(272) DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
37 CFR Parts 1, 5, 10, 11, and 41
[Docket No. PTO-P-2011-0072]
RIN 0651-AC66
Changes to Implement Miscellaneous
Post Patent Provisions of the
Leahy-Smith America Invents Act
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Final rule.
SUMMARY: The Leahy-Smith America Invents Act (AIA) expands the scope of
information that any party may cite in a patent file to include written
statements of a patent owner filed in a proceeding before a Federal
court or the United States Patent and Trademark Office (Office)
regarding the scope of any claim of the patent, and provides for how
such information may be considered in ex parte reexamination, inter
partes review, and post grant review. The AIA also provides for an
estoppel that may attach with respect to the filing of an ex parte
reexamination request subsequent to a final written decision in an
inter partes review or post grant review proceeding. The Office is
revising the rules of practice to implement these post-patent
provisions, as well as other miscellaneous provisions, of the AIA.
DATES: Effective date: The changes in this final rule are effective on
September 16, 2012.
FOR FURTHER INFORMATION CONTACT: Joseph F. Weiss, Jr. ((571) 272-7759),
Legal Advisor, or Pinchus M. Laufer ((571) 272-7726), Senior Legal
Advisor, Office of Patent Legal Administration, Office of the Deputy
Commissioner for Patent Examination Policy.
SUPPLEMENTARY INFORMATION:
Executive Summary: Purpose: Section 6 of the AIA amends the patent
laws to create new post-grant review proceedings and replace inter
partes reexamination proceedings with inter partes review proceedings.
Section 6 of the AIA also provides for an estoppel that may attach with
respect to the filing of an ex parte reexamination request subsequent
to a final written decision in a post grant review or inter partes
review proceeding, expands the scope of information that any person may
cite in the file of a patent to include written statements of a patent
owner filed in a proceeding before a Federal court or the Office
regarding the scope of any claim of the patent, and provide for how
such patent owner statements may be considered in ex parte
reexamination, inter partes review, and post grant review. Section 3(i)
of the AIA replaces interference proceedings with derivation
proceedings; section 7 redesignates the Board of Patent Appeals and
Interferences as the Patent Trial and Appeal Board; section 3(j)
replaces the title "Board of Patent Appeals and Interferences" with
"Patent Trial and Appeal Board" in 35 U.S.C. 134, 145, 146, 154, and
305; and section 4(c) inserts alphabetical references to the
subsections of 35 U.S.C. 112.
Summary of Major Provisions: This final rule primarily implements
the provisions in section 6 of the AIA to provide for an estoppel that
may attach to the filing of an ex parte reexamination request
subsequent to a final written decision in a post grant review or inter
partes review proceeding, and expands the scope of information that any
person may cite in the file of a patent to include written statements
of the patent owner filed in a proceeding before a Federal court or the
Office in which the patent owner took a position on the scope of any
claim of the patent.
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This final rule revises the ex parte reexamination rules to require
that a third party request for ex parte reexamination contain a
certification by the third party requester that the statutory estoppel
provisions of inter partes review and post grant review do not bar the
third party from requesting ex parte reexamination.
This final rule revises the rules of practice pertaining to
submissions to the file of a patent to provide for the submission of
written statements of the patent owner filed by the patent owner in a
proceeding before a Federal court or the Office in which the patent
owner took a position on the scope of any claim of the patent. This
final rule requires that such submissions must: (1) Identify the forum
and proceeding in which patent owner filed each statement, and the
specific papers and portions of the papers submitted that contain the
statements; (2) explain how each statement is a statement in which
patent owner took a position on the scope of any claim in the patent;
(3) explain the pertinency and manner of applying the statement to at
least one patent claim; and (4) reflect that a copy of the submission
has been served on the patent owner, if submitted by a party other than
the patent owner.
This final rule also revises the nomenclature in the rules of
practice for consistency with the changes in sections 3(i), 3(j), 4(c),
and 7 of the AIA.
Costs and Benefits: This rulemaking is not economically significant
as that term is defined in Executive Order 12866 (Sept. 30, 1993).
Background: Sections 3(i) and (j) and section 4(c) of the AIA enact
miscellaneous nomenclature and title changes. Section 3(i) of the AIA
replaces interference proceedings with derivation proceedings; section
3(j) replaces the title "Board of Patent Appeals and Interferences"
with "Patent Trial and Appeal Board" in 35 U.S.C. 134, 145, 146, 154,
and 305; and section 4(c) inserts alphabetical designations to the
subsections of 35 U.S.C. 112.
Section 6(g) of the AIA amends 35 U.S.C. 301 to expand the
information that may be submitted in the file of an issued patent to
include written statements of a patent owner filed in a proceeding
before a Federal court or the Office in which the patent owner took a
position on the scope of any claim of the patent. This amendment limits
the Office's use of such written statements to determining the meaning
of a patent claim in ex parte reexamination proceedings that have
already been ordered and in inter partes review and post grant review
proceedings that have already been instituted.
Section 6(a) and (d) of the Leahy-Smith American Invents Act also
contains provisions (35 U.S.C. 315(e)(1) and 35 U.S.C. 325(e)(1))
estopping a third party requester from filing a request for ex parte
reexamination, in certain instances, where the third party requester
filed a petition for inter partes review or post grant review and a
final written decision under 35 U.S.C. 318(a) or 35 U.S.C. 328(a) has
been issued. The estoppel provisions apply to the real party in
interest of the inter partes review or post grant review petitioner and
any privy of such a petitioner.
Section 6(h)(1) of the AIA amends 35 U.S.C. 303 to expressly
identify the authority of the Director to initiate reexamination based
on patents and publications cited in a prior reexamination request
under 35 U.S.C. 302.
Discussion of Specific Rules: The following is a discussion of the
amendments to Title 37 of the Code of Federal Regulations, parts 1, 5,
10, 11, and 41, which are being implemented in this final rule:
Changes in nomenclature: The phrase "Board of Patent Appeals and
Interferences" is changed to "Patent Trial and Appeal Board" in
§§ 1.1(a)(1)(ii), 1.4(a)(2), 1.6(d)(9), 1.9(g), 1.17(b),
1.36(b), 1.136(a)(1)(iv), 1.136(a)(2), 1.136(b), 1.181(a)(1),
1.181(a)(3), 1.191, 1.198, 1.248(c), 1.701(a)(3), 1.701(c)(3),
1.702(a)(3), 1.702(b)(4), 1.702(e), 1.703(a)(5), 1.704(c)(9), 1.937(a),
1.959, 1.979(a), 1.979(b), 1.981, 1.983(a), 1.983(c), 1.983(d),
1.983(f), 11.5(b)(1), 11.6(d), 41.1(a), 41.2, 41.10(a) through (c), and
41.77(a), and in the title of 37 CFR part 41. Specific references are
added to trial proceedings before the Patent Trial and Appeal Board to
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§§ 1.5(c), 1.6(d), 1.6(d)(9), 1.11(e), 1.136(a)(2), 1.136(b),
1.178(b), 1.248(c), 1.322(a)(3), 1.323, 1.985(a), 1.985(b), 1.993,
10.1(s), 11.10(b)(3)(iii), 11.58(b)(1)(i), 41.30, 41.37(c)(1)(ii),
41.67(c)(1)(ii), and 41.68(c)(1)(ii).
The phrase "Board of Patent Appeals and Interferences" in
§§ 1.703(b)(4) and 1.703(e) will be changed to "Patent Trial
and Appeal Board" in a separate rulemaking (RIN 0651-AC63).
Specific references are added to derivation proceedings before the
Patent Trial and Appeal Board to §§ 1.136(a)(1)(v),
1.313(b)(4), 1.701(a)(1), 1.701(c)(1)(i) and (c)(1)(ii),
1.701(c)(2)(iii), 1.702(b)(2), 1.702(c), 1.703(b)(2), 1.703(b)(3)(iii),
1.703(c)(1) and (c)(2), 1.703(d)(3), and 5.3(b).
Sections 1.51, 1.57, 1.78, 41.37, 41.67, 41.110 and 41.201 are
revised to substitute the current references to 35 U.S.C. 112, of
first, second, and sixth paragraphs with references to 35 U.S.C. 112
subsections (a), (b), and (f). Section 1.78 is also revised to add
"other than the requirement to disclose the best mode" following the
references to 35 U.S.C. 112(a) for consistency with the changes to 35
U.S.C. 119(e) and 120 in section 15(b) of the AIA.
Section 1.59 is revised to refer to § 42.7.
Changes to ex parte reexamination procedure:
The undesignated center heading before § 1.501: The
undesignated center heading is revised to read "Citation of prior art
and written statements."
Section 1.501: Section 1.501 implements the amendment to 35 U.S.C.
301 by section 6(g)(1) of the AIA. New 35 U.S.C. 301(a)(2) provides for
any person to submit in the patent file written "statements of the patent
owner filed in a proceeding before a Federal court or the Office in
which the patent owner took a position on the scope of any claim of a
particular patent." Section 1.501, implementing 35 U.S.C. 301(a)(2),
provides that a submission may include prior art and written patent
owner claim scope statements. The term "Federal court" in 35 U.S.C.
301(a)(2) includes the United States Court of International Trade,
which is a Federal court, but does not include the International Trade
Commission, which is a Federal agency and not a Federal court.
Section 1.501(a): In light of the comments, the scope of what may
be submitted has been expanded relative to the proposed rule because
the final rule does not prohibit the submission of written statements
"made outside of a Federal court or Office proceeding and later filed
for inclusion in a Federal court or Office proceeding." Section
1.501(a)(1) provides for the submission to the Office of prior art
patents or printed publications that a person making the submission
believes to have a bearing on the patentability of any claim of a
particular patent. Section 1.501(a)(2) permits any person to submit to
the Office statements of the patent owner that were filed by the patent
owner in a proceeding before a Federal court or the Office in which the
patent owner took a position on the scope of any claim of the patent.
As long as the statement was filed by the patent owner in the
proceeding, the statement is eligible for submission under § 1.501(a)(2)
even if originally made outside the proceeding. Permitting
submission of these claim scope statements is intended to limit a
patent owner's ability to put forward different positions with respect
to the prior art in different proceedings on the same patent. See H.R.
Rep. No. 112-98, Part 1, at page 46 (2011) ("[t]his addition will
counteract the ability of patent owners to offer differing
interpretations of prior art in different proceedings."). Any papers
or portions of papers that contain the patent owner claim scope
statement submitted under this paragraph must be accompanied by any
other documents, pleadings, or evidence from the proceeding in which
the statement was filed that address the statement. Where appropriate,
the papers or portions of papers that contain the statement and
accompanying information must be submitted in redacted form to exclude
information subject to an applicable protective order.
Section 1.501(a)(3) requires that submissions under § 1.501(a)(2)
must identify: (1) The forum and proceeding in which patent
owner filed each statement; (2) the specific papers and portions of the
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papers submitted that contain the statement; and (3) how each statement
submitted is a statement in which patent owner took a position on the
scope of any claim in the patent. Identification of the portions of the
papers required by § 1.501(a)(3)(ii) can be satisfied, for example,
by citing to the documents and specific pages of those documents where
the patent owner claim scope statements are found. The requirement of
§ 1.501(a)(3)(iii) ensures that the statement is one in which a
patent owner has taken a position on claim scope in a proceeding and
not merely a restatement of a position asserted by another party. Other
information can, but is not required to, be provided by the submitter
to assist the Office in readily identifying the patent owner claim
scope statement, such as (1) information regarding the status of the
proceeding; and (2) the relationship of the proceeding to the patent.
Section 1.501(b): Section 1.501(b)(1) implements the 35 U.S.C.
