83 FR 44264 - Filing Patent Applications Electronically During Designated Significant Outages of the United States Patent and Trademark Office Electronic Business Systems

DEPARTMENT OF COMMERCE
United States Patent and Trademark Office

Federal Register Volume 83, Issue 169 (August 30, 2018)

Page Range		44264-44265
FR Document		2018-18897

The United States Patent and Trademark Office (USPTO) encourages applicants to file their patent applications via its electronic filing system (EFS-Web). The USPTO experiences occasional unplanned electronic business system outages, including unplanned system outages that preclude patent applicants and patentees from filing patent documents and fees via the electronic filing system for a significant period of time. This notice prescribes a procedure for filing patent applications by alternative electronic means during a significant unplanned electronic business system outage, as designated by the Director of the USPTO. An application filed by the alternative electronic means prescribed in this notice during a designated significant unplanned electronic business system outage will be considered to have been filed by the USPTO's electronic filing system, and thus will not incur the fee required by section 10(h) of the Leahy- Smith America Invents Act for a patent application not filed by the USPTO's electronic filing system.

Federal Register, Volume 83 Issue 169 (Thursday, August 30, 2018)

[Federal Register Volume 83, Number 169 (Thursday, August 30, 2018)]
[Notices]
[Pages 44264-44265]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-18897]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No.: PTO-P-2018-0054]


Filing Patent Applications Electronically During Designated 
Significant Outages of the United States Patent and Trademark Office 
Electronic Business Systems

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (USPTO) 
encourages applicants to file their patent applications via its 
electronic filing system (EFS-Web). The USPTO experiences occasional 
unplanned electronic business system outages, including unplanned 
system outages that preclude patent applicants and patentees from 
filing patent documents and fees via the electronic filing system for a 
significant period of time. This notice prescribes a procedure for 
filing patent applications by alternative electronic means during a 
significant unplanned electronic business system outage, as designated 
by the Director of the USPTO. An application filed by the alternative 
electronic means prescribed in this notice during a designated 
significant unplanned electronic business system outage will be 
considered to have been filed by the USPTO's electronic filing system, 
and thus will not incur the fee required by section 10(h) of the Leahy-
Smith America Invents Act for a patent application not filed by the 
USPTO's electronic filing system.

DATES: 
    Applicability date: The alternative electronic filing procedures 
prescribed in this notice apply to patent applications filed from 
August 15, 2018 through and including August 23, 2018.

FOR FURTHER INFORMATION CONTACT: Eugenia A. Jones, Senior Legal 
Advisor, Office of Patent Legal Administration, at 571-272-7727, or 
Erin M. Harriman, Senior Legal Advisor, Office of Patent Legal 
Administration, at 571-272-7747.

SUPPLEMENTARY INFORMATION: The USPTO encourages applicants to file 
their patent applications via its electronic filing system (EFS-Web) 
and collects a fee as required by section 10(h) of the Leahy-Smith 
America Invents act for patent applications not filed by electronic 
means as prescribed by the Director. Information concerning electronic 
filing via EFS-Web is available from the EFS-Web landing page on the 
USPTO's internet website (https://www.uspto.gov/patents-application-process/applying-online/about-efs-web) and is discussed in section 
502.05 of the Manual of Patent Examining Procedure (MPEP).
    The USPTO periodically takes various electronic business systems 
off line (during non-business hours) to perform routine maintenance. 
The USPTO, however, also experiences occasional unplanned electronic 
business system outages. While the USPTO is typically able to restore 
its electronic business systems with sufficient time remaining in a day 
to permit patent applicants and patentees to file patent documents and 
fees via the electronic filing system on that day, the USPTO also 
experiences significant unplanned electronic business system outages 
that preclude patent applicants and patentees from filing patent 
documents and fees via the electronic filing system for a significant 
period of time. The USPTO experienced such a significant unplanned 
electronic business systems outage beginning on August 15, 2018. This 
notice prescribes a procedure for filing patent applications by 
electronic means during a designated significant unplanned electronic 
business system outage.
    The alternative electronic filing means prescribed in this notice 
is available only when there is a significant unplanned electronic 
business system outage that precludes patent applicants and patentees 
from filing patent documents and fees via the electronic filing system 
for a significant period of time, as designated by the Director of the 
USPTO (a ``designated significant unplanned electronic business system 
outage''). The unplanned electronic business systems outage beginning 
August 15, 2018 is designated as a significant unplanned electronic 
business system outage, and the alternative electronic filing means 
prescribed in this notice is available for patent applications filed 
from August 15, 2018 through and including August 23, 2018. The USPTO 
will post a notice on its internet website in the event of a future 
designated significant unplanned electronic business system outage, and 
indicate the dates during which the alternative electronic filing means 
prescribed in this notice are available due to such designated 
significant unplanned electronic business system outage.
    37 CFR 1.16(t) and 1.445(a)(1)(ii) implement section 10(h) of the 
Leahy-Smith America Invents Act, which requires an additional fee for 
each application for an original (i.e., nonreissue) patent, except for 
a design, plant, or provisional application, that is

