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 December 3, 2013 US PATENT AND TRADEMARK OFFICE Print Table of Contents 1397 OG 1 

OFFICIAL GAZETTE of the UNITED STATES PATENT AND TRADEMARK OFFICE

December 3, 2013 Volume 1397 Number 1

CONTENTS

 Patent and Trademark Office NoticesPage 
Patent Cooperation Treaty (PCT) Information1397 OG 2
Notice of Maintenance Fees Payable1397 OG 5
Notice of Expiration of Patents Due to Failure to Pay Maintenance Fee1397 OG 6
Patents Reinstated Due to the Acceptance of a Late Maintenance Fee from 11/04/20131397 OG 30
Reissue Applications Filed1397 OG 31
Requests for Ex Parte Reexamination Filed1397 OG 32
Notice of Expiration of Trademark Registrations Due to Failure to Renew1397 OG 33
Service by Publication1397 OG 38
37 CFR 1.47 Notice by Publication1397 OG 39
Registration to Practice1397 OG 40
Changes to Implement the Patent Law Treaty1397 OG 42
Continuation of the Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Colombian Superintendence of Industry and Commerce1397 OG 120
Status of Public Records Division1397 OG 121
Errata1397 OG 123
Erratum1397 OG 126
Certificates of Correction1397 OG 127
Summary of Final Decisions Issued by the Trademark Trial and Appeal Board1397 OG 129

Mailing and Hand Carry Addresses for Mail to the United States Patent and Trademark Office
Reference Collections of U.S. Patents Available for Public Use in Patent and Trademark Resource Centers
Patent Technology Centers



COPIES OF PATENTS are furnished by the Patent and Trademark Office at $3.00 each; PLANT PATENTS in color, $15.00 each; copies of TRADEMARKS at $3.00 each. Address orders to the Commissioner of Patents and Trademarks, P.O. Box 1450, Alexandria, VA., 22313-1450, or click here for online ordering.


Printing by U.S.P.T.O. in electronic form is authorized by 35 U.S.C. § 10(a)3


Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 2 

Patent Cooperation Treaty (PCT) Information
                  Patent Cooperation Treaty (PCT) Information

   For information concerning PCT member countries, see the notice
appearing in the Official Gazette at 1393 O.G. 58, on August 13, 2013.

   For information on subject matter under Rule 39 that a particular
International Searching Authority will not search, see Annex D of the PCT
Applicants' Guide.

European Patent Office as Searching and Examining Authority

   The European Patent Office (EPO) may act as the International Searching
Authority (ISA) or the International Preliminary Examining Authority (IPEA)
for an international application filed with the United States Receiving
Office or the International Bureau (IB) as Receiving Office where at least
one of the applicants is either a national or resident of the United States
of America. However, the use of the EPO is restricted. The EPO will not act
as an ISA for applications with one or more claims directed to a business
method. For the definition of what the EPO considers to be precluded
subject matter in the field of business methods, see PCT Applicants's
Guide, Annexes D(EP), E(EP) and the Official Notices (PCT Gazette) dated
May 6, 2010, page 94
(http://www.wipo.int/pct/en/official_notices/index.html). The EPO will act
as an IPEA only if it also acted as the ISA.

   The search fee of the European Patent Office was decreased, effective
January 1, 2013, and was announced in the Official Gazette at 1385 O.G. 176,
on December 25, 2012.

Korean Intellectual Property Office as Searching and Examining Authority

The Korean Intellectual Property Office may act as the ISA or the IPEA for
an international application filed with the United States Receiving Office
or the International Bureau (IB) as Receiving Office where at least one of
the applicants is either a national or resident of the United States of
America. The announcement appears in the Official Gazette at 1302 O.G.
1261 on January 17, 2006.

   The search fee of the Korean Intellectual Property Office was increased,
effective January 1, 2013, and was announced in the Official Gazette at
1385 O.G. 176, on December 25, 2012.

Australian Patent Office as Searching and Examining Authority

   The Australian Patent Office (IP Australia) may act as the ISA or the
IPEA for an international application filed with the United States
Receiving Office or the International Bureau (IB) as Receiving Office where
at least one of the applicants is either a national or resident of the
United States of America. The announcement appears in the Offical Gazette
at 1337 O.G. 265, on December 23, 2008. However, the use of IP Australia is
restricted. IP Australia will not act as an ISA for applications with one
or more claims directed to the fields of business methods or mechanical
engineering or analogous fields of technology as defined by specified areas
of the International Patent Classification System, as indicated in the
Official Gazette at 1337 O.G. 261 on December 23, 2008, in Annex A to the
agreement between the USPTO and IP Australia. IP Australia will act as an
IPEA only if it also acted as the ISA.

   The search fee of IP Australia was decreased, effective September 1,
2013, and was announced in the Official Gazette at 1393 O.G. 170, on
August 27, 2013.

The Federal Service on Intellectual Property, Patents & Trademarks of
Russia as Searching and Examining Authority

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 3 

   The Federal Service on Intellectual Property, Patents & Trademarks of
Russia (Rospatent) may act as the ISA or the IPEA for an international
application filed with the United States Receiving Office or the
International Bureau (IB) as Receiving Office where at least one of the
applicants is either a national or resident of the United States of
America. The announcement appears in the Official Gazette at 1378 O.G. 162,
on May 8, 2012.

   The search fee of Rospatent was increased, effective January 1, 2013,
and was announced in the Official Gazette at 1385 O.G. 176, on December 25,
2012.

Fees

   The fee for filing a request for the restoration of the right of
priority was changed, effective March 19, 2013, and was announced in the
Federal Register on January 18, 2013. The transmittal fee for the USPTO
was changed to include a basic portion and a non-electronic filing fee
portion, effective November 15, 2011, and was announced in the Federal
Register on November 15, 2011. Search fees for the USPTO were changed,
effective January 12, 2009, and were announced in the Federal Register on
November 12, 2008.

   International filing fees were increased, effective January 1, 2013,
and were announced in the Official Gazette at 1385 O.G. 176, on December 25,
2012.

   The schedule of PCT fees (in U.S. dollars), as of September 1, 2013, is
as follows:

International Application (PCT Chapter I) fees:

   Transmittal fee

     Basic Portion                                                  $240.00
      Non-electronic filing fee portion for international
       applications (other than plant applications) filed
       on or after 15 November 2011 other than by the
       Office electronic filing system
         - Other than a small or micro entity                       $400.00
         - Small Entity                                             $200.00
         - Micro Entity                                             $200.00

   Search fee

      U.S. Patent and Trademark Office (USPTO) as
      International Searching Authority (ISA)
         - Search fee                                             $2,080.00
         - Supplemental search fee, per additional
            invention (payable only upon invitation)              $2,080.00
      European Patent Office as ISA                               $2,419.00
      Korean Intellectual Property Office as ISA                  $1,167.00
      IP Australia as ISA                                         $2,084.00
      Federal Service on Intellectual Property, Patents &
         Trademarks of Russia (Rospatent) as ISA                    $217.00

   International fees

      International filing fee                                    $1,419.00
      International filing fee-filed in paper
         with PCT EASY zip file or
         electronically without PCT EASY zip file                 $1,312.00
      International filing fee-filed
         electronically with PCT EASY zip files                   $1,206.00
      Supplemental fee for each page over 30                         $16.00

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 4 

   Restoration of Priority

      Filing a request for the restoration of the
      right of priority under § 1.452
         - Other than a small or micro entity                      $1420.00
         - Small Entity                                             $710.00
         - Micro Entity                                             $355.00

   International Application (PCT Chapter II) fees associated
   with filing a Demand for Preliminary Examination:

      Handling fee                                                  $213.00
      Handling fee-90% reduction, if applicants meet criteria
      specified at:
        http://www.wipo.int/pct/en/fees/fee_reduction.pdf            $21.30
      Preliminary examination fee
         USPTO as International Preliminary
         Examining Authority (IPEA)
            - USPTO was ISA in PCT Chapter I                        $600.00
            - USPTO was not ISA in PCT Chapter I                    $750.00
            - Additional preliminary examination fee,
              per additional invention
              (payable only upon invitation)                        $600.00

   U.S. National Stage fees (for international applications entering
the U.S. national phase under 35 U.S.C. 371) can be found on the USPTO's
Web site (www.uspto.gov).