301(b) requirement that the submission include an explanation in
writing of the pertinency and manner of applying the prior art or
written statements to at least one patent claim. Section 1.501(b)(1)
requires a submitter to explain in writing the pertinence and manner of
applying any prior art submitted under § 1.501(a)(1) and any
written statement and accompanying information submitted under
§ 1.501(a)(2) to at least one claim of the patent in order for the
submission to become a part of the official file of the patent. Where
a patent owner claim scope statement and accompanying information are
submitted along with prior art, an explanation as to how each patent
owner claim scope statement and each prior art reference applies to at
least one claim must be included with the submission in order for the
submission to become part of the patent file. Section 1.501(b)(1)
requires an explanation of the additional information required by 35
U.S.C. 301(c) to show how the additional information addresses and
provides context to the patent owner claim scope statement, thereby
providing a full understanding as to how the cited information is
pertinent to the claim(s).
Section 1.501(b)(2) incorporates the second sentence of former
§ 1.501(a), which permits a patent owner submitter to provide an
explanation to distinguish the claims of the patent from the submitted
prior art. Section 1.501(b)(2) also provides a patent owner submitter
with the opportunity to explain how the claims of the patent are
patentable in view of any patent owner claim scope statement and
additional information filed under § 1.501(a)(2), along with any
prior art filed under § 1.501(a)(1).
Section 1.501(c): Section 1.501(c) restates the last sentence of
prior § 1.501(a) directed to the timing for a submission under
§§ 1.502 and 1.902 when there is a reexamination proceeding
pending for the patent in which the submission is made.
Section 1.501(d): Section 1.501(d) restates former § 1.501(b)
that permits the person making the submission to exclude his or her
identity from the patent file by anonymously filing the submission.
Section 1.501(e): Section 1.501(e) requires that a submission made
under § 1.501 must reflect that a copy of the submission by a party
other than the patent owner has been served upon patent owner at the
correspondence address of record in the patent, and that service was
carried out in accordance with § 1.248. Service is required to
provide notice to the patent owner of the submission. The presence of a
certificate of service that is compliant with § 1.248(b) is prima
facie evidence of compliance with § 1.501(e). A submission will not
be entered into the patent's Image File Wrapper (IFW) if it does not
include proof of service compliant with § 1.248(b).
Section 1.501(f): The provisions of proposed § 1.501(f) have
been incorporated with specificity in §§ 1.515(a) and 1.552(d)
rather than adopted as a separate paragraph of § 1.501. The
proposed codification in § 1.501(f) of the limitation set forth in
35 U.S.C. 301(d) on the use of a patent owner claim scope statement by
the Office was unnecessary in view of the language of § 1.515(a)
and § 1.552(d).
Section 1.510: This final rule revises § 1.510(a) and (b)(2),
and adds § 1.510(b)(6) to implement provisions of the AIA.
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Section 1.510(a) is revised to reflect the estoppel limitations
placed upon the filing of a request for ex parte reexamination by 35
U.S.C. 315(e)(1) and 325(e)(1). In light of the comments, the scope of
the estoppel provisions is interpreted to only prohibit the filing of a
subsequent request for ex parte reexamination.
Section 1.510(b)(2) is revised to require that any statement of the
patent owner submitted pursuant to § 1.501(a)(2), which is relied upon
in the detailed explanation, explain how that statement is being used to
determine the proper meaning of a patent claim in connection with prior
art applied to that claim. Section 1.510(b)(2) requires that the "detailed
explanation" of applying prior art provided in the request for ex
parte reexamination must explain how each patent owner claim scope
statement is being used to determine the proper meaning of each patent
claim in connection with the prior art applied to that claim. The
explanation will be considered by the Office during the examination
stage, if reexamination is ordered. At the order stage, the Office will
not consider any patent owner claim scope statement discussed in the
detailed explanation of the request. See 35 U.S.C. 301(d)
Section 1.510(b)(6) requires that the request contain a
certification by the third party requester that the statutory estoppel
provisions of inter partes review and post grant review do not bar the
third party from requesting ex parte reexamination. The basis for this
requirement is the estoppel provisions of inter partes review and post
grant review provided in new 35 U.S.C. 315(e)(1) and 325(e)(1),
respectively, which identify when a petitioner for inter partes review
or post grant review, or a real party in interest or privy of the
petitioner, may not file a request for ex parte reexamination. The
certification required under § 1.510(b)(6) is consistent with the
real party in interest identification certification practice employed
in existing inter partes reexamination.
In light of the comments, the final rule does not require an ex
parte reexamination requester to identify themselves upon the filing of
the request. The certification requirement of § 1.510(b)(6),
coupled with a party's § 11.18 certification obligations when
transacting business before the Office, are considered sufficient to
ensure compliance with the new statutory estoppel requirements. A real
party in interest that wishes to remain anonymous when filing a request
for reexamination under § 1.510 can do so by utilizing the services
of a registered practitioner. In such an instance, the registered
practitioner submitting a request for reexamination on behalf of the
real party in interest would be certifying that the real party in
interest was not estopped from filing the request. Conversely, an
individual filing a request for reexamination under § 1.510 on
behalf of himself cannot remain anonymous as he is required to sign the
document that includes the § 1.510(b)(6) certification.
Section 1.515: Section 1.515 is revised to add: "A statement and
any accompanying information submitted pursuant to § 1.501(a)(2)
will not be considered by the examiner when making a determination on
the request." 35 U.S.C. 301(d) states: "A written statement submitted
pursuant to subsection (a)(2), and additional information submitted
pursuant to subsection (c) [of 35 U.S.C. 301], shall not be considered
by the Office for any purpose other than to determine the proper
meaning of a patent claim in a proceeding that is ordered * * *
pursuant to section 304." Thus, a patent owner claim scope statement
will not be considered when making the determination of whether to
order ex parte reexamination under 35 U.S.C. 303. See also H.R. Rep.
No. 112-98, Part 1, at page 46 (2011). In making the § 1.515(a)
determination of whether to order ex parte reexamination, the Office
will give the claims the broadest reasonable interpretation consistent
with the specification, except in the case of an expired patent. See Ex
parte Papst-Motoren, 1 USPQ2d 1655 (Bd. Pat. App. & Inter. 1986); In re
Yamamoto, 740 F.2d 1569 (Fed. Cir. 1984); see also Manual of Patent
Examining Procedure § 2258 I.(G) (8th ed. 2001) (Rev. 8, July 2010)
(MPEP). If reexamination is ordered, the patent owner statements
submitted pursuant to 35 U.S.C. 301(a)(2) will be considered to the
fullest extent possible when determining the scope of any claims of the
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patent which are subject to reexamination.
The section has also been revised to replace "mailed" with
"given or mailed" regarding the manner the Office may employ to
notify patent owner of a determination on a request for ex parte
reexamination. Usage of the term "given" tracks the relevant
statutory language of 35 U.S.C. 304 and offers the Office flexibility
to employ alternative means of communication to streamline patent
reexamination and customer interaction, e.g., Web-based forms of
notification.
Section 1.552: Section 1.552 is revised to include new § 1.552(d)
to reflect the amendment of 35 U.S.C. 301 by section 6(g)(1)
of the AIA. Section 1.552(d) states: "Any statement of the patent
owner and any accompanying information submitted pursuant to
§ 1.501(a)(2) which is of record in the patent being reexamined (which
includes any reexamination files for the patent) may be used after a
reexamination proceeding has been ordered to determine the proper
meaning of a patent claim when applying patents or printed
publications." As discussed above, 35 U.S.C. 301(a)(2) permits a
submission under 35 U.S.C. 301 to contain written "statements of the
patent owner filed in a proceeding before a Federal court or the Office
in which the patent owner took a position on the scope of any claim of
a particular patent." Written statements cited under 35 U.S.C.
301(a)(2) may be considered after an ex parte reexamination proceeding
has been ordered. However, the statement may not be considered in
determining whether to order ex parte reexamination under 35 U.S.C.
303, because 301(d) prohibits the use of the statement "by the Office
for any purpose other than to determine the proper meaning of a patent
claim in a proceeding that is ordered or instituted pursuant to section
304, 314, or 324." See 35 U.S.C. 301(d). See also H.R. Rep. No. 112-
98, Part 1, at page 46 (2011). Therefore, the Office can only consider
such statements after the proceeding has been ordered or instituted.
Comments and Responses to Comments: The Office published a notice
on January 5, 2012, proposing to change the rules of practice to
implement the post patent and other miscellaneous provisions of the AIA
of sections 3 and 6 of the AIA. See Changes to Implement Miscellaneous
Post Patent Provisions of the Leahy-Smith America Invents Act, 77 FR
442 (Jan. 5, 2012). The Office received seventeen written comments
(from intellectual property organizations, industry, law firms,
individual patent practitioners, and the general public) in response to
this notice. The comments and the Office's responses to the comments
follow:
Comment 1: A number of comments stated that the proposed regulatory
exclusion of patent owner claim scope statements "made outside of a
Federal court or Office proceeding and later filed for inclusion in a
Federal court or Office proceeding" was overly restrictive and
inconsistent with the statute. These comments suggested that patent
owner statements filed in a proceeding in a Federal court or the Office
should be entered regardless of when and where the original statements
were made, consistent with the phrase "statements of the patent owner
filed in a proceeding" as set forth in 35 U.S.C. 301 and the stated
intent of Congress to limit a patent owner's ability to take different
positions in different proceedings.
Response: In response to the comments, § 1.501(a)(2) is revised
to permit any person to submit into the official file of a patent
written statements of the patent owner that were filed by the patent
owner in a proceeding before a Federal court or the Office in which the
patent owner took a position with regard to the scope of any claim in the
patent. This revision, relative to the proposed rule, encompasses any
statements a patent owner files in a proceeding in which the patent owner
took a position on the scope of any claim of a particular patent. As long
as the statement was filed by the patent owner in the proceeding, the
statement is eligible for submission under § 1.501(a)(2) even if
originally made outside the proceeding. Submissions are limited to
statements filed by the patent owner, as the statement must be a
position that patent owner took in the proceeding with respect to the
scope of a claim. The rule focuses on whether the patent owner filed
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the statement in a proceeding before a Federal court or the Office.
This interpretation is consistent with the stated intent of Congress to
prevent a patent owner from taking different positions in different
proceedings
Comment 2: Several comments requested clarification of the meaning
of "patent owner" as used in § 1.501(a)(2). These comments
questioned whether the term "patent owner" encompasses parties who
may make written statements regarding claim scope on behalf of the
patent owner.
Response: The term "patent owner" is synonymous with the term
"patentee". Patentee is defined by 35 U.S.C. 100 to include the
entity "not only * * * to whom the patent was issued but also the
successors in title to the patentee." Therefore, the scope of the term
"patent owner" encompasses the party or parties having title to the
patent. The rule has been modified to require the submitter to identify
how any statement submitted under § 1.501(a)(2) is a written
statement of the patent owner in which the patent owner took a position
on the scope of any claim in the patent.
Comment 3: A number of comments questioned whether a patent owner
claim scope statement under 35 U.S.C. 301 is limited to statements made
about that specific patent or whether it extends to statements made
about claims in related patents and applications.
Response: A patent owner claim scope statement must be directed to
the claims of a particular patent to be eligible for entry into the
official file of that patent. 35 U.S.C 301 does not provide for the
submission of a patent owner claim scope statement not directed to any
claim of that particular patent or a statement that is directed to
claims in a related patent or application.
Comment 4: Several comments suggested that properly submitted
patent owner claim scope statements should be considered when the
Office is deciding whether to order or institute a post-patent
proceeding.
Response: Use of a patent owner claim scope statement is governed
by statute. New 35 U.S.C. 301(d) states in pertinent part, "A written
statement * * * shall not be considered by the Office for any purpose
other than to determine the proper meaning of a patent claim in a
proceeding that is ordered or instituted pursuant to section 304, 314,
or 324." The statute prohibits the use of the statement for any
purpose other than determining the claim scope in a proceeding that has
already been ordered or instituted. Therefore, the Office may not, and
will not, consider such statements when the Office is deciding whether
to order or institute a post-patent proceeding.