[[Page 44265]]

not filed by electronic means as prescribed by the Director of the 
USPTO. An application filed by the alternative electronic filing means 
prescribed by this notice during a designated significant unplanned 
electronic business system outage will be treated as an application 
filed by electronic means for purposes of section 10(h) of the Leahy-
Smith America Invents Act (and by the USPTO's electronic filing system 
for purposes of 37 CFR 1.16(t) and 1.445(a)(1)(ii)). Thus, the non-
electronic filing fee set forth in 37 CFR 1.16(t) and 1.445(a)(1)(ii) 
is not required for an application filed by the alternative electronic 
filing means prescribed by this notice during a designated significant 
unplanned electronic business system outage. The application will also 
be treated as being filed by the USPTO's electronic filing system for 
purposes of calculation of the application size fee set forth in 37 CFR 
1.52(f)(2) and the reduced basic filing fee for small entities who file 
in compliance with the USPTO's electronic filing system (37 CFR 
1.16(a)). The application, however, will not be treated as being filed 
by the USPTO's electronic filing system for purposes of the electronic 
filing discount in the international filing fee (PCT Rule 15 and 37 CFR 
1.445(b)).\1\
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    \1\ The USPTO has no authority to treat an international 
application filed by the alternative electronic filing means 
prescribed by this notice as having been filed in the electronic 
format prescribed by the Administrative Instructions under the PCT 
for the electronic filing discount in the international filing fee 
or to waive the international filing fee.
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    The alternative electronic filing means during designated 
significant unplanned electronic business system outages is as follows: 
The applicant must file the patent application during a designated 
significant unplanned electronic business system outage by an 
alternative filing method permitted by 37 CFR 1.6, such as by the 
Priority Mail Express[supreg] service of the U.S. Postal Service under 
37 CFR 1.10 or hand delivery \2\ to the USPTO. See MPEP Sec.  502.05; 
see also Legal Framework for Electronic Filing System--Web (EFS-Web), 
74 FR 55200, 55204 (Oct. 27, 2009).\3\ Applicants are reminded that 
unless an application is filed by the Priority Mail Express[supreg] 
service of the U.S. Postal Service in accordance with 37 CFR 1.10, the 
filing date of the application will be the date on which the 
application is received at the USPTO headquarters in Alexandria, 
Virginia. See 37 CFR 1.6. In addition, a copy of the application must 
be filed via EFS-Web (or Patent Center \4\) no later than: (1) One 
month from the date a filing receipt \5\ is first issued for the 
application, and be accompanied by a request for refund, if the non-
electronic filing fee has been paid; or (2) the expiration of the 
period for reply to a notice requiring payment of the non-electronic 
filing fee (e.g., a notice to file missing parts under 37 CFR 1.53(f)) 
if the non-electronic filing fee has not been paid.
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    \2\ New patent applications hand carried to the USPTO must be 
delivered to the Customer Service Window in the Randolph Building, 
401 Dulany Street, Alexandria, Virginia 22314 (MPEP section 501).
    \3\ Applicants are reminded that applications filed under 37 CFR 
1.53 (except a design continued prosecution application (CPA) under 
37 CFR 1.53(d)), PCT international applications, and international 
design applications cannot be submitted by facsimile transmission. 
See 37 CFR 1.6(d).
    \4\ Patent Center is a new patent electronic filing and 
management system that is in development, and which will replace 
EFS-Web and the Patent Application Information and Retrieval (PAIR) 
system. Further information concerning Patent Center is available on 
the USPTO's internet website at https://www.uspto.gov/patent/initiatives/about-patent-center.
    \5\ The term ``filing receipt'' as used in this notice also 
includes a Notification of the International Application Number and 
of the International Filing Date (PCT/RO/105) in a PCT application.
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    The copy of the application filed via EFS-Web (or Patent Center) 
must be accompanied by a statement that it is a true copy of the 
original application as filed by the alternative filing method during 
the designated significant unplanned electronic business system outage. 
The copy of the application also must be filed via EFS-Web (or Patent 
Center) as a follow-on paper in the application, and not as a new 
application. If the copy of the application is filed via EFS-Web (or 
Patent Center) as a new application, the copy will be treated as a new 
application, and the application filed by an alternative filing method 
will not be treated as an application filed by the prescribed 
alternative electronic filing means. The copy of the application should 
not be filed until applicant has received either a filing receipt or 
other USPTO notice identifying the application number assigned to the 
application.