October 1, 2013                                         ANDREW H. HIRSHFELD
                                                    Deputy Commissioner for
                                                  Patent Examination Policy
                                  United States Patent and Trademark Office
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 5 

Notice of Maintenance Fees Payable
                   Notice of Maintenance Fees Payable

   Title 37 Code of Federal Regulations (CFR), Section 1.362(d) provides
that maintenance fees may be paid without surcharge for the six-month
period beginning 3, 7, and 11 years after the date of issue of patents
based on applications filed on or after Dec. 12, 1980. An additional
six-month grace period is provided by 35 U.S.C. 41(b) and 37 CFR 1.362(e)
for payment of the maintenance fee with the surcharge set forth in 37 CFR
1.20(h), as amended effective Dec. 16, 1991. If the maintenance fee is
not paid in the patent requiring such payment the patent will expire on
the 4th, 8th, or 12th anniversary of the grant.

   Attention is drawn to the patents that were issued on November 23, 2010
for which maintenance fees due at 3 years and six months may now be paid
The patents have patent numbers within the following ranges:

        Utility Patents 7,836,517 through 7,841,016
        Reissue Patents based on the above identified patents.

   Attention is drawn to the patents that were issued on November 21, 2006
for which maintenance fees due at 7 years and six months may now be paid
The patents have patent numbers within the following ranges:

        Utility Patents 7,137,146 through 7,140,045
        Reissue Patents based on the above identified patents.

   Attention is drawn to the patents that were issued on November 19, 2002
for which maintenance fees due at 11 years and six months may now be paid.
The patents have patent numbers within the following ranges:

        Utility Patents 6,481,014 through 6,484,318
        Reissue Patents based on the above identified patents.

   No maintenance fees are required for design or plant patents.

   Payments of maintenance fees in patents may be submitted electronically
over the Internet at www.uspto.gov. Click on the "Site Index" link at the
top of the homepage (www.uspto.gov), and then scroll down and click on the
"Maintenance Fees" link for more information.

   Payments of maintenance fees in patents not submitted electronically
over the Internet should be mailed to "United States Patent and Trademark
Office, P.O. Box 979070, St. Louis, MO 63197-9000".

   Correspondence related to maintenance fees other than payments of
maintenance fees in patents is not to be mailed to P.O. Box 979070,
St. Louis, MO 63197-9000, but must be mailed to "Mail Stop M
Correspondence, Director of the U.S. Patent and Trademark Office, P.O.
Box 1450, Alexandria, VA 22313-1450".

   Patent owners must establish small entity status according to 37 CFR
1.27 if they have not done so and if they wish to pay the small entity
amount.

   The current amounts of the maintenance fees due at 3 years and six
months, 7 years and six months, and 11 years and six months are set forth
in the most recently amended provisions in 37 CFR 1.20(e)-(g). To obtain
the current maintenance fee amounts, please call the USPTO Contact Center
at (800)-786-9199 or see the current USPTO fee schedule posted on the USPTO
Internet web site. At the top of the USPTO homepage at www.uspto.gov, click
on the "Site Index" link and then scroll down and click on the "Fees,
USPTO" link to find the current USPTO fee schedule.
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 6 

Notice of Expiration of Patents Due to Failure to Pay Maintenance Fee
                        Notice of Expiration of Patents
                     Due to Failure to Pay Maintenance Fee

   35 U.S.C. 41 and 37 CFR 1.362(g) provide that if the required
maintenance fee and any applicable surcharge are not paid in a patent
requiring such payment, the patent will expire at the end of the 4th, 8th
or 12th anniversary of the grant of the patent depending on the first
maintenance fee which was not paid.
   According to the records of the Office, the patents listed below have
expired due to failure to pay the required maintenance fee and any
applicable surcharge.

                   PATENTS WHICH EXPIRED ON October 16, 2013
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                         Issue
Number                             Number                            Date

6,301,717                        09/417,185                      10/16/01
6,301,718                        09/708,076                      10/16/01
6,301,729                        09/643,831                      10/16/01
6,301,733                        09/035,163                      10/16/01
6,301,738                        09/536,070                      10/16/01
6,301,765                        09/356,502                      10/16/01
6,301,772                        09/657,618                      10/16/01
6,301,774                        08/906,855                      10/16/01
6,301,776                        09/261,495                      10/16/01
6,301,778                        09/520,558                      10/16/01
6,301,780                        09/396,345                      10/16/01
6,301,784                        09/559,702                      10/16/01
6,301,787                        09/374,363                      10/16/01
6,301,794                        09/320,924                      10/16/01
6,301,800                        09/772,690                      10/16/01
6,301,801                        09/552,572                      10/16/01
6,301,802                        09/765,379                      10/16/01
6,301,812                        09/664,027                      10/16/01
6,301,825                        09/409,384                      10/16/01
6,301,827                        09/406,392                      10/16/01
6,301,842                        09/470,532                      10/16/01
6,301,847                        09/598,885                      10/16/01
6,301,852                        09/316,183                      10/16/01
6,301,858                        09/398,645                      10/16/01
6,301,860                        09/382,661                      10/16/01
6,301,861                        09/489,038                      10/16/01
6,301,863                        09/444,893                      10/16/01
6,301,868                        09/383,710                      10/16/01
6,301,871                        09/392,816                      10/16/01
6,301,875                        09/584,245                      10/16/01
6,301,884                        09/602,392                      10/16/01
6,301,905                        09/535,292                      10/16/01
6,301,914                        09/641,231                      10/16/01
6,301,918                        09/404,286                      10/16/01
6,301,922                        09/509,581                      10/16/01
6,301,931                        09/448,308                      10/16/01
6,301,951                        09/382,516                      10/16/01
6,301,962                        09/382,454                      10/16/01
6,301,967                        09/239,133                      10/16/01
6,301,970                        09/366,763                      10/16/01
6,301,974                        09/655,126                      10/16/01
6,301,983                        09/462,670                      10/16/01
6,301,984                        09/581,299                      10/16/01
6,301,988                        09/142,581                      10/16/01
6,301,990                        09/524,848                      10/16/01
6,301,992                        09/359,177                      10/16/01
6,301,995                        09/607,971                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 7 