Comment 5: Several comments suggested that the Office adopt a
"summary judgment like" procedure if the patent owner statement could
not be used when the Office makes a decision to order or institute a
post-patent proceeding. In this proposed procedure, a party could move
to expedite the post-patent proceeding to final disposition based upon
the previously unconsidered patent owner claim scope statement.
Response: A properly submitted patent owner claim scope statement
may be used by the Office during a post-patent proceeding in accordance
with 35 U.S.C. 301(d). The effect of a patent owner claim scope
statement on the merits of an ordered or instituted post-patent
proceeding will be addressed on a case-by-case basis.
Comment 6: Several comments suggested that third parties should not
be required to serve a copy of a submission under 35 U.S.C. 301 on the
patent owner, as this may compromise the anonymity of the submitter.
Suggestions were made for other ways to notify a patent owner that a
submission was made, including sending a notification by the Office to
the patent owner or publishing relevant patent information in the
Official Gazette when a submission is made.
Response: A patent owner should be fully and timely informed as to
the content of his or her patent file. As a result, when a third party
files a submission under 35 U.S.C. 301, contemporaneous service on the
patent owner is necessary. See MPEP § 2208. Direct service is the
most efficient manner of notifying the patent owner as to the content
of his or her patent file. If the submission under § 1.501 is made
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by a registered practitioner, the real party in interest need not be
identified. Thus, service and proof of service in accordance with
§ 1.248 can be achieved while preserving the anonymity of the real
party in interest.
Comment 7: One comment suggested that proposed § 1.501(e) be
clarified to indicate that service is only required when an entity
other than the patent owner files a submission under § 1.501. A
number of comments requested clarification regarding what the Office
means by "a bona fide attempt of service." These comments questioned
whether it means that where a third party is notified that service was
not successful, the entire submission would need to be resubmitted with
proof that service of the patent owner was attempted. Several comments
suggested that if the submitter becomes aware that service of the
patent owner was not successful, the submitter should, as set forth in
proposed § 42.105(b), have the option of contacting the Office to
discuss alternative modes of service.
Response: The Office's proposal in § 1.501(e) to require proof
of a bona fide attempt of service has not been implemented. As
promulgated in this final rule, § 1.501(e) provides that a person
other than the patent owner making a submission pursuant to § 1.501(a)
must include a certification that a copy of a submission under
§ 1.501 has been served in its entirety upon the patent owner at
the address as provided for in § 1.33(c). Section 1.248(a) governs
the manner of service and provides different ways to achieve service,
including publication in the Official Gazette if service is otherwise
unsuccessful. See § 1.248(a)(5).
Comment 8: A number of comments requested guidance on a patent
owner's ability to respond to a third party's submission under
§ 1.501, and the procedure a patent owner should follow if such a
response is permitted. These comments also questioned whether a third
party submission can be challenged as non-compliant and whether a non-
compliant submission can be expunged or redacted from the official file
of a patent.
Response: The rules do not provide a mechanism by which a patent
owner can file a response to a third party submission under § 1.501.
A patent owner may, however, at any time, file a submission in
accordance with 35 U.S.C. 301 and § 1.501 containing the same prior
art and/or patent owner claim scope statement as that of a third party.
The patent owner may include a written explanation of how the claims of
the patent differ from the prior art or any patent owner claim scope
statement and accompanying information submitted by the third party. If
the Office inadvertently entered a non-compliant submission into the
official file of a patent, the patent owner may request review of the
determination to enter the submission by way of a petition under § 1.181.
Comment 9: A number of comments requested clarification as to what
would constitute a sufficient explanation of the pertinence and manner
of applying the prior art or patent owner claim scope statement to at
least one claim in the patent as required in § 1.501(b)(1). These
comments questioned whether the submission could include affidavits and
declarations.
Response: Guidance regarding the content of a submission under 35
U.S.C. 301, with exemplary explanations, can be found in MPEP § 2205.
Pursuant to the guidance in MPEP § 2205, affidavits and
declarations are permitted to explain the pertinence and manner of
applying the prior art or patent owner claim scope statement.
Comment 10: A number of comments requested that the Office clarify
what it means when referring to information that "addresses" the
patent owner claim scope statement. These comments also suggested that
the Office limit the scope of accompanying information that could be
submitted with a patent owner claim scope statement to avoid voluminous
submissions that would detract from the usefulness of such submissions.
It was further suggested that the meaning of information that
"addresses the written statement" (35 U.S.C. 301(c)) should be
narrowly defined and limited to information or portions of documents
that directly refer to the statement or have been used to support or
contradict the statement.
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Response: The party submitting the patent owner claim scope
statement should ensure that the accompanying information filed with
the submission is sufficient to provide context for the statement, so
the Office can properly weigh its probative value in construing the
proper meaning of a claim. Insufficient or unnecessarily voluminous
accompanying information will diminish the probative value of any
submitted patent owner claim scope statement in determining the proper
meaning of a claim. Documents that address the patent owner claim scope
statement may include documents that the patent owner claim scope
statement refers to or relies upon for support, and documentary
evidence of what prompted the patent owner claim scope statement to be
filed in the Federal court or Office proceeding. Additionally,
documents submitted in support, response, or rebuttal of the patent
owner claim scope statement would all be considered additional
information "addressing" the statement. These examples are
illustrative only and are not intended to be exhaustive or limiting.
The Office encourages submitters to present focused filings correlating
the patent owner claim scope statement to the items of additional
information in order to provide sufficient context for the claim scope
statement filed in a court or Office proceeding and to assist the
Office in construing the proper meaning of a claim.
Comment 11: One comment suggested that the Office require the
submission of identifying information which was previously proposed to
be optional, including: (1) The forum in which the statement was made;
(2) the Federal court or Office proceeding designation; (3) the status
of the proceeding; (4) the relationship between the proceeding and the
patent; (5) an identification of the specific papers in the proceeding
containing the statement; and (6) an identification of the portions of
the papers relevant to the written statement.
Response: Consistent with the comment section 1.501(a)(3) requires
a submitter to identify the forum and proceeding in which patent owner
filed each statement and the specific papers and portions of the papers
submitted that contain the patent owner claim scope statement. The
Office did not amend § 1.501(a)(3) to require the status of the
proceeding or its relationship to the patent as they are not needed by
the Office when determining if the submission is proper. Submissions
that do not include sufficient indicia to conclude that a submitted
patent owner claim scope statement, and all additional information, and
were filed in a Federal court or Office proceeding will not be entered
into the official file of a patent.
Comment 12: One comment questioned whether there is a continuing
duty to supplement the accompanying information submitted with a patent
owner claim scope statement.
Response: The statute does not impose a continuing duty to
supplement any submissions made pursuant to 35 U.S.C. 301(a)(2). Should
a party determine that a subsequent submission is needed, one can be
filed in accordance with § 1.501. Any subsequent submission filed
by a party other than the patent owner, during the pendency of a
reexamination proceeding, will not be considered in that reexamination
proceeding.
Comment 13: One comment suggested that § 1.501(c) be amended to
permit the submission by a third party of a patent owner claim scope
statement filed in a pending litigation to be entered into a pending
reexamination proceeding.
Response: The comment's proposed change to § 1.501(c) cannot be
adopted as it is contrary to statute. 35 U.S.C. 305 dictates that the
reexamination will be conducted ex parte after the time period for
filing the patent owner statement and reply provided for in 35 U.S.C.
304 has expired. A third party submission of alleged patent owner claim
scope statements, even if compliant with 35 U.S.C. 301, would
constitute prohibited third party participation as to the merits of an
ex parte proceeding. MPEP § 2282, however, provides that in order
to ensure a complete file, with updated status information regarding
prior or concurrent proceedings regarding the patent under
reexamination, the Office will, at any time, accept from any parties,
for entry into the reexamination file, copies of notices of suit and
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other proceedings involving the patent and bare notice of decisions or
papers filed in the court from litigations or other proceedings
involving the patent, e.g. a final written decision in an inter partes
review or post grant review of the patent subject to the ex parte
reexamination. See MPEP § 2282.
Patent owners are reminded that § 1.565(a) requires the patent
owner to "inform the Office of any prior or concurrent proceedings in
which the patent is or was involved such as interferences, reissues, ex
parte reexaminations, inter partes reexaminations, or litigation and
the results of such proceedings." Because § 1.565(a) uses open
language to provide a non-exhaustive listing of proceedings of which
patent owner must inform the Office, the rule also includes inter
partes review and post grant review proceedings, once they become
effective.
Comment 14: One comment questioned why there is a difference in the
required explanations of relevance in a post-patent submission under
§ 1.501 and in a preissuance submission under § 1.290.
Response: The difference between the regulatory requirements for
the accompanying explanation of a preissuance submission and the
accompanying explanation of a post-issuance submission is due to the
different statutory requirements that govern each respective
submission's explanation. Cf. new 35 U.S.C. 122(e) with 35 U.S.C.
301(b). New 35 U.S.C. 122(e)(2)(A) requires a preissuance submission to
include a concise description of the asserted relevance of each
submitted document, whereas 35 U.S.C. 301(b) requires the person citing
prior art or written statements to provide an explanation of the
pertinence and manner of applying the prior art or written statements
to at least one claim of the patent.
Comment 15: One comment suggested that the "period of
enforceability of a patent" in 35 U.S.C. 301 should be interpreted to
begin upon the issuance of a Notice of Allowance, thus authorizing the
submission of prior art in the official files of allowed applications.
Response: The comment's position that the language of 35 U.S.C. 301
should be interpreted to authorize the submission of prior art in
allowed applications is not in accord with the express language of the
provision New 35 U.S.C. 301(a)(1) and (2) both use the phrase "claim
of any particular patent. "New 35 U.S.C. 301(b) also uses the term
"patent" with regard to which official files are eligible for entry
of a submission under 35 U.S.C. 301. Therefore, 35 U.S.C. 301 only
permits submissions of prior art and written statements into the
official files of issued patents, which by statute does not include
patent applications, even those in which a Notice of Allowance has
issued.
Comment 16: A number of comments requested that the Office to
clarify how a patent owner claim scope statement under § 1.501(a)(2)
differs from a patent owner statement under § 1.530(b).
Response: Under § 1.530(b), a patent owner may file a statement
in an ex parte reexamination proceeding, in response to an order
granting reexamination, to make comments on the substantial new
question of patentability identified in the order for reexamination.
Under § 1.501(a)(2), any party may submit in a patent file a
written statement of the patent owner that has been filed in a Federal
court or Office proceeding in which the patent owner took a position on
the scope of any claim in the patent.
Comment 17: A number of comments suggested that the definition of a
Federal court should include the International Trade Commission (ITC).
Response: New 35 U.S.C. 301(a)(2) limits statements eligible for
submission to those filed in a proceeding before a Federal court or the
Office. The International Trade Commission (ITC) is a Federal agency
and not a Federal court. The ITC is an independent Federal agency
established by 19 U.S.C. 1330 to conduct investigations under 19 U.S.C.
1337, and not a Federal court.
Comment 18: Several comments requested clarification of the phrase
"proper meaning of a patent claim" as set forth in 35 U.S.C. 301(d)
and in § 1.510(b)(2) and § 1.552(d). The comments suggested
that claim construction of patent claims in post-patent proceedings at
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the Office should be based on the same standards as patent claim
construction in the courts, following Phillips v. AWH Corp., 415 F.3d
1303 (Fed. Cir. 2005) and Thorner v. Sony Computer Entertainment Inc.,
669 F.3d 1362 (Fed. Cir. 2012). These comments also questioned how
statements by patent owners will be used to determine the proper
meaning of a patent claim.
Response: The Office standard for claim construction, i.e., "the
proper meaning of a claim," is the "broadest reasonable
interpretation" (BRI) consistent with the specification. See In re Am.
