
                                                                                                       Office of the Deputy Commissioner for                  of 2012 (PLTIA) amended the provisions
                                                                                                       Patent Examination Policy, by telephone                of title 35, United States Code,
                                               DEPARTMENT OF COMMERCE                                  at (571) 272–7727, or Erin M. Harriman,                including 35 U.S.C. 119(e), to
                                                                                                       Senior Legal Advisor, Office of Patent                 implement the Patent Law Treaty (PLT).
                                               United States Patent and Trademark                      Legal Administration, Office of the                    See Public Law 112–211, §§ 20–203, 126
                                               Office                                                  Deputy Commissioner for Patent                         Stat. 1527, 1533–37 (2012). In the
                                                                                                       Examination Policy, by telephone at                    rulemaking to implement the PLT and
                                               [Docket No.: PTO–P–2017–0052]                           (571) 272–7747.                                        title II of the PLTIA, the USPTO
                                                                                                          Inquiries regarding this notice may be              provided that an applicant may file a
                                               Extension of the Extended Missing
                                                                                                       directed to the Office of Patent Legal                 petition under 37 CFR 1.78(b) to restore
                                               Parts Pilot Program
                                                                                                       Administration, by telephone at (571)                  the benefit of a provisional application
                                               AGENCY: United States Patent and                        272–7701, or by electronic mail at                     filed up to fourteen months earlier. See
                                               Trademark Office, Commerce.                             PatentPractice@uspto.gov.                              Changes To Implement the Patent Law
                                               ACTION: Notice.                                         Alternatively, mail may be addressed to:               Treaty, 78 FR 62367, 62368–69 (Oct. 21,
                                                                                                       Mail Stop Comments—Patents,                            2013) (final rule). Any petition to restore
                                               SUMMARY:    The United States Patent and                Commissioner for Patents, P.O. Box                     the benefit of a provisional application
                                               Trademark Office (USPTO)                                1450, Alexandria, VA 22313–1450,                       must include the benefit claim, the
                                               implemented a pilot program (Extended                   marked to the attention of Eugenia A.                  petition fee, and a statement that the
                                               Missing Parts Pilot Program) in which                   Jones.                                                 delay in filing the subsequent
                                               an applicant, under certain conditions,                 SUPPLEMENTARY INFORMATION: On                          application was unintentional. This
                                               can request a 12-month time period to                   December 8, 2010, after considering                    change was effective on December 18,
                                               pay the search fee, the examination fee,                written comments from the public, the                  2013, and applies to any application
                                               any excess claim fees, and the surcharge                USPTO changed the missing parts                        filed before, on, or after December 18,
                                               (for the late submission of the search fee              examination procedures in certain                      2013. However, if a nonprovisional
                                               and the examination fee) in a                           nonprovisional applications by                         application is filed outside the 12-
                                               nonprovisional application. The                         implementing a pilot program (i.e.,                    month period from the date on which
                                               Extended Missing Parts Pilot Program                    Extended Missing Parts Pilot Program).                 the corresponding provisional
                                               benefits applicants by providing                        See Pilot Program for Extended Time                    application was filed, the
                                               additional time to determine if patent                  Period To Reply to a Notice to File                    nonprovisional application is not
                                               protection should be sought—at a                        Missing Parts of Nonprovisional                        eligible for participation in the
                                               relatively low cost—and by permitting                   Application, 75 FR 76401 (Dec. 8, 2010),               Extended Missing Parts Pilot Program,
                                               applicants to focus efforts on                          1362 Off. Gaz. Pat. Office 44 (Jan. 4,                 even though the applicant may be able
                                               commercialization during this period.                   2011). Over the course of the pilot                    to restore the benefit of the provisional
                                               The Extended Missing Parts Pilot                        program, the USPTO provided                            application by submitting a petition
                                               Program benefits the USPTO and the                      extensions of the Extended Missing                     under 37 CFR 1.78(b).