6,301,996                        09/661,095                      10/16/01
6,301,998                        09/635,485                      10/16/01
6,302,006                        09/609,812                      10/16/01
6,302,007                        08/964,476                      10/16/01
6,302,009                        09/505,102                      10/16/01
6,302,016                        09/385,811                      10/16/01
6,302,017                        09/588,551                      10/16/01
6,302,018                        09/614,452                      10/16/01
6,302,029                        09/424,468                      10/16/01
6,302,031                        09/313,788                      10/16/01
6,302,033                        09/616,707                      10/16/01
6,302,035                        09/485,585                      10/16/01
6,302,038                        09/308,831                      10/16/01
6,302,039                        09/382,453                      10/16/01
6,302,061                        09/507,661                      10/16/01
6,302,070                        09/480,650                      10/16/01
6,302,089                        09/315,711                      10/16/01
6,302,095                        09/537,340                      10/16/01
6,302,106                        09/222,046                      10/16/01
6,302,110                        09/308,877                      10/16/01
6,302,112                        09/486,591                      10/16/01
6,302,115                        09/859,758                      10/16/01
6,302,116                        09/572,882                      10/16/01
6,302,123                        09/473,397                      10/16/01
6,302,129                        09/586,714                      10/16/01
6,302,135                        09/651,274                      10/16/01
6,302,136                        08/884,059                      10/16/01
6,302,145                        09/753,435                      10/16/01
6,302,152                        09/697,660                      10/16/01
6,302,155                        09/616,266                      10/16/01
6,302,159                        09/590,467                      10/16/01
6,302,161                        09/757,911                      10/16/01
6,302,163                        09/656,367                      10/16/01
6,302,170                        09/582,207                      10/16/01
6,302,173                        09/076,127                      10/16/01
6,302,185                        09/480,358                      10/16/01
6,302,191                        09/485,373                      10/16/01
6,302,193                        08/996,519                      10/16/01
6,302,195                        09/503,717                      10/16/01
6,302,209                        09/151,169                      10/16/01
6,302,211                        09/369,794                      10/16/01
6,302,213                        09/625,259                      10/16/01
6,302,216                        09/441,817                      10/16/01
6,302,228                        09/379,116                      10/16/01
6,302,229                        09/418,615                      10/16/01
6,302,232                        09/614,417                      10/16/01
6,302,247                        09/471,533                      10/16/01
6,302,250                        09/015,571                      10/16/01
6,302,253                        09/517,796                      10/16/01
6,302,265                        09/510,874                      10/16/01
6,302,268                        09/718,700                      10/16/01
6,302,275                        09/585,198                      10/16/01
6,302,277                        08/964,312                      10/16/01
6,302,280                        09/490,902                      10/16/01
6,302,289                        09/477,367                      10/16/01
6,302,291                        09/538,350                      10/16/01
6,302,298                        09/685,263                      10/16/01
6,302,307                        09/611,287                      10/16/01
6,302,317                        09/335,779                      10/16/01
6,302,318                        09/343,987                      10/16/01
6,302,328                        09/352,875                      10/16/01
6,302,331                        09/552,970                      10/16/01
6,302,332                        09/465,706                      10/16/01
6,302,333                        09/293,767                      10/16/01
6,302,337                        09/644,798                      10/16/01
6,302,350                        09/376,311                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 8 

6,302,353                        09/568,289                      10/16/01
6,302,354                        09/591,387                      10/16/01
6,302,355                        09/432,994                      10/16/01
6,302,359                        09/548,953                      10/16/01
6,302,372                        09/455,175                      10/16/01
6,302,379                        09/569,365                      10/16/01
6,302,380                        09/392,080                      10/16/01
6,302,383                        09/567,444                      10/16/01
6,302,385                        09/345,240                      10/16/01
6,302,389                        09/492,124                      10/16/01
6,302,391                        09/352,251                      10/16/01
6,302,392                        09/222,750                      10/16/01
6,302,398                        09/712,753                      10/16/01
6,302,401                        09/347,393                      10/16/01
6,302,405                        09/338,961                      10/16/01
6,302,406                        09/480,109                      10/16/01
6,302,408                        09/423,533                      10/16/01
6,302,411                        09/177,667                      10/16/01
6,302,412                        09/447,153                      10/16/01
6,302,413                        09/307,291                      10/16/01
6,302,418                        09/556,004                      10/16/01
6,302,421                        09/571,077                      10/16/01
6,302,425                        09/416,726                      10/16/01
6,302,429                        09/442,058                      10/16/01
6,302,431                        09/308,387                      10/16/01
6,302,432                        09/416,605                      10/16/01
6,302,434                        09/150,175                      10/16/01
6,302,440                        09/490,900                      10/16/01
6,302,441                        09/298,997                      10/16/01
6,302,447                        09/329,870                      10/16/01
6,302,454                        09/519,876                      10/16/01
6,302,456                        09/565,746                      10/16/01
6,302,465                        09/398,275                      10/16/01
6,302,472                        09/600,423                      10/16/01
6,302,473                        09/530,922                      10/16/01
6,302,475                        09/634,359                      10/16/01
6,302,482                        09/481,013                      10/16/01
6,302,492                        09/423,188                      10/16/01
6,302,496                        09/254,157                      10/16/01
6,302,500                        09/389,065                      10/16/01
6,302,503                        09/181,953                      10/16/01
6,302,505                        09/627,923                      10/16/01
6,302,509                        09/059,266                      10/16/01
6,302,513                        09/410,271                      10/16/01
6,302,515                        09/472,716                      10/16/01
6,302,517                        09/453,292                      10/16/01
6,302,528                        09/112,808                      10/16/01
6,302,530                        08/881,644                      10/16/01
6,302,531                        09/040,238                      10/16/01
6,302,534                        09/469,279                      10/16/01
6,302,537                        09/428,760                      10/16/01
6,302,542                        09/253,656                      10/16/01
6,302,544                        09/522,822                      10/16/01
6,302,545                        09/227,344                      10/16/01
6,302,553                        09/360,637                      10/16/01
6,302,559                        09/447,851                      10/16/01
6,302,569                        09/598,396                      10/16/01
6,302,571                        09/539,652                      10/16/01
6,302,572                        09/457,548                      10/16/01
6,302,579                        09/441,073                      10/16/01
6,302,580                        09/199,943                      10/16/01
6,302,581                        09/502,473                      10/16/01
6,302,584                        09/671,757                      10/16/01
6,302,585                        09/664,604                      10/16/01
6,302,589                        09/470,572                      10/16/01
6,302,592                        09/356,737                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 9 