Acad. of Sci. Tech Ctr., 367 F.3d 1359, 1364 (Fed. Cir. 2004), In re
Morris, 127 F.3d 1048, 1053-54 (Fed. Cir. 1997), and In re Zletz, 893
F.2d 319, 321 (Fed. Cir. 1989); see also MPEP § 2111. During
reexamination, claims of an unexpired patent will be given the broadest
reasonable interpretation consistent with the specification. See In re
Yamamoto, 740 F.2d at 1571-72 (Fed. Cir. 1984). In a reexamination
proceeding involving claims of an expired patent, claim construction is
performed pursuant to the principles set forth in Ex parte Papst-
Motoren, 1 USPQ2d 1655 (Bd. Pat. App. & Inter. 1986); and MPEP § 2258
I.(G) (8th ed. 2001) (Rev. 8, July 2010). Written statements
submitted pursuant to 35 U.S.C. 301(a)(2) will not be used when
ordering reexamination, but will be used during reexamination to assist
in construing the claims. See 35 U.S.C. 301(d).
Comment 19: Several comments suggested the language in proposed
§ 1.501(b)(2) be amended to make clear that the accompanying
information filed with the patent owner claim scope statement is not
limited to information of the patent owner.
Response: The language in § 1.501(b)(2) has been amended to
make clear that the accompanying information filed with the patent
owner claim scope statement is not limited to information of the patent
owner.
Comment 20: A number of comments suggested that the requirement for
identification of the real party in interest in an ex parte
reexamination proceeding proposed in § 1.510(b)(7) not be
implemented by the final rule. These comments suggested that requiring
identification of the real party in interest could have a chilling
effect on the submission of ex parte reexamination requests.
Response: The Office's proposal to require an ex parte
reexamination requester to identify themselves upon filing of the
request has not been implemented. Instead, the Office will rely upon
the ex parte reexamination requester's certification required by
§ 1.510(b)(6).
Comment 21: Several comments suggested that the estoppel
provisions, as they apply to ex parte reexamination proceedings, only
estop a party from requesting ex parte reexamination after a final
decision in a post grant review or an inter partes review. These
comments also suggested that the estoppel provisions do not apply to
pending ex parte reexamination proceedings because the Office, not the
third party requester, maintains an ex parte reexamination proceeding
after the reexamination is ordered. One comment further suggested that
the estoppel provisions should not estop a pending ex parte
reexamination proceeding from continuing because once the Office
determines that there is a substantial new question of patentability
(SNQ), the ex parte reexamination statute mandates that the Office
issue a reexamination certificate that resolves the SNQ. One comment
requested that the rule specifically state that the estoppel provisions
bar the initiation or the maintenance of an ex parte reexamination.
Response: Section 1.510 has been revised vis-a-vis the previous
rule to implement the new statutory estoppel provisions with respect to
requests for ex parte reexamination. The comment that the scope of the
estoppel provisions precludes maintenance of pending reexamination
proceedings is not in accord with the language of the statute. Under
certain circumstances, sections 315(e) and 325(e) prohibit a requester
from requesting a new proceeding or maintaining an ongoing proceeding
in the Office. With respect to reexamination, it is the Office that
maintains a reexamination proceeding, not the requester. Accordingly,
the estoppel provisions do not apply to pending reexamination
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proceedings.
Comment 22: Several comments suggested that the estoppel provisions
of 35 U.S.C. 315(e) and 325(e) do not apply to requests for ex parte
reexamination in view of 35 U.S.C. 302 which provides that any person
at any time can file such a request.
Response: The legislative history of 35 U.S.C. 315(e) and 35 U.S.C.
325(e) indicates that the estoppel provision applies "* * * to
subsequent administrative proceedings. A party that uses inter partes
review is estopped from raising in a subsequent PTO proceeding (such as
an ex parte reexam or inter partes review) any issue that it raised or
reasonably could have raised in the inter partes review." See H.R. Rep.
No. 112-98, Part 1, at page 47 (2011). [Internal quotations and emphasis
removed]. Therefore, the new estoppel provisions apply to the filing of a
subsequent request for ex parte reexamination by a requester that
previously instituted a review that resulted in a final written decision.
Comment 23: One comment suggested that when there is an ex parte
reexamination proceeding co-pending with an inter partes review or
post-grant review, the reexamination should be either stayed or merged.
By contrast, another comment suggested that an ex parte reexamination
proceeding co-pending with an inter partes review or post grant review,
should not be merged given the statutory requirement of 35 U.S.C. 305
to conduct ex parte reexamination with special dispatch.
Response: The Director possesses statutory discretion as to the
manner of handling multiple proceedings and matters pending before the
Office for a single patent. See 35 U.S.C. 315(d) and 35 U.S.C. 325(d).
Therefore, a determination whether to stay, transfer, consolidate
(merge) or terminate any proceeding(s) on the same patent is within the
sole discretion of the Office, and will be addressed on a case-by-case
basis.
Comment 24: One comment requested clarification as to who is a real
party in interest or a privy for purposes of the certification in
§ 1.510(b)(6). The comment suggested that the common law test of
"control" be used, similar to and consistent with the control test
discussed in Practice Guide for Proposed Trial Rules, 77 FR 6868, 6870-
71 (Feb. 9, 2012), and Rules of Practice for Trials Before the Patent
Trial and Appeal Board and Judicial Review of Patent Trial and Appeal
Board Decisions, 77 FR 6879, 6883-84 (Feb. 9, 2012) ("Board
Notices"). The comment also suggested that certification should apply
only to those entities that have controlled a post-issuance proceeding
and that the identification requirement is exclusively applicable to
them. The comment further suggested that any challenges to the non-
estoppel certification should occur before a determination to order
reexamination is made.
Response: The "control test" referred to by the comment may be
used as guidance when determining whether the certification required by
§ 1.510(b)(6) is proper with regard to a real party in interest. A
requester may also consult the Office's inter partes reexamination
certification policy for additional guidance concerning the definition
of a real party in interest. See MPEP § 2612. Similarly, privity is
determined on a case-by-case basis. Therefore, whether a requester is a
privy to an estopped party must be decided by evaluating all the facts
and circumstances of each individual situation.
Section 1.510(b)(6) requires a third party requester to certify
that the estoppel provisions do not prohibit the filing of the ex parte
reexamination request, and the Office will not generally look beyond
this required certification. If the Office becomes aware of facts that
call the certification into question, the Office will determine, on a
case-by-case basis, whether the request for ex parte reexamination is
prohibited by statute.
Comment 25: A number of comments suggested that the statement
identifying the real party in interest, required by proposed
§ 1.510(b)(7), be deleted because it is unnecessary in view of the
certification in § 1.510(b)(6). Several of these comments pointed
out that should the Office retain the requirement for identification of
the real party in interest, procedures for safeguarding anonymity are
critical.
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Response: The Office's proposal in § 1.510(b)(7) to require an
ex parte reexamination requester to identify themselves upon the filing
of the request has not been implemented. The certification requirement
of § 1.510(b)(6), coupled with a party's obligations under § 11.18
when transacting business before the Office, are considered
sufficient to ensure compliance with the new statutory estoppel
requirements. A real party in interest that wishes to remain anonymous
can do so by utilizing the services of a registered practitioner. In
such an instance, the registered practitioner submitting a request for
reexamination on behalf of the real party in interest would be
certifying that the real party in interest was not estopped from filing
the request. Conversely, an individual filing a request for
reexamination on behalf of himself cannot remain anonymous as he is
required to sign the document that includes the § 1.510(b)(6)
certification.
Rulemaking Considerations
A. Administrative Procedure Act (APA): This final rule revises
existing rules governing prior art citations in a patent file and ex
parte reexamination to implement the following provisions of sections 3
and 6 of the AIA: (1) Section 6(g) which amends 35 U.S.C. 301, to
expand the scope of information that may be submitted in the file of an
issued patent to include patent owner claim scope statements; (2) the
provisions of sections 6(a) and 6(d) (which newly enact inter partes
review and post grant review, respectively) that provide for estoppels
effective as to proceedings before the Office, including but not
limited to reexamination; and (3) sections 3(j) and 7 which change the
title "Board of Patent Appeals and Interferences" to "Patent Trial
and Appeal Board," and change references to interference proceedings
to derivation proceedings.
Therefore, the changes in this final rule are merely procedural
and/or interpretive. See Bachow Communs., Inc. v. FCC, 237 F.3d 683,
690 (D.C. Cir. 2001) (rules governing an application process are
procedural under the Administrative Procedure Act); Inova Alexandria
Hosp. v. Shalala, 244 F.3d 342, 350 (4th Cir. 2001) (rules for handling
appeals were procedural where they did not change the substantive
standard for reviewing claims); Nat'l Org. of Veterans' Advocates v.
Sec'y of Veterans Affairs, 260 F.3d 1365, 1375 (Fed. Cir. 2001) (rule
that clarifies interpretation of a statute is interpretive).
Accordingly, prior notice and opportunity for public comment are
not required pursuant to 5 U.S.C. 553(b) or (c) (or any other law). See
Cooper Techs. Co. v. Dudas, 536 F.3d 1330, 1336-37 (Fed. Cir. 2008)
(stating that 5 U.S.C. 553, and thus 35 U.S.C. 2(b)(2)(B), does not
require notice and comment rulemaking for "interpretative rules,
general statements of policy, or rules of agency organization,
procedure, or practice.") (quoting 5 U.S.C. 553(b)(A)). The Office,
however, published proposed changes for comment as it sought the
benefit of the public's views on the Office's proposed implementation
of this provision of the AIA.
B. Regulatory Flexibility Act: As prior notice and an opportunity
for public comment are not required pursuant to 5 U.S.C. 553 or any
other law, neither a regulatory flexibility analysis nor a
certification under the Regulatory Flexibility Act (5 U.S.C. 601 et
seq.) is required. See 5 U.S.C. 603. The Office received no comments on
this subject.
C. Executive Order 12866 (Regulatory Planning and Review): This
rulemaking has been determined to be not significant for purposes of
Executive Order 12866 (Sept. 30, 1993).
D. Executive Order 13563 (Improving Regulation and Regulatory
Review): The Office has complied with Executive Order 13563.
Specifically, the Office has, to the extent feasible and applicable:
(1) Made a reasoned determination that the benefits justify the costs
of the rule; (2) tailored the rule to impose the least burden on society
consistent with obtaining the regulatory objectives; (3) selected a
regulatory approach that maximizes net benefits; (4) specified
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performance objectives; (5) identified and assessed available
alternatives; (6) involved the public in an open exchange of
information and perspectives among experts in relevant disciplines,
affected stakeholders in the private sector, and the public as a whole,
and provided on-line access to the rulemaking docket; (7) attempted to
promote coordination, simplification, and harmonization across
government agencies and identified goals designed to promote
innovation; (8) considered approaches that reduce burdens and maintain
flexibility and freedom of choice for the public; and (9) ensured the
objectivity of scientific and technological information and processes.
E. Executive Order 13132 (Federalism): This rulemaking does not
contain policies with federalism implications sufficient to warrant
preparation of a Federalism Assessment under Executive Order 13132
(Aug. 4, 1999).
F. Executive Order 13175 (Tribal Consultation): This rulemaking
will not: (1) Have substantial direct effects on one or more Indian
tribes; (2) impose substantial direct compliance costs on Indian tribal
governments; or (3) preempt tribal law. Therefore, a tribal summary
impact statement is not required under Executive Order 13175 (Nov. 6,
2000).
G. Executive Order 13211 (Energy Effects): This rulemaking is not a
significant energy action under Executive Order 13211 because this
rulemaking is not likely to have a significant adverse effect on the
supply, distribution, or use of energy. Therefore, a Statement of
Energy Effects is not required under Executive Order 13211 (May 18,
2001).
H. Executive Order 12988 (Civil Justice Reform): This rulemaking
meets applicable standards to minimize litigation, eliminate ambiguity,
and reduce burden as set forth in sections 3(a) and 3(b)(2) of
Executive Order 12988 (Feb. 5, 1996).
I. Executive Order 13045 (Protection of Children): This rulemaking
does not concern an environmental risk to health or safety that may
disproportionately affect children under Executive Order 13045 (Apr.