                                               public by adding publications to the                    Parts Pilot Program through notices                       I. Requirements: In order for an
                                               body of prior art, and by removing from                 published in the Federal Register. The                 applicant to be provided a 12-month
                                               the USPTO’s workload those                              most recent notice extended the                        (non-extendable) time period to pay the
                                               nonprovisional applications for which                   program until January 2, 2018. See                     search and examination fees and any
                                               applicants later decide not to pursue                   Extension of Extended Missing Parts                    required excess claims fees in response
                                               examination. The USPTO is extending                     Pilot Program, 81 FR 93669 (Dec. 21,                   to a Notice to File Missing Parts of
                                               the Extended Missing Parts Pilot                        2016), 1434 Off. Gaz. Pat. Office 187                  Nonprovisional Application under the
                                               Program until January 2, 2019, to allow                 (Jan. 17, 2017).                                       Extended Missing Parts Pilot Program,
daltland on DSKBBV9HB2PROD with NOTICES




                                               the USPTO to continue its evaluation of                    The requirements of the program,                    the applicant must satisfy the following
                                               the pilot program. The requirements of                  which have not been modified, are                      conditions: (1) The applicant must
                                               the program have not changed.                           reiterated below. Applicants are                       submit a certification and request to
                                               DATES: Duration: The Extended Missing                   strongly advised to review the pilot                   participate in the Extended Missing
                                               Parts Pilot Program will run through                    program requirements before making a                   Parts Pilot Program with the
                                               January 2, 2019. Therefore, any                         request to participate in the Extended                 nonprovisional application on filing,
                                               certification and request to participate                Missing Parts Pilot Program. See Pilot                 preferably by using Form PTO/AIA/421,


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                                               1244                        Federal Register / Vol. 83, No. 7 / Wednesday, January 10, 2018 / Notices

                                               titled ‘‘Certification and Request for                  CFR 1.821–1.825 (if applicable). The                   (Oct. 27, 2009), 1348 Off. Gaz. Pat.
                                               Extended Missing Parts Pilot Program’’;                 USPTO also requires any compact disc                   Office 394 (Nov. 24, 2009).
                                               (2) the application must be an original                 requirements to be satisfied and an                       II. Processing of Requests: If the
                                               (i.e., not a Reissue) nonprovisional                    English translation of the provisional                 applicant satisfies the requirements
                                               utility or plant application filed under                application to be filed in the provisional             (discussed above) on filing of the
                                               35 U.S.C. 111(a) within the duration of                 application if the provisional                         nonprovisional application and the
                                               the pilot program; (3) the                              application was filed in a non-English                 application is in condition for
                                               nonprovisional application must                         language and a translation has not yet                 publication, the USPTO will send the
                                               directly claim the benefit under 35                     been filed. If the requirements for                    applicant a Notice to File Missing Parts
                                               U.S.C. 119(e) and 37 CFR 1.78 of a prior                publication are not met, the applicant                 of Nonprovisional Application that sets
                                               provisional application filed within the                will need to satisfy the publication                   a 12-month (non-extendable) time
                                               previous 12 months, and the specific                    requirements within a two-month                        period to submit the search fee, the
                                               reference to the provisional application                extendable time period.                                examination fee, any excess claims fees
                                               must be in an application data sheet                       As noted above, applicants should use               (under 37 CFR 1.16(h)–(j)), and the
                                               under 37 CFR 1.76 (see 37 CFR                           Form PTO/AIA/421 to request                            surcharge under 37 CFR 1.16(f) (for the
                                               1.78(a)(3)); and (4) the applicant must                 participation in the Extended Missing                  late submission of the search fee and
                                               not have filed a nonpublication request.                Parts Pilot Program. For utility patent                examination fee). The 12-month time
                                                  As required for all nonprovisional                   applications, the applicant may file the               period will run from the mailing date,
                                                                                                       application and the certification and                  or notification date for e-Office Action
                                               applications, the applicant will need to
                                                                                                       request electronically using the USPTO                 participants, of the Notice to File
                                               satisfy filing date requirements and
                                                                                                       electronic filing system, EFS-Web, and                 Missing Parts. For information on the e-
                                               publication requirements. In the