6,302,603                        09/551,435                      10/16/01
6,302,606                        09/487,607                      10/16/01
6,302,607                        09/554,871                      10/16/01
6,302,609                        09/485,856                      10/16/01
6,302,612                        09/039,928                      10/16/01
6,302,615                        09/209,158                      10/16/01
6,302,618                        09/061,526                      10/16/01
6,302,619                        09/747,916                      10/16/01
6,302,621                        09/147,624                      10/16/01
6,302,634                        09/271,324                      10/16/01
6,302,637                        09/626,501                      10/16/01
6,302,639                        09/520,697                      10/16/01
6,302,649                        09/411,103                      10/16/01
6,302,659                        09/501,021                      10/16/01
6,302,667                        09/485,588                      10/16/01
6,302,675                        09/275,172                      10/16/01
6,302,681                        09/598,302                      10/16/01
6,302,682                        09/259,469                      10/16/01
6,302,684                        09/519,426                      10/16/01
6,302,687                        09/847,171                      10/16/01
6,302,691                        09/667,664                      10/16/01
6,302,699                        09/329,573                      10/16/01
6,302,714                        09/761,062                      10/16/01
6,302,719                        09/400,126                      10/16/01
6,302,720                        09/544,085                      10/16/01
6,302,722                        09/708,896                      10/16/01
6,302,723                        09/621,470                      10/16/01
6,302,724                        09/355,472                      10/16/01
6,302,728                        09/222,504                      10/16/01
6,302,734                        09/521,553                      10/16/01
6,302,736                        09/511,458                      10/16/01
6,302,741                        09/420,884                      10/16/01
6,302,742                        09/586,288                      10/16/01
6,302,757                        09/632,670                      10/16/01
6,302,758                        09/633,836                      10/16/01
6,302,761                        09/659,101                      10/16/01
6,302,770                        09/123,946                      10/16/01
6,302,773                        09/360,774                      10/16/01
6,302,780                        09/580,072                      10/16/01
6,302,782                        09/478,166                      10/16/01
6,302,783                        09/530,340                      10/16/01
6,302,784                        09/638,817                      10/16/01
6,302,797                        09/553,674                      10/16/01
6,302,816                        09/519,792                      10/16/01
6,302,823                        09/555,676                      10/16/01
6,302,824                        09/004,613                      10/16/01
6,302,828                        09/493,708                      10/16/01
6,302,833                        09/492,720                      10/16/01
6,302,835                        09/452,357                      10/16/01
6,302,842                        09/758,947                      10/16/01
6,302,848                        09/346,463                      10/16/01
6,302,849                        09/577,627                      10/16/01
6,302,856                        09/341,773                      10/16/01
6,302,857                        09/587,134                      10/16/01
6,302,862                        09/590,745                      10/16/01
6,302,863                        09/097,993                      10/16/01
6,302,864                        09/397,904                      10/16/01
6,302,865                        09/524,486                      10/16/01
6,302,868                        09/316,047                      10/16/01
6,302,869                        08/887,763                      10/16/01
6,302,872                        09/609,391                      10/16/01
6,302,880                        09/182,967                      10/16/01
6,302,884                        09/669,439                      10/16/01
6,302,886                        09/234,022                      10/16/01
6,302,891                        09/075,184                      10/16/01
6,302,905                        09/323,181                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 10 

6,302,909                        08/690,661                      10/16/01
6,302,910                        09/469,290                      10/16/01
6,302,913                        08/737,760                      10/16/01
6,302,916                        09/472,391                      10/16/01
6,302,923                        09/574,331                      10/16/01
6,302,929                        08/222,477                      10/16/01
6,302,936                        09/372,841                      10/16/01
6,302,940                        09/797,605                      10/16/01
6,302,945                        09/330,702                      10/16/01
6,302,949                        09/376,828                      10/16/01
6,302,951                        09/477,411                      10/16/01
6,302,952                        09/581,541                      10/16/01
6,302,955                        09/416,785                      10/16/01
6,302,959                        09/748,777                      10/16/01
6,302,962                        09/336,751                      10/16/01
6,302,963                        09/468,238                      10/16/01
6,302,967                        09/663,243                      10/16/01
6,302,984                        08/944,568                      10/16/01
6,302,986                        09/281,386                      10/16/01
6,302,989                        09/200,748                      10/16/01
6,302,990                        09/517,525                      10/16/01
6,302,994                        09/242,098                      10/16/01
6,302,999                        09/152,986                      10/16/01
6,303,001                        09/401,952                      10/16/01
6,303,005                        08/933,751                      10/16/01
6,303,009                        09/440,192                      10/16/01
6,303,012                        09/158,147                      10/16/01
6,303,013                        09/476,113                      10/16/01
6,303,016                        09/291,895                      10/16/01
6,303,022                        09/378,801                      10/16/01
6,303,023                        09/520,415                      10/16/01
6,303,034                        09/084,951                      10/16/01
6,303,051                        09/392,891                      10/16/01
6,303,070                        09/288,333                      10/16/01
6,303,071                        09/147,294                      10/16/01
6,303,075                        09/534,625                      10/16/01
6,303,080                        09/633,436                      10/16/01
6,303,085                        09/474,005                      10/16/01
6,303,090                        09/580,991                      10/16/01
6,303,092                        08/419,317                      10/16/01
6,303,094                        09/194,204                      10/16/01
6,303,098                        09/382,737                      10/16/01
6,303,102                        09/657,191                      10/16/01
6,303,103                        09/593,380                      10/16/01
6,303,108                        09/332,900                      10/16/01
6,303,113                        08/593,579                      10/16/01
6,303,118                        09/343,623                      10/16/01
6,303,121                        09/007,097                      10/16/01
6,303,126                        09/072,742                      10/16/01
6,303,131                        09/094,933                      10/16/01
6,303,132                        09/354,836                      10/16/01
6,303,137                        09/341,206                      10/16/01
6,303,138                        09/398,494                      10/16/01
6,303,142                        09/545,591                      10/16/01
6,303,143                        09/095,616                      10/16/01
6,303,154                        09/404,297                      10/16/01
6,303,156                        09/337,506                      10/16/01
6,303,173                        09/378,401                      10/16/01
6,303,177                        09/519,324                      10/16/01
6,303,178                        09/362,034                      10/16/01
6,303,179                        09/245,834                      10/16/01
6,303,192                        09/121,180                      10/16/01
6,303,195                        09/697,945                      10/16/01
6,303,196                        09/416,062                      10/16/01
6,303,200                        09/014,217                      10/16/01
6,303,205                        09/313,283                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 11 