21, 1997).
J. Executive Order 12630 (Taking of Private Property): This
rulemaking will not effect a taking of private property or otherwise
have taking implications under Executive Order 12630 (Mar. 15, 1988).
K. Congressional Review Act: Under the Congressional Review Act
provisions of the Small Business Regulatory Enforcement Fairness Act of
1996 (5 U.S.C. 801 et seq.), the United States Patent and Trademark
Office will submit a report containing this final rule and other
required information to the United States Senate, the United States
House of Representatives, and the Comptroller General of the Government
Accountability Office. The changes in this notice are not expected to
result in an annual effect on the economy of 100 million dollars or
more, a major increase in costs or prices, or significant adverse
effects on competition, employment, investment, productivity,
innovation, or the ability of United States-based enterprises to
compete with foreign-based enterprises in domestic and export markets.
Therefore, this final rule is not a "major rule" as defined in 5
U.S.C. 804(2).
L. Unfunded Mandates Reform Act of 1995: The final changes in this
notice do not involve a Federal intergovernmental mandate that will
result in the expenditure by State, local, and tribal governments, in
the aggregate, of 100 million dollars (as adjusted) or more in any one
year, or a Federal private sector mandate that will result in the
expenditure by the private sector of 100 million dollars (as adjusted)
or more in any one year, and will not significantly or uniquely affect
small governments. Therefore, no actions are necessary under the
provisions of the Unfunded Mandates Reform Act of 1995. See 2 U.S.C.
1501 et seq.
M. National Environmental Policy Act: This rulemaking will not have
any effect on the quality of the environment and is thus categorically
excluded from review under the National Environmental Policy Act of
1969. See 42 U.S.C. 4321 et seq.
N. National Technology Transfer and Advancement Act: The
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requirements of section 12(d) of the National Technology Transfer and
Advancement Act of 1995 (15 U.S.C. 272 note) are not applicable because
this rulemaking does not contain provisions which involve the use of
technical standards.
O. Paperwork Reduction Act: The Paperwork Reduction Act of 1995 (44
U.S.C. 3501 et seq.) requires that the USPTO consider the impact of
paperwork and other information collection burdens imposed on the
public. This final rule makes changes to the rules of practice that
would impose new information collection requirements which are subject
to review by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3549). Accordingly, the
Office submitted a proposed information collection to OMB for its
review and approval when the notice of proposed rulemaking was
published. The Office also published the title, description, and
respondent description of the information collection, with an estimate
of the annual reporting burdens, in the notice of proposed rulemaking
(See Changes to Implement Miscellaneous Post Patent Provisions of the
Leahy-Smith America Invents Act, 77 FR 447). The Office did not receive
any comments on the proposed information collection. The changes
adopted in this final rule do not require any further change to the
proposed information collection. Accordingly, the Office has
resubmitted the proposed information collection to OMB. The proposed
information collection is available at the OMB's Information Collection
Review Web site (www.reginfo.gov/public/do/PRAMain).
Notwithstanding any other provision of law, no person is required
to respond to, nor shall a person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB control number.
List of Subjects
37 CFR Part 1
Administrative practice and procedure, Courts, Freedom of
information, Inventions and patents, Reporting and recordkeeping
requirements, Small businesses, and Biologics.
37 CFR Part 5
Classified information, Foreign relations, Inventions and patents.
37 CFR Part 10
Administrative practice and procedure, Inventions and patents,
Lawyers, Reporting and recordkeeping requirements.
37 CFR Part 11
Administrative practice and procedure, Inventions and patents,
Lawyers, Reporting and recordkeeping requirements.
37 CFR Part 41
Administrative practice and procedure, Inventions and patents,
Lawyers.
For the reasons set forth in the preamble, 37 CFR parts 1, 5, 10,
11, and 41 are amended as follows:
PART 1 - RULES OF PRACTICE IN PATENT CASES
. 1. The authority citation for 37 CFR part 1 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), unless otherwise noted.
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. 2. Section 1.1 is amended by revising paragraph (a)(1)(ii) to read as
follows:
§ 1.1 Addresses for non-trademark correspondence with the United
States Patent and Trademark Office.
(a) * * *
(1) * * *
(ii) Patent Trial and Appeal Board. See § 41.10 or § 42.6
of this title. Notices of appeal, appeal briefs, reply briefs, requests
for oral hearing, as well as all other correspondence in an application
or a patent involved in an appeal to the Board for which an address is
not otherwise specified, should be addressed as set out in paragraph
(a)(1)(i) of this section.
* * * * *
. 3. Section 1.4 is amended by revising paragraph (a)(2) to read as
follows:
§ 1.4 Nature of correspondence and signature requirements.
(a) * * *
(2) Correspondence in and relating to a particular application or
other proceeding in the Office. See particularly the rules relating to
the filing, processing, or other proceedings of national applications
in subpart B, §§ 1.31 to 1.378; of international applications
in subpart C, §§ 1.401 to 1.499; of ex parte reexaminations of
patents in subpart D, §§ 1.501 to 1.570; of extension of patent
term in subpart F, §§ 1.710 to 1.785; of inter partes
reexaminations of patents in subpart H, §§ 1.902 to 1.997; and
of the Patent Trial and Appeal Board in parts 41 and 42 of this title.
* * * * *
. 4. Section 1.5 is amended by adding new paragraph (c) to read as
follows:
§ 1.5 Identification of patent, patent application, or patent-
related proceeding.
* * * * *
(c) Correspondence relating to a trial proceeding before the Patent
Trial and Appeal Board (part 42 of this title) are governed by § 42.6
of this title.
* * * * *
. 5. Section 1.6 is amended by revising the introductory text of
paragraph (d) and paragraph (d)(9) to read as follows:
§ 1.6 Receipt of correspondence.
* * * * *
(d) Facsimile transmission. Except in the cases enumerated below,
correspondence, including authorizations to charge a deposit account,
may be transmitted by facsimile. The receipt date accorded to the
correspondence will be the date on which the complete transmission is
received in the United States Patent and Trademark Office, unless that
date is a Saturday, Sunday, or Federal holiday within the District of
Columbia. See paragraph (a)(3) of this section. To facilitate proper
processing, each transmission session should be limited to
correspondence to be filed in a single application or other proceeding
before the United States Patent and Trademark Office. The application
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number of a patent application, the control number of a reexamination
proceeding, the interference number of an interference proceeding, the
trial number of a trial proceeding before the Board, or the patent
number of a patent should be entered as a part of the sender's
identification on a facsimile cover sheet. Facsimile transmissions are
not permitted and, if submitted, will not be accorded a date of receipt
in the following situations:
* * * * *
(9) In contested cases and trials before the Patent Trial and
Appeal Board, except as the Board may expressly authorize.
* * * * *
. 6. Section 1.9 is amended by revising paragraph (g) to read as follows:
§ 1.9 Definitions.
* * * * *
(g) For definitions in Patent Trial and Appeal Board proceedings,
see parts 41 and 42 of this title.
* * * * *
. 7. Section 1.11 is amended by revising paragraph (e) to read as
follows:
§ 1.11 Files open to the public.
* * * * *
(e) Except as prohibited in § 41.6(b), § 42.14 or § 42.410(b), the
file of any interference or trial before the Patent Trial and Appeal Board
is open to public inspection and copies of the file may be obtained upon
payment of the fee therefor.
. 8. Section 1.17 is amended by revising paragraph (b) to read as
follows:
§ 1.17 Patent application and reexamination processing fees.
* * * * *
(b) For fees in proceedings before the Patent Trial and Appeal
Board, see § 41.20 and § 42.15 of this title.
* * * * *
. 9. Section 1.36 is amended by revising paragraph (b) to read as
follows:
§ 1.36 Revocation of power of attorney; withdrawal of patent
attorney or agent.
* * * * *
(b) A registered patent attorney or patent agent who has been given
a power of attorney pursuant to § 1.32(b) may withdraw as attorney
or agent of record upon application to and approval by the Director.
The applicant or patent owner will be notified of the withdrawal of the
registered patent attorney or patent agent. Where power of attorney is
given to the patent practitioners associated with a Customer Number, a
request to delete all of the patent practitioners associated with the
Customer Number may not be granted if an applicant has given power of
attorney to the patent practitioners associated with the Customer
Number in an application that has an Office action to which a reply is
due, but insufficient time remains for the applicant to file a reply.
See § 41.5 of this title for withdrawal during proceedings before
the Patent Trial and Appeal Board.
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. 10. Section 1.51 is amended by revising paragraph (c)(2) to read as
follows:
§ 1.51 General requisites of an application.
* * * * *
(c) * * *
(2) A specification as prescribed by 35 U.S.C. 112(a), see § 1.71;
* * * * *
. 11. Section 1.57 is amended by revising paragraphs (c)(1), (c)(2), and
(c)(3) to read as follows:
§ 1.57 Incorporation by reference.
* * * * *
(c) * * *
(1) Provide a written description of the claimed invention, and of
the manner and process of making and using it, in such full, clear,
concise, and exact terms as to enable any person skilled in the art to
which it pertains, or with which it is most nearly connected, to make
and use the same, and set forth the best mode contemplated by the
inventor of carrying out the invention as required by 35 U.S.C. 112(a);
(2) Describe the claimed invention in terms that particularly point
out and distinctly claim the invention as required by 35 U.S.C. 112(b);
or
(3) Describe the structure, material, or acts that correspond to a
claimed means or step for performing a specified function as required
by 35 U.S.C. 112(f).
* * * * *
. 12. Section 1.59 is amended by revising paragraph (a)(1) to read as
follows:
§ 1.59 Expungement of information or copy of papers in application file.
(a)(1) Information in an application will not be expunged, except
as provided in paragraph (b) of this section or § 41.7(a) or § 42.7(a)
of this title.
* * * * *
. 13. Section 1.78 is amended by revising the introductory text of
paragraph (a)(1) and paragraph (a)(4) to read as follows:
§ 1.78 Claiming benefit of earlier filing date and cross-references to
other applications.
(a)(1) A nonprovisional application or international application
designating the United States of America may claim an invention
disclosed in one or more prior-filed copending nonprovisional
applications or international applications designating the United
States of America. In order for an application to claim the benefit of
a prior-filed copending nonprovisional application or international
application designating the United States of America, each prior-filed
application must name as an inventor at least one inventor named in the
later-filed application and disclose the named inventor's invention
claimed in at least one claim of the later-filed application in the
manner provided by 35 U.S.C. 112(a), other than the requirement to
disclose the best mode. In addition, each prior-filed application must
be:
* * * * *
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(4) A nonprovisional application, other than for a design patent,
or an international application designating the United States of
America may claim an invention disclosed in one or more prior-filed
provisional applications. In order for an application to claim the
benefit of one or more prior-filed provisional applications, each
prior-filed provisional application must name as an inventor at least
one inventor named in the later-filed application and disclose the
named inventor's invention claimed in at least one claim of the later-
filed application in the manner provided by 35 U.S.C. 112(a), other
than the requirement to disclose the best mode. In addition, each
prior-filed provisional application must be entitled to a filing date
as set forth in § 1.53(c), and the basic filing fee set forth in
§ 1.16(d) must be paid within the time period set forth in § 1.53(g).
* * * * *
. 14. Section 1.136 is amended by revising paragraphs (a)(1)(iv),
(a)(1)(v), (a)(2), and (b) to read as follows:
§ 1.136 Extensions of time.
(a)(1) * * *
(iv) The reply is to a decision by the Patent Trial and Appeal
Board pursuant to § 1.304 or to § 41.50 or § 41.52 of this
title; or
(v) The application is involved in a contested case (§ 41.101(a)
of this title) or a derivation proceeding (§ 42.4(b) of this title).