    Dated: August 27, 2018.
Andrei Iancu,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2018-18897 Filed 8-29-18; 8:45 am]
 BILLING CODE 3510-16-P

44264 Federal Register / Vol. 83, No. 169 / Thursday, August 30, 2018 / Notices

ocean exploration science and DEPARTMENT OF COMMERCE page on the USPTO’s internet website
technology; and ‘omics science. (https://www.uspto.gov/patents-
Individuals with expertise in other United States Patent and Trademark application-process/applying-online/
NOAA mission areas are also welcome Office about-efs-web) and is discussed in
to apply. [Docket No.: PTO–P–2018–0054] section 502.05 of the Manual of Patent
Composition and Points of View: The Examining Procedure (MPEP).
Board will consist of approximately Filing Patent Applications The USPTO periodically takes various
fifteen members, including a Chair, Electronically During Designated electronic business systems off line
designated by the Under Secretary in Significant Outages of the United (during non-business hours) to perform
accordance with FACA requirements. States Patent and Trademark Office routine maintenance. The USPTO,
Members will be appointed for three- Electronic Business Systems however, also experiences occasional
year terms, renewable once, and serve at unplanned electronic business system
the discretion of the Under Secretary. If AGENCY: United States Patent and outages. While the USPTO is typically
a member resigns before the end of his Trademark Office, Commerce. able to restore its electronic business
or her first term, the vacancy ACTION: Notice. systems with sufficient time remaining
appointment shall be for the remainder in a day to permit patent applicants and
of the unexpired term, and shall be SUMMARY: The United States Patent and patentees to file patent documents and
renewable twice if the unexpired term is Trademark Office (USPTO) encourages fees via the electronic filing system on
less than one year. Members will be applicants to file their patent that day, the USPTO also experiences
appointed as special government applications via its electronic filing significant unplanned electronic
employees (SGEs) and will be subject to system (EFS-Web). The USPTO business system outages that preclude
the ethical standards applicable to experiences occasional unplanned patent applicants and patentees from
SGEs. Members are reimbursed for electronic business system outages, filing patent documents and fees via the
actual and reasonable travel and per including unplanned system outages electronic filing system for a significant
diem expenses incurred in performing that preclude patent applicants and period of time. The USPTO experienced
such duties but will not be reimbursed patentees from filing patent documents such a significant unplanned electronic
for their time. As a Federal Advisory and fees via the electronic filing system business systems outage beginning on
Committee, the Board’s membership is for a significant period of time. This August 15, 2018. This notice prescribes
required to be balanced in terms of notice prescribes a procedure for filing a procedure for filing patent
viewpoints represented and the patent applications by alternative applications by electronic means during
functions to be performed as well as the electronic means during a significant a designated significant unplanned
interests of geographic regions of the unplanned electronic business system electronic business system outage.
country and the diverse sectors of U.S. outage, as designated by the Director of The alternative electronic filing
society. the USPTO. An application filed by the means prescribed in this notice is
The SAB meets in person three times alternative electronic means prescribed available only when there is a
each year, exclusive of teleconferences in this notice during a designated significant unplanned electronic
or subcommittee, task force, and significant unplanned electronic business system outage that precludes
working group meetings. Board business system outage will be patent applicants and patentees from
members must be willing to serve as considered to have been filed by the filing patent documents and fees via the
liaisons to SAB working groups and/or USPTO’s electronic filing system, and electronic filing system for a significant
participate in periodic reviews of the thus will not incur the fee required by period of time, as designated by the
NOAA Cooperative Institutes and section 10(h) of the Leahy-Smith Director of the USPTO (a ‘‘designated
overarching reviews of NOAA’s research America Invents Act for a patent significant unplanned electronic
enterprise. application not filed by the USPTO’s business system outage’’). The
Nominations: Interested persons may electronic filing system. unplanned electronic business systems
nominate themselves or third parties. DATES:
outage beginning August 15, 2018 is
Applications: An application is Applicability date: The alternative designated as a significant unplanned
required to be considered for Board electronic filing procedures prescribed electronic business system outage, and
membership, regardless of whether a in this notice apply to patent the alternative electronic filing means
person is nominated by a third party or prescribed in this notice is available for
applications filed from August 15, 2018
self-nominated. The application package patent applications filed from August
through and including August 23, 2018.
must include: (1) The nominee’s full 15, 2018 through and including August
FOR FURTHER INFORMATION CONTACT: 23, 2018. The USPTO will post a notice
name, title, institutional affiliation, and Eugenia A. Jones, Senior Legal Advisor, on its internet website in the event of a
contact information; (2) the nominee’s Office of Patent Legal Administration, at future designated significant unplanned
area(s) of expertise; (3) a short 571–272–7727, or Erin M. Harriman, electronic business system outage, and
description of his/her qualifications Senior Legal Advisor, Office of Patent indicate the dates during which the
relative to the kinds of advice being Legal Administration, at 571–272–7747. alternative electronic filing means
solicited by NOAA in this Notice; and SUPPLEMENTARY INFORMATION: The prescribed in this notice are available
(4) a current resume (maximum length USPTO encourages applicants to file due to such designated significant
four [4] pages). their patent applications via its unplanned electronic business system
Dated: August 23, 2018. electronic filing system (EFS-Web) and outage.
amozie on DSK3GDR082PROD with NOTICES1