6,303,206                        09/574,590                      10/16/01
6,303,210                        09/554,114                      10/16/01
6,303,214                        09/477,064                      10/16/01
6,303,217                        09/165,434                      10/16/01
6,303,221                        09/731,556                      10/16/01
6,303,229                        09/445,350                      10/16/01
6,303,234                        08/818,195                      10/16/01
6,303,236                        09/503,229                      10/16/01
6,303,240                        08/479,843                      10/16/01
6,303,242                        09/458,058                      10/16/01
6,303,245                        09/385,497                      10/16/01
6,303,250                        09/289,468                      10/16/01
6,303,251                        09/360,989                      10/16/01
6,303,253                        09/526,856                      10/16/01
6,303,260                        09/540,778                      10/16/01
6,303,261                        09/525,946                      10/16/01
6,303,269                        09/539,787                      10/16/01
6,303,274                        09/335,858                      10/16/01
6,303,280                        09/576,804                      10/16/01
6,303,282                        09/461,773                      10/16/01
6,303,286                        09/611,241                      10/16/01
6,303,291                        09/694,022                      10/16/01
6,303,292                        09/046,604                      10/16/01
6,303,311                        09/361,727                      10/16/01
6,303,313                        09/439,732                      10/16/01
6,303,317                        09/015,030                      10/16/01
6,303,324                        09/199,217                      10/16/01
6,303,328                        09/266,065                      10/16/01
6,303,333                        09/184,001                      10/16/01
6,303,337                        09/382,950                      10/16/01
6,303,353                        09/509,547                      10/16/01
6,303,359                        09/525,046                      10/16/01
6,303,360                        09/543,446                      10/16/01
6,303,366                        09/214,751                      10/16/01
6,303,367                        09/355,891                      10/16/01
6,303,370                        09/047,031                      10/16/01
6,303,372                        09/332,295                      10/16/01
6,303,382                        08/771,190                      10/16/01
6,303,385                        09/800,667                      10/16/01
6,303,389                        09/106,824                      10/16/01
6,303,395                        09/323,601                      10/16/01
6,303,402                        09/604,408                      10/16/01
6,303,427                        09/659,508                      10/16/01
6,303,429                        09/676,084                      10/16/01
6,303,434                        09/510,709                      10/16/01
6,303,445                        09/625,942                      10/16/01
6,303,446                        08/593,766                      10/16/01
6,303,461                        09/221,203                      10/16/01
6,303,469                        09/589,244                      10/16/01
6,303,471                        09/416,820                      10/16/01
6,303,473                        09/212,532                      10/16/01
6,303,479                        09/465,357                      10/16/01
6,303,480                        09/395,040                      10/16/01
6,303,488                        08/798,910                      10/16/01
6,303,492                        09/373,101                      10/16/01
6,303,493                        08/924,534                      10/16/01
6,303,494                        09/460,815                      10/16/01
6,303,495                        09/038,117                      10/16/01
6,303,500                        09/256,548                      10/16/01
6,303,502                        09/588,940                      10/16/01
6,303,504                        09/031,364                      10/16/01
6,303,515                        09/384,035                      10/16/01
6,303,516                        09/208,753                      10/16/01
6,303,520                        09/212,495                      10/16/01
6,303,525                        09/642,074                      10/16/01
6,303,526                        09/220,721                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 12 

6,303,531                        09/482,734                      10/16/01
6,303,537                        09/441,603                      10/16/01
6,303,538                        09/324,357                      10/16/01
6,303,540                        09/431,052                      10/16/01
6,303,543                        09/570,911                      10/16/01
6,303,552                        09/366,868                      10/16/01
6,303,557                        09/441,528                      10/16/01
6,303,558                        09/084,569                      10/16/01
6,303,561                        09/555,072                      10/16/01
6,303,562                        09/596,968                      10/16/01
6,303,566                        09/538,142                      10/16/01
6,303,567                        08/703,675                      10/16/01
6,303,568                        08/749,066                      10/16/01
6,303,569                        09/137,430                      10/16/01
6,303,575                        09/076,227                      10/16/01
6,303,579                        09/284,074                      10/16/01
6,303,582                        09/427,836                      10/16/01
6,303,585                        09/110,381                      10/16/01
6,303,587                        09/381,569                      10/16/01
6,303,591                        09/533,225                      10/16/01
6,303,600                        09/216,392                      10/16/01
6,303,604                        09/590,187                      10/16/01
6,303,608                        09/445,081                      10/16/01
6,303,611                        09/150,369                      10/16/01
6,303,622                        09/117,583                      10/16/01
6,303,635                        09/384,214                      10/16/01
6,303,638                        09/372,114                      10/16/01
6,303,643                        09/690,620                      10/16/01
6,303,653                        09/104,880                      10/16/01
6,303,659                        09/745,740                      10/16/01
6,303,664                        09/430,544                      10/16/01
6,303,665                        08/403,826                      10/16/01
6,303,668                        09/380,660                      10/16/01
6,303,673                        09/529,704                      10/16/01
6,303,690                        09/464,433                      10/16/01
6,303,693                        09/824,610                      10/16/01
6,303,698                        09/486,921                      10/16/01
6,303,704                        09/444,691                      10/16/01
6,303,706                        09/597,414                      10/16/01
6,303,709                        09/424,849                      10/16/01
6,303,712                        09/377,917                      10/16/01
6,303,715                        09/455,249                      10/16/01
6,303,720                        09/570,222                      10/16/01
6,303,724                        09/345,286                      10/16/01
6,303,727                        09/320,838                      10/16/01
6,303,728                        09/462,467                      10/16/01
6,303,730                        09/367,884                      10/16/01
6,303,731                        09/488,261                      10/16/01
6,303,732                        09/394,209                      10/16/01
6,303,736                        09/685,903                      10/16/01
6,303,749                        09/240,078                      10/16/01
6,303,753                        09/217,345                      10/16/01
6,303,755                        09/262,724                      10/16/01
6,303,757                        09/305,289                      10/16/01
6,303,758                        09/310,849                      10/16/01
6,303,759                        09/310,850                      10/16/01
6,303,763                        09/446,384                      10/16/01
6,303,768                        09/370,098                      10/16/01
6,303,769                        08/271,948                      10/16/01
6,303,783                        09/368,340                      10/16/01
6,303,786                        09/300,835                      10/16/01
6,303,788                        09/194,647                      10/16/01
6,303,794                        09/218,846                      10/16/01
6,303,801                        09/517,058                      10/16/01
6,303,808                        09/635,615                      10/16/01
6,303,819                        09/581,254                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 13 

6,303,842                        09/544,306                      10/16/01
6,303,845                        09/536,094                      10/16/01
6,303,863                        09/535,808                      10/16/01
6,303,868                        09/491,041                      10/16/01
6,303,874                        09/180,737                      10/16/01
6,303,877                        09/109,912                      10/16/01
6,303,885                        09/517,649                      10/16/01
6,303,897                        09/294,614                      10/16/01
6,303,903                        09/372,121                      10/16/01
6,303,905                        09/648,042                      10/16/01
6,303,906                        09/451,494                      10/16/01
6,303,910                        09/776,796                      10/16/01
6,303,915                        09/394,015                      10/16/01
6,303,916                        09/220,705                      10/16/01
6,303,923                        09/437,328                      10/16/01
6,303,925                        09/256,318                      10/16/01
6,303,928                        09/217,722                      10/16/01
6,303,933                        09/280,121                      10/16/01
6,303,934                        09/058,488                      10/16/01
6,303,935                        09/316,189                      10/16/01
6,303,936                        09/190,331                      10/16/01
6,303,937                        09/031,884                      10/16/01
6,303,941                        09/427,196                      10/16/01
6,303,948                        08/805,604                      10/16/01
6,303,957                        09/194,177                      10/16/01
6,303,965                        09/378,434                      10/16/01
6,303,971                        08/974,371                      10/16/01
6,303,976                        09/571,179                      10/16/01
6,303,981                        09/388,323                      10/16/01
6,303,982                        09/771,617                      10/16/01
6,303,984                        09/490,911                      10/16/01
6,303,985                        09/191,858                      10/16/01
6,303,989                        08/596,343                      10/16/01
6,303,993                        09/521,592                      10/16/01
6,303,994                        09/592,803                      10/16/01
6,304,000                        09/706,561                      10/16/01
6,304,005                        09/274,111                      10/16/01
6,304,011                        09/242,183                      10/16/01
6,304,030                        09/314,417                      10/16/01
6,304,031                        09/118,840                      10/16/01
6,304,035                        09/451,923                      10/16/01
6,304,038                        09/606,956                      10/16/01
6,304,039                        09/634,448                      10/16/01
6,304,043                        09/608,327                      10/16/01
6,304,044                        09/613,324                      10/16/01
6,304,046                        09/501,645                      10/16/01
6,304,052                        09/604,441                      10/16/01
6,304,053                        09/604,848                      10/16/01
6,304,063                        09/769,357                      10/16/01
6,304,065                        09/798,419                      10/16/01
6,304,070                        09/620,159                      10/16/01
6,304,072                        09/492,815                      10/16/01
6,304,073                        09/337,275                      10/16/01
6,304,078                        09/657,498                      10/16/01
6,304,080                        09/419,848                      10/16/01
6,304,085                        09/776,053                      10/16/01
6,304,087                        09/654,715                      10/16/01
6,304,105                        09/563,228                      10/16/01
6,304,112                        09/635,115                      10/16/01
6,304,118                        09/192,920                      10/16/01
6,304,132                        09/183,321                      10/16/01
6,304,133                        09/512,345                      10/16/01
6,304,139                        09/712,385                      10/16/01
6,304,152                        09/628,356                      10/16/01
6,304,155                        09/740,940                      10/16/01
6,304,158                        09/391,825                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 14 