                                                                                                       selecting the document description of                  Office Action program, see Electronic
                                               rulemaking to implement the PLT and
                                                                                                       ‘‘Certification and Request for Missing                Office Action, 1343 Off. Gaz. Pat. Office
                                               title II of the PLTIA, the USPTO
                                                                                                       Parts Pilot’’ for the certification and                45 (June 2, 2009), and http://
                                               provided that an application (other than
                                                                                                       request on the EFS-Web screen. Form                    www.uspto.gov/patents-application-
                                               an application for a design patent) filed
                                                                                                       PTO/AIA/421 is available on the                        process/checking-application-status/e-
                                               on or after December 18, 2013, is not
                                                                                                       USPTO website at http://                               office-action-program. After an
                                               required to include a claim (as
                                                                                                       www.uspto.gov/sites/default/files/                     applicant files a timely reply to the
                                               prescribed by 35 U.S.C. 112) 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 website 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
                                               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
                                               USPTO will publish the application                      application that is not filed by EFS-Web.              Off. Gaz. Pat. Office 44, 47–49 (Jan. 4,
                                               promptly after the expiration of 18                     See Public Law 112–29, 10(h), 125 Stat.                2011).
                                               months from the earliest filing date for                283, 319 (2011). This non-electronic                      III. Important Reminders: Applicants
                                               which benefit is sought. Therefore, the                 filing fee is due on filing of the utility             are reminded that the disclosure of an
                                               nonprovisional application should also                  application or within the two-month                    invention in a provisional application
                                               be in condition for publication as                      (extendable) time period to reply to the               should be as complete as possible
                                               provided in 37 CFR 1.211(c). The                        Notice to File Missing Parts of                        because the claimed subject matter in
                                               following are required in order for the                 Nonprovisional Application. Applicants                 the later-filed nonprovisional
                                               nonprovisional application to be in                     will not be given the 12-month time                    application must have support in the
                                               condition for publication: (1) The basic                period to pay the non-electronic filing                provisional application in order for the
                                               filing fee; (2) the executed inventor’s                 fee. Therefore, utility applicants are                 applicant to obtain the benefit of the
                                               oath or declaration in compliance with                  strongly encouraged to file their utility              filing date of the provisional
                                               37 CFR 1.63 or an application data sheet                applications via EFS-Web to avoid this                 application.
                                               containing the information specified in                 additional fee.                                           Furthermore, the nonprovisional
                                               37 CFR 1.63(b); (3) a specification in                     For plant patent applications, the                  application as originally filed must have
                                               compliance with 37 CFR 1.52; (4) an                     applicant must file the application,                   a complete disclosure that complies
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                                               abstract in compliance with 37 CFR                      including the certification and request                with 35 U.S.C. 112(a) and is sufficient
                                               1.72(b); (5) drawings in compliance with                to participate in the pilot program, by                to support the claims submitted on
                                               37 CFR 1.84 (if applicable); (6) any                    mail or hand-carry to the USPTO since                  filing and any claims submitted later
                                               application size fee required under 37                  plant patent applications cannot be filed              during prosecution. New matter cannot
                                               CFR 1.16(s); (7) any English translation                electronically using EFS-Web. See Legal                be added to an application after the
                                               required by 37 CFR 1.52(d); and (8) a                   Framework for Electronic Filing                        filing date of the application. See 35
                                               sequence listing in compliance with 37                  System—Web (EFS-Web), 74 FR 55200                      U.S.C. 132(a). In the rulemaking to


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                                                                           Federal Register / Vol. 83, No. 7 / Wednesday, January 10, 2018 / Notices                                             1245

                                               implement the PLT and title II of the                     Dated: January 5, 2018.                              the FQA to submit an application to the
                                               PLTIA, the USPTO provided that, in                      Joseph D. Matal,                                       USPTO for recordal of the insignia on
                                               order to be accorded a filing date, a                   Associate Solicitor, performing the functions          the Fastener Insignia Register.