(2) The date on which the petition and the fee have been filed is
the date for purposes of determining the period of extension and the
corresponding amount of the fee. The expiration of the time period is
determined by the amount of the fee paid. A reply must be filed prior
to the expiration of the period of extension to avoid abandonment of
the application (§ 1.135), but in no situation may an applicant
reply later than the maximum time period set by statute, or be granted
an extension of time under paragraph (b) of this section when the
provisions of this paragraph are available. See § 1.304 for
extensions of time to appeal to the U.S. Court of Appeals for the
Federal Circuit or to commence a civil action; § 1.550(c) for
extensions of time in ex parte reexamination proceedings, § 1.956
for extensions of time in inter partes reexamination proceedings;
§§ 41.4(a) and 41.121(a)(3) of this title for extensions of
time in contested cases before the Patent Trial and Appeal Board; and
§ 42.5(c) of this title for extensions of time in trials before the
Patent Trial and Appeal Board.
* * * * *
(b) When a reply cannot be filed within the time period set for
such reply and the provisions of paragraph (a) of this section are not
available, the period for reply will be extended only for sufficient
cause and for a reasonable time specified. Any request for an extension
of time under this paragraph must be filed on or before the day on
which such reply is due, but the mere filing of such a request will not
effect any extension under this paragraph. In no situation can any
extension carry the date on which reply is due beyond the maximum time
period set by statute. See § 1.304 for extensions of time to appeal
to the U.S. Court of Appeals for the Federal Circuit or to commence a
civil action; § 1.550(c) for extensions of time in ex parte
reexamination proceedings; § 1.956 for extensions of time in inter
partes reexamination proceedings; §§ 41.4(a) and 41.121(a)(3)
of this title for extensions of time in contested cases before the
Patent Trial and Appeal Board; and § 42.5(c) of this title for
extensions of time in trials before the Patent Trial and Appeal Board.
Any request under this section must be accompanied by the petition fee
set forth in § 1.17(g).
* * * * *
. 15. Section 1.178 is amended by revising paragraph (b) to read as
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follows:
§ 1.178 Original patent; continuing duty of applicant.
* * * * *
(b) In any reissue application before the Office, the applicant
must call to the attention of the Office any prior or concurrent
proceedings in which the patent (for which reissue is requested) is or
was involved, such as interferences or trials before the Patent Trial
and Appeal Board, reissues, reexaminations, or litigations and the
results of such proceedings (see also § 1.173(a)(1)).
. 16. Section 1.181 is amended by revising paragraphs (a)(1) and (a)(3)
to read as follows:
§ 1.181 Petition to the Director.
(a) * * *
(1) From any action or requirement of any examiner in the ex parte
prosecution of an application, or in ex parte or inter partes
prosecution of a reexamination proceeding which is not subject to
appeal to the Patent Trial and Appeal Board or to the court;
* * * * *
(3) To invoke the supervisory authority of the Director in
appropriate circumstances. For petitions involving action of the Patent
Trial and Appeal Board, see § 41.3 of this title.
* * * * *
. 17. The undesignated center heading before § 1.191 is revised to
read as follows:
Appeal to the Patent Trial and Appeal Board
. 18. Section 1.191 is revised to read as follows:
§ 1.191 Appeal to Patent Trial and Appeal Board.
Appeals to the Patent Trial and Appeal Board under 35 U.S.C. 134(a)
and (b) are conducted according to part 41 of this title.
. 19. Section 1.198 is revised to read as follows:
§ 1.198 Reopening after a final decision of the Patent Trial and
Appeal Board.
When a decision by the Patent Trial and Appeal Board on appeal has
become final for judicial review, prosecution of the proceeding before
the primary examiner will not be reopened or reconsidered by the
primary examiner except under the provisions of § 1.114 or § 41.50
of this title without the written authority of the Director,
and then only for the consideration of matters not already adjudicated,
sufficient cause being shown.
. 20. Section 1.248 is amended by revising the section heading and
paragraph (c) to read as follows:
§ 1.248 Service of papers; manner of service; proof of service in
cases other than interferences and trials.
* * * * *
(c) See § 41.106(e) or § 42.6(e) of this title for service
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of papers in contested cases or trials before the Patent Trial and
Appeal Board.
. 21. Section 1.313 is amended by revising paragraph (b)(4) to read as
follows:
§ 1.313 Withdrawal from issue.
* * * * *
(b) * * *
(4) For an interference or derivation proceeding.
* * * * *
. 22. Section 1.322 is amended by revising paragraph (a)(3) to read as
follows:
§ 1.322 Certificate of correction of Office mistake.
(a) * * *
(3) If the request relates to a patent involved in an interference
or trial before the Patent Trial and Appeal Board, the request must
comply with the requirements of this section and be accompanied by a
motion under § 41.121(a)(2), § 41.121(a)(3), or § 42.20 of
this title.
* * * * *
. 23. Section 1.323 is revised to read as follows:
§ 1.323 Certificate of correction of applicant's mistake.
The Office may issue a certificate of correction under the
conditions specified in 35 U.S.C. 255 at the request of the patentee or
the patentee's assignee, upon payment of the fee set forth in § 1.20(a).
If the request relates to a patent involved in an interference
or trial before the Patent Trial and Appeal Board, the request must
comply with the requirements of this section and be accompanied by a
motion under § 41.121(a)(2), § 41.121(a)(3) or § 42.20 of this title.
. 24. The undesignated center heading before § 1.501 is revised to
read as follows:
Citation of Prior Art and Written Statements
. 25. Section 1.501 is revised to read as follows:
§ 1.501 Citation of prior art and written statements in patent
files.
(a) Information content of submission: At any time during the
period of enforceability of a patent, any person may file a written
submission with the Office under this section, which is directed to the
following information:
(1) Prior art consisting of patents or printed publications which
the person making the submission believes to have a bearing on the
patentability of any claim of the patent; or
(2) Statements of the patent owner filed by the patent owner in a
proceeding before a Federal court or the Office in which the patent
owner took a position on the scope of any claim of the patent. Any
statement submitted under this paragraph must be accompanied by any
other documents, pleadings, or evidence from the proceeding in which
the statement was filed that address the written statement, and such
statement and accompanying information under this paragraph must be
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submitted in redacted form to exclude information subject to an
applicable protective order.
(3) Submissions under paragraph (a)(2) of this section must
identify:
(i) The forum and proceeding in which patent owner filed each
statement;
(ii) The specific papers and portions of the papers submitted that
contain the statements; and
(iii) How each statement submitted is a statement in which patent
owner took a position on the scope of any claim in the patent.
(b) Explanation: A submission pursuant to paragraph (a) of this
section:
(1) Must include an explanation in writing of the pertinence and
manner of applying any prior art submitted under paragraph (a)(1) of
this section and any written statement and accompanying information
submitted under paragraph (a)(2) of this section to at least one claim
of the patent, in order for the submission to become a part of the
official file of the patent; and
(2) May, if the submission is made by the patent owner, include an
explanation of how the claims differ from any prior art submitted under
paragraph (a)(1) of this section or any written statements and
accompanying information submitted under paragraph (a)(2) of this
section.
(c) Reexamination pending: If a reexamination proceeding has been
requested and is pending for the patent in which the submission is
filed, entry of the submission into the official file of the patent is
subject to the provisions of §§ 1.502 and 1.902.
(d) Identity: If the person making the submission wishes his or her
identity to be excluded from the patent file and kept confidential, the
submission papers must be submitted anonymously without any
identification of the person making the submission.
(e) Certificate of Service: A submission under this section by a
person other than the patent owner must include a certification that a
copy of the submission was served in its entirety upon patent owner at
the address as provided for in § 1.33 (c). A submission by a person
other than the patent owner that fails to include proper proof of
service as required by § 1.248(b) will not be entered into the
patent file.
. 26. Section 1.510 is amended by revising paragraphs (a) and (b)(2) and
adding new paragraph (b)(6) to read as follows:
§ 1.510 Request for ex parte reexamination.
(a) Any person may, at any time during the period of enforceability
of a patent, file a request for an ex parte reexamination by the Office
of any claim of the patent on the basis of prior art patents or printed
publications cited under § 1.501, unless prohibited by 35 U.S.C.
315(e)(1) or 35 U.S.C. 325(e)(1). The request must be accompanied by
the fee for requesting reexamination set in § 1.20(c)(1).
(b) * * *
(2) An identification of every claim for which reexamination is
requested, and a detailed explanation of the pertinency and manner of
applying the cited prior art to every claim for which reexamination is
requested. For each statement of the patent owner and accompanying
information submitted pursuant to § 1.501(a)(2) which is relied
upon in the detailed explanation, the request must explain how that
statement is being used to determine the proper meaning of a patent
claim in connection with the prior art applied to that claim and how
each relevant claim is being interpreted. If appropriate, the party
requesting reexamination may also point out how claims distinguish over
cited prior art.
* * * * *
(6) A certification by the third party requester that the statutory
estoppel provisions of 35 U.S.C. 315(e)(1) or 35 U.S.C. 325(e)(1) do
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not prohibit the requester from filing the ex parte reexamination
request.
* * * * *
. 27. Section 1.515 is amended by revising paragraph (a) to read as
follows:
§ 1.515 Determination of the request for ex parte reexamination.
(a) Within three months following the filing date of a request for
an ex parte reexamination, an examiner will consider the request and
determine whether or not a substantial new question of patentability
affecting any claim of the patent is raised by the request and the
prior art cited therein, with or without consideration of other patents
or printed publications. A statement and any accompanying information
submitted pursuant to § 1.501(a)(2) will not be considered by the
examiner when making a determination on the request. The examiner's
determination will be based on the claims in effect at the time of the
determination, will become a part of the official file of the patent,
and will be given or mailed to the patent owner at the address provided
for in § 1.33(c) and to the person requesting reexamination.
* * * * *
. 28. Section 1.552 is amended by adding new paragraph (d) to read as
follows:
§ 1.552 Scope of reexamination in ex parte reexamination
proceedings.
* * * * *
(d) Any statement of the patent owner and any accompanying
information submitted pursuant to § 1.501(a)(2) which is of record
in the patent being reexamined (which includes any reexamination files
for the patent) may be used after a reexamination proceeding has been
ordered to determine the proper meaning of a patent claim when applying
patents or printed publications.
. 29. Section 1.701 is amended by revising paragraphs (a)(1), (a)(3),
(c)(1)(i), (c)(1)(ii), (c)(2)(iii), and (c)(3) to read as follows:
§ 1.701 Extension of patent term due to examination delay under
the Uruguay Round Agreements Act (original applications, other than
designs, filed on or after June 8, 1995, and before May 29, 2000).
(a) * * *
(1) Interference or derivation proceedings under 35 U.S.C. 135(a);
and/or
* * * * *
(3) Appellate review by the Patent Trial and Appeal Board or by a
Federal court under 35 U.S.C. 141 or 145, if the patent was issued
pursuant to a decision in the review reversing an adverse determination
of patentability and if the patent is not subject to a terminal
disclaimer due to the issuance of another patent claiming subject
matter that is not patentably distinct from that under appellate
review. If an application is remanded by a panel of the Patent Trial
and Appeal Board and the remand is the last action by a panel of the
Patent Trial and Appeal Board prior to the mailing of a notice of
allowance under 35 U.S.C. 151 in the application, the remand shall be
considered a decision in the review reversing an adverse determination
of patentability as that phrase is used in 35 U.S.C. 154(b)(2) as
amended by section 532(a) of the Uruguay Round Agreements Act, Public
Law 103-465, 108 Stat. 4809, 4983-85 (1994), and a final decision in
favor of the applicant under paragraph (c)(3) of this section. A remand
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by a panel of the Patent Trial and Appeal Board shall not be considered
a decision in the review reversing an adverse determination of
patentability as provided in this paragraph if there is filed a request
for continued examination under 35 U.S.C. 132(b) that was not first
preceded by the mailing, after such remand, of at least one of an
action under 35 U.S.C. 132 or a notice of allowance under 35 U.S.C.
151.