6,304,164                        09/240,699                      10/16/01
6,304,166                        09/401,497                      10/16/01
6,304,178                        09/127,732                      10/16/01
6,304,182                        09/220,443                      10/16/01
6,304,190                        09/446,212                      10/16/01
6,304,192                        09/546,286                      10/16/01
6,304,195                        09/380,136                      10/16/01
6,304,197                        09/524,834                      10/16/01
6,304,198                        09/671,122                      10/16/01
6,304,213                        09/480,992                      10/16/01
6,304,219                        09/380,131                      10/16/01
6,304,226                        09/385,646                      10/16/01
6,304,236                        09/498,618                      10/16/01
6,304,249                        09/405,601                      10/16/01
6,304,252                        09/241,324                      10/16/01
6,304,256                        09/238,043                      10/16/01
6,304,269                        09/257,953                      10/16/01
6,304,270                        08/682,419                      10/16/01
6,304,275                        09/183,193                      10/16/01
6,304,281                        09/267,737                      10/16/01
6,304,282                        09/466,905                      10/16/01
6,304,285                        09/098,322                      10/16/01
6,304,293                        08/864,934                      10/16/01
6,304,294                        09/418,701                      10/16/01
6,304,295                        09/227,520                      10/16/01
6,304,302                        09/256,951                      10/16/01
6,304,303                        09/330,196                      10/16/01
6,304,309                        09/423,543                      10/16/01
6,304,311                        09/438,340                      10/16/01
6,304,312                        09/101,776                      10/16/01
6,304,315                        09/386,820                      10/16/01
6,304,320                        09/512,766                      10/16/01
6,304,321                        09/479,517                      10/16/01
6,304,328                        09/134,201                      10/16/01
6,304,330                        09/413,829                      10/16/01
6,304,333                        09/136,558                      10/16/01
6,304,334                        08/661,383                      10/16/01
6,304,338                        08/870,721                      10/16/01
6,304,339                        09/192,912                      10/16/01
6,304,346                        09/022,004                      10/16/01
6,304,348                        09/003,753                      10/16/01
6,304,349                        09/109,250                      10/16/01
6,304,351                        09/181,424                      10/16/01
6,304,353                        09/197,154                      10/16/01
6,304,354                        09/238,453                      10/16/01
6,304,355                        09/107,668                      10/16/01
6,304,357                        09/041,973                      10/16/01
6,304,358                        09/536,220                      10/16/01
6,304,359                        09/357,611                      10/16/01
6,304,361                        09/608,554                      10/16/01
6,304,374                        09/133,382                      10/16/01
6,304,378                        09/462,142                      10/16/01
6,304,386                        09/446,363                      10/16/01
6,304,399                        08/525,152                      10/16/01
6,304,402                        09/637,498                      10/16/01
6,304,403                        09/345,890                      10/16/01
6,304,405                        09/115,158                      10/16/01
6,304,410                        08/636,304                      10/16/01
6,304,412                        09/310,595                      10/16/01
6,304,421                        09/312,673                      10/16/01
6,304,434                        09/086,301                      10/16/01
6,304,436                        09/454,919                      10/16/01
6,304,441                        09/377,860                      10/16/01
6,304,442                        09/607,039                      10/16/01
6,304,444                        09/643,582                      10/16/01
6,304,451                        09/624,529                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 15 

6,304,455                        09/117,466                      10/16/01
6,304,456                        09/358,952                      10/16/01
6,304,460                        09/566,045                      10/16/01
6,304,467                        09/843,411                      10/16/01
6,304,483                        09/028,727                      10/16/01
6,304,484                        09/722,111                      10/16/01
6,304,489                        09/537,933                      10/16/01
6,304,490                        09/675,985                      10/16/01
6,304,493                        09/619,404                      10/16/01
6,304,494                        09/657,146                      10/16/01
6,304,504                        09/651,556                      10/16/01
6,304,515                        09/453,336                      10/16/01
6,304,519                        09/565,792                      10/16/01
6,304,520                        09/421,243                      10/16/01
6,304,521                        09/439,828                      10/16/01
6,304,523                        09/227,086                      10/16/01
6,304,525                        09/380,217                      10/16/01
6,304,531                        09/518,850                      10/16/01
6,304,536                        09/624,351                      10/16/01
6,304,537                        09/639,111                      10/16/01
6,304,539                        09/272,608                      10/16/01
6,304,543                        08/673,214                      10/16/01
6,304,544                        09/464,059                      10/16/01
6,304,549                        08/852,892                      10/16/01
6,304,560                        08/942,108                      10/16/01
6,304,568                        09/013,190                      10/16/01
6,304,571                        09/037,936                      10/16/01
6,304,593                        09/167,406                      10/16/01
6,304,598                        09/143,476                      10/16/01
6,304,603                        09/060,266                      10/16/01
6,304,604                        09/220,912                      10/16/01
6,304,606                        09/179,857                      10/16/01
6,304,625                        09/452,684                      10/16/01
6,304,627                        09/557,771                      10/16/01
6,304,632                        09/415,816                      10/16/01
6,304,641                        09/559,129                      10/16/01
6,304,643                        09/369,309                      10/16/01
6,304,645                        09/518,966                      10/16/01
6,304,647                        09/138,689                      10/16/01
6,304,653                        09/205,333                      10/16/01
6,304,660                        09/088,823                      10/16/01
6,304,667                        09/598,577                      10/16/01
6,304,682                        09/166,015                      10/16/01
6,304,685                        09/566,237                      10/16/01
6,304,689                        09/227,355                      10/16/01
6,304,693                        09/454,073                      10/16/01
6,304,712                        09/187,372                      10/16/01
6,304,715                        08/988,172                      10/16/01
6,304,720                        09/377,159                      10/16/01
6,304,721                        09/554,016                      10/16/01
6,304,736                        09/082,158                      10/16/01
6,304,749                        09/288,322                      10/16/01
6,304,759                        09/144,241                      10/16/01
6,304,761                        08/841,106                      10/16/01
6,304,768                        09/716,521                      10/16/01
6,304,774                        09/263,763                      10/16/01
6,304,781                        09/182,419                      10/16/01
6,304,789                        09/195,988                      10/16/01
6,304,790                        09/177,301                      10/16/01
6,304,794                        08/988,240                      10/16/01
6,304,803                        09/401,379                      10/16/01
6,304,804                        09/452,628                      10/16/01
6,304,813                        09/517,627                      10/16/01
6,304,814                        09/432,454                      10/16/01
6,304,818                        09/550,020                      10/16/01
6,304,834                        09/395,963                      10/16/01
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 16 