David Holst, collects a fee as required by section 37 CFR 1.16(t) and 1.445(a)(1)(ii)
Chief Financial Officer/Administrative 10(h) of the Leahy-Smith America implement section 10(h) of the Leahy-
Officer, Office of Oceanic and Atmospheric Invents act for patent applications not Smith America Invents Act, which
Research, National Oceanic and Atmospheric filed by electronic means as prescribed requires an additional fee for each
Administration. by the Director. Information concerning application for an original (i.e.,
[FR Doc. 2018–18815 Filed 8–29–18; 8:45 am] electronic filing via EFS-Web is nonreissue) patent, except for a design,
BILLING CODE 3510–KD–P available from the EFS-Web landing plant, or provisional application, that is

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Federal Register / Vol. 83, No. 169 / Thursday, August 30, 2018 / Notices 44265

not filed by electronic means as Priority Mail Express® service of the DEPARTMENT OF EDUCATION
prescribed by the Director of the U.S. Postal Service in accordance with
USPTO. An application filed by the 37 CFR 1.10, the filing date of the [Docket No. ED–2018–ICCD–0072]
alternative electronic filing means application will be the date on which
prescribed by this notice during a the application is received at the 2019–20 National Postsecondary
designated significant unplanned USPTO headquarters in Alexandria, Student Aid Study (NPSAS: 20) Field
electronic business system outage will Virginia. See 37 CFR 1.6. In addition, a Test Institution Contacting and
be treated as an application filed by copy of the application must be filed via Enrollment List Collection;
electronic means for purposes of section EFS-Web (or Patent Center 4) no later Cancellation
10(h) of the Leahy-Smith America than: (1) One month from the date a
Invents Act (and by the USPTO’s AGENCY: National Center for Education
filing receipt 5 is first issued for the
electronic filing system for purposes of Statistics (NCES), Department of
application, and be accompanied by a
37 CFR 1.16(t) and 1.445(a)(1)(ii)). Thus,
request for refund, if the non-electronic Education (ED).
the non-electronic filing fee set forth in
37 CFR 1.16(t) and 1.445(a)(1)(ii) is not filing fee has been paid; or (2) the ACTION: Notice of cancellation.
required for an application filed by the expiration of the period for reply to a
alternative electronic filing means notice requiring payment of the non- SUMMARY: On July 3, 2018, the
prescribed by this notice during a electronic filing fee (e.g., a notice to file Department of Education (ED) published
designated significant unplanned missing parts under 37 CFR 1.53(f)) if a 60 day comment period notice in the
electronic business system outage. The the non-electronic filing fee has not Federal Register with FR DOC #2018–
application will also be treated as being been paid. 14441 (Page 31383, Column 2 and 3;
filed by the USPTO’s electronic filing The copy of the application filed via Page 31384, Column 1 and 2) seeking
system for purposes of calculation of the EFS-Web (or Patent Center) must be public comment for an information
application size fee set forth in 37 CFR accompanied by a statement that it is a collection entitled, ‘‘2019–20 National
1.52(f)(2) and the reduced basic filing true copy of the original application as Postsecondary Student Aid Study
fee for small entities who file in filed by the alternative filing method (NPSAS:20) Field Test Institution
compliance with the USPTO’s during the designated significant Contacting and Enrollment List
electronic filing system (37 CFR 1.16(a)). unplanned electronic business system Collection’’ conducted by the National
The application, however, will not be outage. The copy of the application also
treated as being filed by the USPTO’s Center for Education Statistics (NCES).
must be filed via EFS-Web (or Patent The Department of Education would
electronic filing system for purposes of
Center) as a follow-on paper in the like to cancel that public comment
the electronic filing discount in the
international filing fee (PCT Rule 15 and application, and not as a new period notice. NCES intends to conduct
37 CFR 1.445(b)).1 application. If the copy of the the NPSAS:20 full-scale study as
The alternative electronic filing application is filed via EFS-Web (or planned from October 2019 to
means during designated significant Patent Center) as a new application, the November 2020. In March 2019, NCES
unplanned electronic business system copy will be treated as a new will publish a notice in the Federal