(c)(1) * * *
(i) With respect to each interference or derivation proceeding in
which the application was involved, the number of days, if any, in the
period beginning on the date the interference or derivation proceeding
was instituted to involve the application in the interference or
derivation proceeding and ending on the date that the interference or
derivation proceeding was terminated with respect to the application;
and
(ii) The number of days, if any, in the period beginning on the
date prosecution in the application was suspended by the Patent and
Trademark Office due to interference or derivation proceedings under 35
U.S.C. 135(a) not involving the application and ending on the date of
the termination of the suspension.
(2) * * *
(iii) The number of days, if any, in the period beginning on the
date applicant was notified that an interference or derivation
proceeding would be instituted but for the secrecy order and ending on
the date the secrecy order and any renewal thereof was removed; and
* * * * *
(3) The period of delay under paragraph (a)(3) of this section is
the sum of the number of days, if any, in the period beginning on the
date on which an appeal to the Patent Trial and Appeal Board was filed
under 35 U.S.C. 134 and ending on the date of a final decision in favor
of the applicant by the Patent Trial and Appeal Board or by a Federal
court in an appeal under 35 U.S.C. 141 or a civil action under 35
U.S.C. 145.
* * * * *
. 30. Section 1.702 is amended by revising paragraphs (a)(3), (b)(2),
(b)(4), (c), and (e) to read as follows:
§ 1.702 Grounds for adjustment of patent term due to examination
delay under the Patent Term Guarantee Act of 1999 (original
applications, other than designs, filed on or after May 29, 2000).
(a) * * *
(3) Act on an application not later than four months after the date
of a decision by the Patent Trial and Appeal Board under 35 U.S.C. 134
or 135 or a decision by a Federal court under 35 U.S.C. 141, 145, or
146 where at least one allowable claim remains in the application; or
* * * * *
(b) * * *
(2) Any time consumed by an interference or derivation proceeding
under 35 U.S.C. 135(a);
* * * * *
(4) Any time consumed by review by the Patent Trial and Appeal
Board or a Federal court; or
* * * * *
(c) Delays caused by interference and derivation proceedings.
Subject to the provisions of 35 U.S.C. 154(b) and this subpart, the
term of an original patent shall be adjusted if the issuance of the
patent was delayed due to interference or derivation proceedings under
35 U.S.C. 135(a).
* * * * *
(e) Delays caused by successful appellate review. Subject to the
provisions of 35 U.S.C. 154(b) and this subpart, the term of an
original patent shall be adjusted if the issuance of the patent was
delayed due to review by the Patent Trial and Appeal Board under 35
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U.S.C. 134 or by a Federal court under 35 U.S.C. 141 or 145, if the
patent was issued under a decision in the review reversing an adverse
determination of patentability. If an application is remanded by a
panel of the Patent Trial and Appeal Board and the remand is the last
action by a panel of the Patent Trial and Appeal Board prior to the
mailing of a notice of allowance under 35 U.S.C. 151 in the
application, the remand shall be considered a decision by the Patent
Trial and Appeal Board as that phrase is used in 35 U.S.C.
154(b)(1)(A)(iii), a decision in the review reversing an adverse
determination of patentability as that phrase is used in 35 U.S.C.
154(b)(1)(C)(iii), and a final decision in favor of the applicant under
§ 1.703(e). A remand by a panel of the Patent Trial and Appeal Board shall
not be considered a decision in the review reversing an adverse
determination of patentability as provided in this paragraph if there is
filed a request for continued examination under 35 U.S.C. 132(b) that was
not first preceded by the mailing, after such remand, of at least one of an
action under 35 U.S.C. 132 or a notice of allowance under 35 U.S.C. 151.
* * * * *
. 31. Section 1.703 is amended by revising paragraphs (a)(5), (b)(2),
(b)(3)(iii), (c)(1), (c)(2) and (d)(3) to read as follows:
§ 1.703 Period of adjustment of patent term due to examination
delay.
(a) * * *
(5) The number of days, if any, in the period beginning on the day
after the date that is four months after the date of a final decision
by the Patent Trial and Appeal Board or by a Federal court in an appeal
under 35 U.S.C. 141 or a civil action under 35 U.S.C. 145 or 146 where
at least one allowable claim remains in the application and ending on
the date of mailing of either an action under 35 U.S.C. 132 or a notice
of allowance under 35 U.S.C. 151, whichever occurs first; and
* * * * *
(b) * * *
(2)(i) The number of days, if any, in the period beginning on the
date an interference or derivation proceeding was instituted to involve
the application in the interference or derivation proceeding under 35
U.S.C. 135(a) and ending on the date that the interference or
derivation proceeding was terminated with respect to the application;
and
(ii) The number of days, if any, in the period beginning on the
date prosecution in the application was suspended by the Office due to
interference or derivation proceedings under 35 U.S.C. 135(a) not
involving the application and ending on the date of the termination of
the suspension;
(3) * * *
(iii) The number of days, if any, in the period beginning on the
date applicant was notified that an interference or derivation
proceeding under 35 U.S.C. 135(a) would be instituted but for the
secrecy order and ending on the date the secrecy order was removed; and
* * * * *
(c) * * *
(1) The number of days, if any, in the period beginning on the date
an interference or derivation proceeding was instituted to involve the
application in the interference or derivation proceeding under 35
U.S.C. 135(a) and ending on the date that the interference or
derivation proceeding was terminated with respect to the application;
and
(2) The number of days, if any, in the period beginning on the date
prosecution in the application was suspended by the Office due to
interference or derivation proceedings under 35 U.S.C. 135(a) not
involving the application and ending on the date of the termination of
the suspension.
(d) * * *
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(3) The number of days, if any, in the period beginning on the date
applicant was notified that an interference or derivation proceeding
under 35 U.S.C. 135(a) would be instituted but for the secrecy order
and ending on the date the secrecy order was removed; and
* * * * *
. 32. Section 1.704 is amended by revising the introductory text of
paragraph (c)(9) to read as follows:
§ 1.704 Reduction of period of adjustment of patent term.
* * * * *
(c) * * *
(9) Submission of an amendment or other paper after a decision by
the Patent Trial and Appeal Board, other than a decision designated as
containing a new ground of rejection under § 41.50 (b) of this
title or statement under § 41.50(c) of this title, or a decision by
a Federal court, less than one month before the mailing of an Office
action under 35 U.S.C. 132 or notice of allowance under 35 U.S.C. 151
that requires the mailing of a supplemental Office action or
supplemental notice of allowance, in which case the period of
adjustment set forth in § 1.703 shall be reduced by the lesser of:
* * * * *
. 33. Section 1.937 is amended by revising paragraph (a) to read as
follows:
§ 1.937 Conduct of inter partes reexamination.
(a) All inter partes reexamination proceedings, including any
appeals to the Patent Trial and Appeal Board, will be conducted with
special dispatch within the Office, unless the Director makes a
determination that there is good cause for suspending the reexamination
proceeding.
* * * * *
. 34. The undesignated center heading before § 1.959 is revised to
read as follows:
Appeal to the Patent Trial and Appeal Board in Inter Partes Reexamination
. 35. Section 1.959 is revised to read as follows:
§ 1.959 Appeal in inter partes reexamination.
Appeals to the Patent Trial and Appeal Board under 35 U.S.C. 134(c)
are conducted according to part 41 of this title.
. 36. Section 1.979 is revised to read as follows:
§ 1.979 Return of Jurisdiction from the Patent Trial and Appeal
Board; termination of appeal proceedings.
(a) Jurisdiction over an inter partes reexamination proceeding
passes to the examiner after a decision by the Patent Trial and Appeal
Board upon transmittal of the file to the examiner, subject to each
appellant's right of appeal or other review, for such further action as
the condition of the inter partes reexamination proceeding may require,
to carry into effect the decision of the Patent Trial and Appeal Board.
(b) Upon judgment in the appeal before the Patent Trial and Appeal
Board, if no further appeal has been taken (§ 1.983), the
prosecution in the inter partes reexamination proceeding will be
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terminated and the Director will issue and publish a certificate under
§ 1.997 concluding the proceeding. If an appeal to the U.S. Court
of Appeals for the Federal Circuit has been filed, that appeal is
considered terminated when the mandate is issued by the Court.
. 37. Section 1.981 is revised to read as follows:
§ 1.981 Reopening after a final decision of the Patent Trial and
Appeal Board.
When a decision by the Patent Trial and Appeal Board on appeal has
become final for judicial review, prosecution of the inter partes
reexamination proceeding will not be reopened or reconsidered by the
primary examiner except under the provisions of § 41.77 of this
title without the written authority of the Director, and then only for
the consideration of matters not already adjudicated, sufficient cause
being shown.
. 38. Section 1.983 is amended by revising paragraphs (a), (c), (d), and
(f) to read as follows:
§ 1.983 Appeal to the United States Court of Appeals for the
Federal Circuit in inter partes reexamination.
(a) The patent owner or third party requester in an inter partes
reexamination proceeding who is a party to an appeal to the Patent
Trial and Appeal Board and who is dissatisfied with the decision of the
Patent Trial and Appeal Board may, subject to § 41.81, appeal to
the U.S. Court of Appeals for the Federal Circuit and may be a party to
any appeal thereto taken from a reexamination decision of the Patent Trial
and Appeal Board.
* * * * *
(c) If the patent owner has filed a notice of appeal to the U.S.
Court of Appeals for the Federal Circuit, the third party requester may
cross appeal to the U.S. Court of Appeals for the Federal Circuit if
also dissatisfied with the decision of the Patent Trial and Appeal
Board.
(d) If the third party requester has filed a notice of appeal to
the U.S. Court of Appeals for the Federal Circuit, the patent owner may
cross appeal to the U.S. Court of Appeals for the Federal Circuit if
also dissatisfied with the decision of the Patent Trial and Appeal
Board.
* * * * *
(f) Notwithstanding any provision of the rules, in any
reexamination proceeding commenced prior to November 2, 2002, the third
party requester is precluded from appealing and cross appealing any
decision of the Patent Trial and Appeal Board to the U.S. Court of
Appeals for the Federal Circuit, and the third party requester is
precluded from participating in any appeal taken by the patent owner to
the U.S. Court of Appeals for the Federal Circuit.
. 39. Section 1.985 is revised to read as follows:
§ 1.985 Notification of prior or concurrent proceedings in inter
partes reexamination.
(a) In any inter partes reexamination proceeding, the patent owner
shall call the attention of the Office to any prior or concurrent
proceedings in which the patent is or was involved, including but not
limited to interference or trial before the Patent Trial and Appeal
Board, reissue, reexamination, or litigation and the results of such
proceedings.
(b) Notwithstanding any provision of the rules, any person at any
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time may file a paper in an inter partes reexamination proceeding
notifying the Office of a prior or concurrent proceeding in which the
same patent is or was involved, including but not limited to
interference or trial before the Patent Trial and Appeal Board,
reissue, reexamination, or litigation and the results of such
proceedings. Such paper must be limited to merely providing notice of
the other proceeding without discussion of issues of the current inter
partes reexamination proceeding.
. 40. Section 1.993 is revised to read as follows:
§ 1.993 Suspension of concurrent interference and inter partes
reexamination proceeding.
If a patent in the process of inter partes reexamination is or
becomes involved in an interference or trial before the Patent Trial
and Appeal Board, the Director may suspend the inter partes
reexamination, interference, or trial. The Director will not consider a
request to suspend an interference or trial unless a motion under
§ 41.121(a)(3) of this title to suspend the interference or trial has
been presented to, and denied by, an administrative patent judge and
the request is filed within ten (10) days of a decision by an
administrative patent judge denying the motion for suspension or such
other time as the administrative patent judge may set.
PART 5 - SECRECY OF CERTAIN INVENTIONS AND LICENSES TO EXPORT AND
FILE APPLICATIONS IN FOREIGN COUNTRIES
. 41. The authority citation for 37 CFR part 5 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 41, 181-188, as amended by the
Patent Law Foreign Filing Amendments Act of 1988, Public Law 100-
418, 102 Stat. 1567; the Arms Export Control Act, as amended, 22
U.S.C. 2751 et seq.; the Atomic Energy Act of 1954, as amended, 42
U.S.C. 2011 et seq.; the Nuclear Non Proliferation Act of 1978, 22
U.S.C. 3201 et seq.; and the delegations in the regulations under
these Acts to the Director (15 CFR 370.10(j), 22 CFR 125.04, and 10
CFR 810.7).