6,304,839                        09/172,968                      10/16/01
6,304,841                        08/902,177                      10/16/01
6,304,848                        09/133,548                      10/16/01
6,304,863                        08/965,528                      10/16/01
6,304,867                        09/257,670                      10/16/01
6,304,877                        09/299,709                      10/16/01
6,304,883                        08/902,356                      10/16/01
6,304,887                        09/151,939                      10/16/01
6,304,920                        09/537,595                      10/16/01
6,304,922                        09/819,217                      10/16/01
6,304,931                        09/182,232                      10/16/01
6,304,932                        09/697,560                      10/16/01
6,304,937                        09/669,295                      10/16/01
6,304,961                        08/800,367                      10/16/01
6,304,975                        09/630,448                      10/16/01
6,304,983                        09/163,917                      10/16/01
6,304,990                        09/084,121                      10/16/01
6,304,994                        09/154,828                      10/16/01
6,305,004                        09/387,062                      10/16/01
6,305,008                        09/191,781                      10/16/01

                   PATENTS WHICH EXPIRED ON October 11, 2013
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                         Issue
Number                             Number                            Date

6,952,838                        10/938,896                      10/11/05
6,952,842                        10/376,128                      10/11/05
6,952,852                        10/745,143                      10/11/05
6,952,864                        10/190,727                      10/11/05
6,952,868                        10/100,353                      10/11/05
6,952,879                        10/418,640                      10/11/05
6,952,880                        09/940,363                      10/11/05
6,952,885                        09/928,070                      10/11/05
6,952,889                        10/288,729                      10/11/05
6,952,902                        10/234,894                      10/11/05
6,952,904                        10/194,987                      10/11/05
6,952,907                        10/932,901                      10/11/05
6,952,908                        10/842,834                      10/11/05
6,952,912                        10/368,802                      10/11/05
6,952,914                        10/701,592                      10/11/05
6,952,917                        10/610,635                      10/11/05
6,952,921                        10/687,553                      10/11/05
6,952,925                        10/417,394                      10/11/05
6,952,928                        10/726,815                      10/11/05
6,952,937                        10/712,948                      10/11/05
6,952,944                        10/266,670                      10/11/05
6,952,953                        10/471,903                      10/11/05
6,952,970                        09/979,799                      10/11/05
6,952,977                        10/349,221                      10/11/05
6,952,978                        09/914,432                      10/11/05
6,952,993                        10/725,721                      10/11/05
6,952,995                        10/042,391                      10/11/05
6,952,997                        10/481,205                      10/11/05
6,952,999                        10/690,314                      10/11/05
6,953,007                        10/404,727                      10/11/05
6,953,016                        10/763,759                      10/11/05
6,953,024                        10/223,573                      10/11/05
6,953,026                        10/687,137                      10/11/05
6,953,027                        10/794,083                      10/11/05
6,953,028                        10/621,888                      10/11/05
6,953,031                        10/891,686                      10/11/05
6,953,033                        10/832,827                      10/11/05
6,953,037                        10/411,780                      10/11/05
6,953,038                        10/296,569                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 17 

6,953,041                        10/267,276                      10/11/05
6,953,043                        10/608,526                      10/11/05
6,953,049                        10/637,895                      10/11/05
6,953,050                        10/685,645                      10/11/05
6,953,051                        10/002,157                      10/11/05
6,953,055                        10/395,717                      10/11/05
6,953,067                        10/203,762                      10/11/05
6,953,071                        10/308,694                      10/11/05
6,953,072                        10/349,823                      10/11/05
6,953,079                        10/661,783                      10/11/05
6,953,081                        10/115,891                      10/11/05
6,953,102                        11/017,696                      10/11/05
6,953,104                        10/409,360                      10/11/05
6,953,105                        10/182,345                      10/11/05
6,953,107                        10/469,861                      10/11/05
6,953,110                        10/296,659                      10/11/05
6,953,113                        10/832,287                      10/11/05
6,953,114                        10/409,930                      10/11/05
6,953,115                        10/419,031                      10/11/05
6,953,117                        10/388,309                      10/11/05
6,953,118                        10/404,487                      10/11/05
6,953,119                        10/406,857                      10/11/05
6,953,128                        10/420,791                      10/11/05
6,953,135                        10/212,186                      10/11/05
6,953,138                        10/782,151                      10/11/05
6,953,143                        10/412,367                      10/11/05
6,953,144                        10/600,575                      10/11/05
6,953,147                        10/602,907                      10/11/05
6,953,151                        10/135,866                      10/11/05
6,953,152                        10/151,743                      10/11/05
6,953,153                        08/943,288                      10/11/05
6,953,157                        10/470,350                      10/11/05
6,953,164                        10/695,656                      10/11/05
6,953,166                        10/433,157                      10/11/05
6,953,167                        10/439,511                      10/11/05
6,953,169                        10/673,443                      10/11/05
6,953,172                        10/271,573                      10/11/05
6,953,177                        10/881,311                      10/11/05
6,953,180                        10/447,374                      10/11/05
6,953,181                        10/356,795                      10/11/05
6,953,187                        10/486,630                      10/11/05
6,953,188                        10/637,998                      10/11/05
6,953,191                        10/467,240                      10/11/05
6,953,192                        10/429,827                      10/11/05
6,953,202                        10/985,384                      10/11/05
6,953,206                        09/914,790                      10/11/05
6,953,213                        10/431,825                      10/11/05
6,953,216                        10/896,516                      10/11/05
6,953,220                        10/963,727                      10/11/05
6,953,222                        10/633,549                      10/11/05
6,953,224                        10/405,938                      10/11/05
6,953,225                        10/429,523                      10/11/05
6,953,229                        10/025,777                      10/11/05
6,953,232                        10/283,792                      10/11/05
6,953,236                        10/487,823                      10/11/05
6,953,245                        10/180,113                      10/11/05
6,953,252                        10/652,168                      10/11/05
6,953,253                        10/940,700                      10/11/05
6,953,259                        10/461,153                      10/11/05
6,953,260                        10/245,607                      10/11/05
6,953,267                        10/402,177                      10/11/05
6,953,268                        10/456,950                      10/11/05
6,953,270                        10/439,056                      10/11/05
6,953,272                        10/286,671                      10/11/05
6,953,275                        10/849,265                      10/11/05
6,953,278                        10/328,536                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 18 