                                               nonprovisional application (other than                  and duties of the Under Secretary of                      The procedures for the recordal of
                                               an application for a design patent) must                Commerce for Intellectual Property and                 fastener insignia under the FQA are set
                                                                                                       Director of the United States Patent and
                                               include a specification with or without                                                                        forth in 15 CFR 280.300 et seq. The
                                                                                                       Trademark Office.
                                               claims. See Changes To Implement the                                                                           purpose of requiring both the insignia
                                                                                                       [FR Doc. 2018–00270 Filed 1–9–18; 8:45 am]
                                               Patent Law Treaty, 78 FR 62367, 62369                                                                          and the recordation is to ensure that
                                                                                                       BILLING CODE 3510–16–P
                                               (Oct. 21, 2013) (final rule). This change                                                                      certain fasteners can be traced to their
                                               was effective on December 18, 2013, and                                                                        manufacturers and to protect against the
                                               applies to any application filed under                                                                         sale of mismarked, misrepresented, or
                                                                                                       DEPARTMENT OF COMMERCE
                                               35 U.S.C. 111 on or after December 18,                                                                         counterfeit fasteners.
                                               2013. Although a claim is not required                  United States Patent and Trademark                        The insignia may be sourced from an
                                               in a nonprovisional application (other                  Office                                                 existing trademark registered at USPTO,
                                               than an application for a design patent)                                                                       from a trademark that is proposed in an
                                               for filing date purposes and the                        Fastener Quality Act Insignia Recordal                 application to obtain a registration
                                               applicant may file an amendment                         Process                                                currently before the USPTO, or from a
                                               adding additional claims (as prescribed                                                                        unique alphanumeric designation
                                                                                                       ACTION: Proposed extension of an                       issued upon request from the USPTO.
                                               by 35 U.S.C. 112) and drawings (as                      existing information collection;
                                               prescribed by 35 U.S.C. 113) later                                                                             After a manufacturer submits a
                                                                                                       comment request.                                       complete application for recordal, the
                                               during prosecution, the applicant
                                               should consider the benefits of                         SUMMARY:   The United States Patent and                USPTO issues a Certificate of Recordal.
                                               submitting a complete set of claims and                 Trademark Office (USPTO), as required                  These certificates remain active for five
                                                                                                       by the Paperwork Reduction Act of                      years. Applications to renew the
                                               any necessary drawings on filing of the
                                                                                                       1995, invites comments on a proposed                   certificates must be filed within six
                                               nonprovisional application. This would
                                                                                                       extension of an existing information                   months of the expiration date or, upon
                                               reduce the likelihood that any claims
                                                                                                       collection: 0651–0028 (Fastener Quality                payment of an additional surcharge,
                                               and/or drawings added later during                                                                             within six months following the
                                               prosecution might be found to contain                   Act Insignia Recordal Act).
                                                                                                                                                              expiration date.
                                               new matter. Also, if a patent is granted                DATES: Written comments must be
                                                                                                       submitted on or before March 12, 2018.                    If a recorded alphanumeric
                                               and the patentee is successful in
                                                                                                       ADDRESSES: You may submit comments
                                                                                                                                                              designation is assigned by the
                                               litigation against an infringer,
                                                                                                       by any of the following methods:                       manufacturer to a new owner, the
                                               provisional rights to a reasonable
                                                                                                          • Email: InformationCollection@                     designation becomes ‘‘inactive’’ and the
                                               royalty under 35 U.S.C. 154(d) may be                                                                          new owner must submit an application
                                               available only if the claims that are                   upsto.gov. Include ‘‘0651–0028
                                                                                                       comment’’ in the subject line of the                   to reactivate the designation within six
                                               published in the patent application                                                                            months of the date of assignment. If the
                                               publication are substantially identical to              message.
                                                                                                          • Federal Rulemaking Portal: http://                recordal is based on a trademark
                                               the patented claims that are infringed,                                                                        application or registration and the
                                                                                                       www.regulations.gov.