. 42. Section 5.3 is amended by revising paragraph (b) to read as follows:
§ 5.3 Prosecution of application under secrecy orders; withholding
patent.
* * * * *
(b) An interference or derivation will not be instituted involving
a national application under secrecy order. An applicant whose
application is under secrecy order may suggest an interference
(§ 41.202(a) of this title), but the Office will not act on the request
while the application remains under a secrecy order.
* * * * *
PART 10 - REPRESENTATION OF OTHERS BEFORE THE PATENT AND TRADEMARK
OFFICE
. 43. The authority citation for 37 CFR part 10 continues to read as
follows:
Authority: 5 U.S.C. 500, 15 U.S.C. 1123; 35 U.S.C. 2(b)(2), 31,
32, 41.
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. 44. Section 10.1 is amended by revising paragraph (s) to read as
follows:
§ 10.1 Definitions.
* * * * *
(s) A proceeding before the Office includes an application, a
reexamination, a protest, a public use proceeding, a patent
interference, a trial before the Patent Trial and Appeal Board, an
inter partes trademark proceeding, or any other proceeding which is
pending before the Office.
* * * * *
PART 11 - REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT
AND TRADEMARK OFFICE
. 45. The authority citation for 37 CFR part 11 continues to read as
follows:
Authority: 5 U.S.C. 500, 15 U.S.C. 1123, 35 U.S.C. 2(b)(2), 32,
41.
. 46. Section 11.5 is amended by revising the introductory text of
paragraph (b)(1) to read as follows:
§ 11.5 Register of attorneys and agents in patent matters;
practice before the office.
* * * * *
(b) * * *
(1) Practice before the Office in patent matters. Practice before
the Office in patent matters includes, but is not limited to, preparing
and prosecuting any patent application, consulting with or giving
advice to a client in contemplation of filing a patent application or
other document with the Office, drafting the specification or claims of
a patent application; drafting an amendment or reply to a communication
from the Office that may require written argument to establish the
patentability of a claimed invention; drafting a reply to a
communication from the Office regarding a patent application; and
drafting a communication for a public use, interference, reexamination
proceeding, petition, appeal to or any other proceeding before the
Patent Trial and Appeal Board, or other proceeding. Registration to
practice before the Office in patent cases sanctions the performance of
those services which are reasonably necessary and incident to the
preparation and prosecution of patent applications or other proceeding
before the Office involving a patent application or patent in which the
practitioner is authorized to participate. The services include:
* * * * *
. 47. Section 11.6 is amended by revising paragraph (d) to read as
follows:
§ 11.6 Registration of attorneys and agents.
* * * * *
(d) Patent Trial and Appeal Board matters. For action by a person
who is not registered in a proceeding before the Patent Trial and Appeal
Board, see § 41.5(a) or § 42.10(c) of this title.
. 48. Section 11.10 is amended by revising paragraph (b)(3)(iii) to read
as follows:
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§ 11.10 Restrictions on practice in patent matters.
* * * * *
(b) * * *
(3) * * *
(iii) Particular patent or patent application means any patent or
patent application, including, but not limited to, a provisional,
substitute, international, continuation, divisional, continuation-in-
part, or reissue patent application, as well as any protest,
reexamination, petition, appeal, interference, or trial proceeding
based on the patent or patent application.
* * * * *
. 49. Section 11.58 is amended by revising paragraph (b)(1)(i) to read as
follows:
§ 11.58 Duties of disciplined or resigned practitioner, or
practitioner on disability inactive status.
* * * * *
(b) * * *
(1) * * *
(i) File a notice of withdrawal as of the effective date of the
exclusion, suspension, acceptance of resignation, or transfer to
disability inactive status in each pending patent and trademark
application, each pending reexamination and interference or trial
proceeding, and every other matter pending in the Office, together with
a copy of the notices sent pursuant to paragraphs (b) and (c) of this
section;
* * * * *
PART 41 - PRACTICE BEFORE THE PATENT TRIAL AND APPEAL BOARD
. 50. The authority citation for 37 CFR part 41 continues to read as
follows:
Authority: 35 U.S.C. 2(b)(2), 3(a)(2)(A), 21, 23, 32, 41, 132,
133, 134, 135, 306, and 315.
. 51. The heading of part 41 is revised to read as set forth above.
. 52. Section 41.1 is amended by revising paragraph (a) to read as
follows:
§ 41.1 Policy.
(a) Scope. Part 41 governs appeals and interferences before the
Patent Trial and Appeal Board. Sections 1.1 to 1.36 and 1.181 to 1.183
of this title also apply to practice before the Board, as do other
sections of part 1 of this title that are incorporated by reference
into part 41.
* * * * *
. 53. Section 41.2 is amended by revising the introductory text of the
definition of Board to read as follows:
§ 41.2 Definitions.
* * * * *
Board means the Patent Trial and Appeal Board and includes:
* * * * *
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. 54. Section 41.10 is revised to read as follows:
§ 41.10 Correspondence addresses.
Except as the Board may otherwise direct,
(a) Appeals. Correspondence in an application or a patent involved
in an appeal (subparts B and C of this part) during the period
beginning when an appeal docketing notice is issued and ending when a
decision has been rendered by the Board, as well as any request for
rehearing of a decision by the Board, shall be mailed to: Patent Trial
and Appeal Board, United States Patent and Trademark Office, PO Box
1450, Alexandria, Virginia 22313-1450. Notices of appeal, appeal
briefs, reply briefs, requests for oral hearing, as well as all other
correspondence in an application or a patent involved in an appeal to
the Board for which an address is not otherwise specified, should be
addressed as set out in § 1.1(a)(1)(i) of this title.
(b) Interferences. Mailed correspondence in interference (subpart D
of this part) shall be sent to Mail Stop INTERFERENCE, Patent Trial and
Appeal Board, United States Patent and Trademark Office, PO Box 1450,
Alexandria, Virginia 22313-1450.
(c) Trial Proceedings. Correspondence in trial proceedings (part 42
of this title) are governed by § 42.6(b) of this title.
. 55. Section 41.30 is amended by revising the definition of Proceeding
to read as follows:
§ 41.30 Definitions.
* * * * *
Proceeding means either a national application for a patent, an
application for reissue of a patent, an ex parte reexamination
proceeding, or a trial before the Patent Trial and Appeal Board. Appeal
to the Board in an inter partes reexamination proceeding is controlled
by subpart C of this part.
* * * * *
. 56. Section 41.37 is amended by revising paragraphs (c)(1)(ii) and
(c)(1)(iii) to read as follows:
§ 41.37 Appeal brief.
* * * * *
(c) * * *
(1) * * *
(ii) Related appeals, interferences, and trials. A statement
identifying by application, patent, appeal, interference, or trial
number all other prior and pending appeals, interferences, trials
before the Board, or judicial proceedings (collectively, "related
cases") which satisfy all of the following conditions: involve an
application or patent owned by the appellant or assignee, are known to
appellant, the appellant's legal representative, or assignee, and may
be related to, directly affect or be directly affected by or have a
bearing on the Board's decision in the pending appeal, except that such
statement is not required if there are no such related cases. If an
appeal brief does not contain a statement of related cases, the Office
may assume that there are no such related cases.
(iii) Summary of claimed subject matter. A concise explanation of
the subject matter defined in each of the rejected independent claims,
which shall refer to the specification in the Record by page and line
number or by paragraph number, and to the drawing, if any, by reference
characters. For each rejected independent claim, and for each dependent
claim argued separately under the provisions of paragraph (c)(1)(iv) of
this section, if the claim contains a means plus function or step plus
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function recitation as permitted by 35 U.S.C. 112(f), then the concise
explanation must identify the structure, material, or acts described in
the specification in the Record as corresponding to each claimed
function with reference to the specification in the Record by page and
line number or by paragraph number, and to the drawing, if any, by
reference characters. Reference to the patent application publication
does not satisfy the requirements of this paragraph.
* * * * *
. 57. Section 41.67 is amended by revising paragraphs (c)(1)(ii) and
(c)(1)(v) to read as follows:
§ 41.67 Appellant's brief.
* * * * *
(c)(1) * * *
(ii) Related appeals, interferences, and trials. A statement
identifying by application, patent, appeal, interference, or trial
number all other prior and pending appeals, interferences, trials
before the Board, or judicial proceedings known to appellant, the
appellant's legal representative, or assignee which may be related to,
directly affect or be directly affected by or have a bearing on the
Board's decision in the pending appeal. Copies of any decisions
rendered by a court or the Board in any proceeding identified under this
paragraph must be included in an appendix as required by paragraph
(c)(1)(xi) of this section.
* * * * *
(v) Summary of claimed subject matter. A concise explanation of the
subject matter defined in each of the independent claims involved in
the appeal, which shall refer to the specification by column and line
number, and to the drawing(s), if any, by reference characters. For
each independent claim involved in the appeal and for each dependent
claim argued separately under the provisions of paragraph (c)(1)(vii)
of this section, every means plus function and step plus function as
permitted by 35 U.S.C. 112(f), must be identified and the structure,
material, or acts described in the specification as corresponding to
each claimed function must be set forth with reference to the
specification by page and line number, and to the drawing, if any, by
reference characters.
* * * * *
. 58. Section 41.68 is amended by revising paragraph (b)(1)(ii) to read
as follows:
§ 41.68 Respondent's brief.
* * * * *
(b)(1) * * *
(ii) Related Appeals, Interferences, and trials. A statement
identifying by application, patent, appeal, interference, or trial
number all other prior and pending appeals, interferences or judicial
proceedings known to respondent, the respondent's legal representative,
or assignee which may be related to, directly affect or be directly
affected by or have a bearing on the Board's decision in the pending
appeal. Copies of any decisions rendered by a court or the Board in any
proceeding identified under this paragraph must be included in an
appendix as required by paragraph (b)(1)(ix) of this section.
* * * * *
. 59. Section 41.77 is amended by revising paragraph (a) to read as
follows:
§ 41.77 Decisions and other actions by the Board.
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(a) The Patent Trial and Appeal Board, in its decision, may affirm
or reverse each decision of the examiner on all issues raised on each
appealed claim, or remand the reexamination proceeding to the examiner
for further consideration. The reversal of the examiner's determination
not to make a rejection proposed by the third party requester
constitutes a decision adverse to the patentability of the claims which
are subject to that proposed rejection which will be set forth in the
decision of the Patent Trial and Appeal Board as a new ground of
rejection under paragraph (b) of this section. The affirmance of the
rejection of a claim on any of the grounds specified constitutes a
general affirmance of the decision of the examiner on that claim,
except as to any ground specifically reversed.
* * * * *
. 60. Section 41.110 is amended by revising paragraph (b)(2) to read as
follows:
§ 41.110 Filing claim information.
* * * * *
(b) * * *
(2) For each involved claim that contains a means-plus-function or
step-plus-function limitation in the form permitted under 35 U.S.C.
112(f), file an annotated copy of the claim indicating in bold face
between braces ({ {time} ) the specific portions of the specification
that describe the structure, material, or acts corresponding to each
claimed function.
* * * * *
. 61. Section 41.201 is amended by revising paragraph (2)(ii) of the
definition of Threshold issue to read as follows:
§ 41.201 Definitions.
* * * * *
Threshold issue * * *
(2) * * *
(ii) Unpatentability for lack of written description under 35
U.S.C. 112(a) of an involved application claim where the applicant
suggested, or could have suggested, an interference under § 41.202(a).
July 25, 2012 DAVID J. KAPPOS
Under Secretary of Commerce for Intellectual Property and
Director of the United States Patent and Trademark Office
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