outages is as follows: The applicant application, and the application filed by Register for a 60-day public comment
must file the patent application during an alternative filing method will not be period followed by a 30-day comment
a designated significant unplanned treated as an application filed by the period for NPSAS:20 Full-Scale
electronic business system outage by an prescribed alternative electronic filing Institution Contacting and Enrollment
alternative filing method permitted by means. The copy of the application List Collection clearance request.
37 CFR 1.6, such as by the Priority Mail should not be filed until applicant has The NPSAS:20 full-scale study will
Express® service of the U.S. Postal received either a filing receipt or other use methods and survey items that have
Service under 37 CFR 1.10 or hand USPTO notice identifying the already been used in previous cycles of
delivery 2 to the USPTO. See MPEP application number assigned to the
§ 502.05; see also Legal Framework for NPSAS. In addition, NCES is
application. developing a cognitive testing plan that
Electronic Filing System—Web (EFS-
Dated: August 27, 2018. will allow pre-testing of a subset of
Web), 74 FR 55200, 55204 (Oct. 27,
2009).3 Applicants are reminded that Andrei Iancu, questions from the planned NPSAS:20
unless an application is filed by the Under Secretary of Commerce for Intellectual student interview. NCES expects to
Property and Director of the United States submit a clearance request for these
1 The USPTO has no authority to treat an Patent and Trademark Office. cognitive testing activities by July 2019.
international application filed by the alternative [FR Doc. 2018–18897 Filed 8–29–18; 8:45 am]
electronic filing means prescribed by this notice as
The Acting Director, Information
having been filed in the electronic format BILLING CODE 3510–16–P Collection Clearance Division, Office of
prescribed by the Administrative Instructions under the Chief Privacy Officer, Office of
the PCT for the electronic filing discount in the Management, hereby issues a
international filing fee or to waive the international
filing fee. 4 Patent Center is a new patent electronic filing cancellation notice as required by the
2 New patent applications hand carried to the and management system that is in development, Paperwork Reduction Act of 1995.
USPTO must be delivered to the Customer Service and which will replace EFS-Web and the Patent
Window in the Randolph Building, 401 Dulany Dated: August 27, 2018.
Application Information and Retrieval (PAIR)
amozie on DSK3GDR082PROD with NOTICES1

Street, Alexandria, Virginia 22314 (MPEP section system. Further information concerning Patent Kate Mullan,
501). Center is available on the USPTO’s internet website
3 Applicants are reminded that applications filed
Acting Director, Information Collection
at https://www.uspto.gov/patent/initiatives/about- Clearance Division, Office of the Chief Privacy
under 37 CFR 1.53 (except a design continued
patent-center. Officer, Office of Management.
prosecution application (CPA) under 37 CFR
5 The term ‘‘filing receipt’’ as used in this notice
1.53(d)), PCT international applications, and [FR Doc. 2018–18840 Filed 8–29–18; 8:45 am]
international design applications cannot be also includes a Notification of the International
Application Number and of the International Filing BILLING CODE 4000–01–P
submitted by facsimile transmission. See 37 CFR
1.6(d). Date (PCT/RO/105) in a PCT application.

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Document Created: 2018-08-30 01:21:40
Document Modified: 2018-08-30 01:21:40

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice.
Dates		Applicability date: The alternative electronic filing procedures prescribed in this notice apply to patent applications filed from August 15, 2018 through and including August 23, 2018.
Contact		Eugenia A. Jones, Senior Legal Advisor, Office of Patent Legal Administration, at 571-272-7727, or Erin M. Harriman, Senior Legal Advisor, Office of Patent Legal Administration, at 571-272-7747.
FR Citation		83 FR 44264

83 FR 44264 - Filing Patent Applications Electronically During Designated Significant Outages of the United States Patent and Trademark Office Electronic Business Systems

DEPARTMENT OF COMMERCEUnited States Patent and Trademark Office

Federal Register Volume 83, Issue 169 (August 30, 2018)

DEPARTMENT OF COMMERCE
United States Patent and Trademark Office