                                               assuming timely actual notice is                                                                               registration is assigned to a new owner,
                                                                                                          • Mail: Marcie Lovett, Records and
                                               provided. Thus, the importance of the                                                                          the recordal becomes ‘‘inactive’’ and
                                                                                                       Information Governance Division
                                               claims that are included in the patent                  Director, Office of the Chief Technology               cannot be reassigned. Instead, the new
                                               application publication should not be                   Officer, United States Patent and                      owner of the trademark application or
                                               overlooked.                                             Trademark Office, P.O. Box 1450,                       registration must apply for a new
                                                  Applicants are also advised that the                 Alexandria, VA 22313–1450.                             recordal. Manufacturers who record
                                               extended missing parts period does not                  FOR FURTHER INFORMATION CONTACT:
                                                                                                                                                              insignia must notify the USPTO of any
                                               affect the 12-month priority period                     Requests for additional information                    changes of address.
                                               provided by the Paris Convention for                    should be directed to Catherine Cain,                     This information collection includes
                                               the Protection of Industrial Property                   Attorney Advisor, Office of the                        one form, the Application for Recordal
                                               (Paris Convention). Accordingly, in                     Commissioner for Trademarks, United                    of Insignia or Renewal/Reactivation of
                                               most cases, any foreign filings must still              States Patent and Trademark Office,                    Recordal Under the Fastener Quality
                                               be made within 12 months of the filing                  P.O. Box 1450, Alexandria, VA 22313–                   Act (PTO–1611), which provides
                                               date of the provisional application if the              1450; by telephone at 571–272–8946; or                 manufacturers with a convenient way to
                                               applicant wishes to rely on the                         by email to Catherine.Cain@uspto.gov                   submit a request for the recordal of a
                                               provisional application in the foreign-                 with ‘‘0651–0028 comment’’ in the                      fastener insignia or to renew or
                                                                                                       subject line. Additional information                   reactivate an existing Certificate of
                                               filed application or if protection is
                                                                                                       about this collection is also available at             Renewal.
                                               desired in a country requiring filing
                                               within 12 months of the earliest                        http://www.reginfor.gov under                             The public uses this information
                                               application for which rights are left                   ‘‘Information Collection Review.’’                     collection to comply with the insignia
                                               outstanding in order to be entitled to                  SUPPLEMENTARY INFORMATION:                             recordal provisions of the FQA. The
                                               priority.                                                                                                      USPTO uses the information in this
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                                                                                                       I. Abstract                                            collection to record or renew insignias
                                                  For additional reminders, see Pilot                    Under Section 5 of the Fastener                      under the FQA and to maintain the
                                               Program for Extended Time Period To                     Quality Act (FQA) of 1999, 15 U.S.C.                   Fastener Insignia Register, which is
                                               Reply to a Notice to File Missing Parts                 5401 et seq., certain industrial fasteners             open for public inspection and is
                                               of Nonprovisional Application, 75 FR                    must bear an insignia identifying the                  updated quarterly. The public may
                                               76401, 76405 (Dec. 8, 2010), 1362 Off.                  manufacturer. It is also mandatory for                 download the Fastener Insignia Register
                                               Gaz. Pat. Office 44, 50 (Jan. 4, 2011).                 manufacturers of fasteners covered by                  from the USPTO website.


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Document Created: 2018-10-26 09:33:44
Document Modified: 2018-10-26 09:33:44
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, 2019. Therefore, any certification and request to participate in the Extended Missing Parts Pilot Program must be filed on or before January 2, 2019. In addition, any certification and request to participate in the Extended Missing Parts Pilot Program filed between January 2, 2018, and the publication date of this notice will be considered timely. The USPTO intends to make a decision before January 2, 2019, 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 program to expire.
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, Senior Legal Advisor, Office of Patent Legal Administration, Office of the Deputy Commissioner for Patent Examination Policy, by telephone at (571) 272-7747.
FR Citation83 FR 1243 

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