6,953,288                        10/423,145                      10/11/05
6,953,295                        10/974,758                      10/11/05
6,953,298                        10/644,674                      10/11/05
6,953,302                        10/897,928                      10/11/05
6,953,303                        10/420,112                      10/11/05
6,953,310                        10/409,111                      10/11/05
6,953,311                        10/650,239                      10/11/05
6,953,322                        10/727,748                      10/11/05
6,953,328                        10/270,387                      10/11/05
6,953,335                        10/477,309                      10/11/05
6,953,339                        10/146,448                      10/11/05
6,953,346                        10/733,440                      10/11/05
6,953,347                        10/702,299                      10/11/05
6,953,349                        10/850,427                      10/11/05
6,953,350                        10/903,219                      10/11/05
6,953,359                        10/869,149                      10/11/05
6,953,360                        10/464,915                      10/11/05
6,953,367                        10/894,734                      10/11/05
6,953,374                        10/767,354                      10/11/05
6,953,375                        10/813,204                      10/11/05
6,953,377                        10/838,188                      10/11/05
6,953,388                        10/168,664                      10/11/05
6,953,393                        10/739,160                      10/11/05
6,953,406                        10/610,179                      10/11/05
6,953,411                        10/744,646                      10/11/05
6,953,413                        10/332,085                      10/11/05
6,953,414                        10/414,156                      10/11/05
6,953,419                        10/647,577                      10/11/05
6,953,422                        10/310,697                      10/11/05
6,953,425                        10/829,561                      10/11/05
6,953,427                        10/672,862                      10/11/05
6,953,437                        10/018,713                      10/11/05
6,953,439                        10/604,121                      10/11/05
6,953,443                        10/199,935                      10/11/05
6,953,455                        10/207,934                      10/11/05
6,953,467                        10/117,765                      10/11/05
6,953,477                        10/792,331                      10/11/05
6,953,481                        10/873,642                      10/11/05
6,953,489                        10/331,252                      10/11/05
6,953,492                        10/297,087                      10/11/05
6,953,496                        10/394,424                      10/11/05
6,953,501                        10/215,103                      10/11/05
6,953,503                        10/311,773                      10/11/05
6,953,510                        09/418,237                      10/11/05
6,953,511                        09/901,210                      10/11/05
6,953,523                        10/726,779                      10/11/05
6,953,527                        10/370,295                      10/11/05
6,953,531                        10/247,882                      10/11/05
6,953,538                        10/296,516                      10/11/05
6,953,555                        09/971,931                      10/11/05
6,953,556                        10/815,230                      10/11/05
6,953,557                        09/463,961                      10/11/05
6,953,561                        10/197,637                      10/11/05
6,953,569                        10/029,712                      10/11/05
6,953,573                        09/167,516                      10/11/05
6,953,578                        09/821,435                      10/11/05
6,953,580                        10/202,565                      10/11/05
6,953,588                        10/279,708                      10/11/05
6,953,591                        09/957,698                      10/11/05
6,953,595                        10/311,392                      10/11/05
6,953,601                        10/167,859                      10/11/05
6,953,609                        10/686,556                      10/11/05
6,953,614                        10/687,738                      10/11/05
6,953,620                        09/908,413                      10/11/05
6,953,621                        10/301,396                      10/11/05
6,953,630                        09/916,115                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 19 

6,953,639                        10/390,560                      10/11/05
6,953,647                        10/200,812                      10/11/05
6,953,652                        10/763,497                      10/11/05
6,953,654                        10/063,049                      10/11/05
6,953,657                        09/996,617                      10/11/05
6,953,658                        09/802,674                      10/11/05
6,953,661                        10/031,492                      10/11/05
6,953,672                        10/225,323                      10/11/05
6,953,682                        10/165,800                      10/11/05
6,953,683                        10/299,064                      10/11/05
6,953,691                        10/781,294                      10/11/05
6,953,699                        10/900,602                      10/11/05
6,953,700                        10/927,546                      10/11/05
6,953,701                        10/213,150                      10/11/05
6,953,703                        10/610,332                      10/11/05
6,953,704                        10/446,036                      10/11/05
6,953,706                        10/438,848                      10/11/05
6,953,709                        10/484,191                      10/11/05
6,953,710                        10/751,199                      10/11/05
6,953,713                        09/916,484                      10/11/05
6,953,718                        10/392,343                      10/11/05
6,953,724                        10/605,362                      10/11/05
6,953,729                        10/625,630                      10/11/05
6,953,731                        10/457,450                      10/11/05
6,953,733                        10/700,565                      10/11/05
6,953,739                        10/704,985                      10/11/05
6,953,743                        10/637,108                      10/11/05
6,953,747                        10/739,229                      10/11/05
6,953,749                        09/798,404                      10/11/05
6,953,754                        10/478,888                      10/11/05
6,953,766                        10/382,544                      10/11/05
6,953,768                        10/303,977                      10/11/05
6,953,770                        10/333,770                      10/11/05
6,953,775                        10/268,590                      10/11/05
6,953,778                        10/281,867                      10/11/05
6,953,779                        09/849,592                      10/11/05
6,953,783                        09/420,692                      10/11/05
6,953,784                        10/679,110                      10/11/05
6,953,788                        08/893,080                      10/11/05
6,953,789                        10/757,325                      10/11/05
6,953,796                        10/764,853                      10/11/05
6,953,797                        10/204,808                      10/11/05
6,953,804                        10/696,753                      10/11/05
6,953,805                        10/451,819                      10/11/05
6,953,806                        10/315,770                      10/11/05
6,953,808                        10/757,059                      10/11/05
6,953,809                        10/194,969                      10/11/05
6,953,826                        10/817,940                      10/11/05
6,953,829                        10/168,646                      10/11/05
6,953,833                        10/032,950                      10/11/05
6,953,835                        09/943,692                      10/11/05
6,953,842                        10/022,609                      10/11/05
6,953,844                        10/782,261                      10/11/05
6,953,847                        09/949,713                      10/11/05
6,953,848                        10/213,797                      10/11/05
6,953,851                        10/672,680                      10/11/05
6,953,853                        10/467,832                      10/11/05
6,953,854                        10/698,737                      10/11/05
6,953,856                        10/714,724                      10/11/05
6,953,857                        10/023,933                      10/11/05
6,953,859                        10/343,607                      10/11/05
6,953,861                        10/805,624                      10/11/05
6,953,862                        10/430,086                      10/11/05
6,953,864                        10/292,172                      10/11/05
6,953,865                        10/482,729                      10/11/05
6,953,871                        10/471,369                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 20 

6,953,874                        09/775,803                      10/11/05
6,953,899                        10/656,619                      10/11/05
6,953,900                        10/478,091                      10/11/05
6,953,903                        10/227,025                      10/11/05
6,953,905                        10/447,641                      10/11/05
6,953,907                        10/603,948                      10/11/05
6,953,908                        10/736,844                      10/11/05
6,953,910                        10/450,948                      10/11/05
6,953,913                        10/898,766                      10/11/05
6,953,920                        10/768,084                      10/11/05
6,953,927                        10/616,896                      10/11/05
6,953,930                        10/228,139                      10/11/05
6,953,937                        10/607,735                      10/11/05
6,953,957                        10/684,584                      10/11/05
6,953,962                        11/033,320                      10/11/05
6,953,965                        10/455,711                      10/11/05
6,953,966                        10/254,646                      10/11/05
6,953,967                        10/689,993                      10/11/05
6,953,991                        10/332,809                      10/11/05
6,953,995                        10/624,766                      10/11/05
6,953,999                        11/059,825                      10/11/05
6,954,002                        10/230,493                      10/11/05
6,954,008                        10/444,969                      10/11/05
6,954,013                        10/493,007                      10/11/05
6,954,017                        10/710,341                      10/11/05
6,954,027                        10/385,685                      10/11/05
6,954,032                        10/715,507                      10/11/05
6,954,060                        10/401,921                      10/11/05
6,954,069                        09/990,209                      10/11/05
6,954,070                        10/694,419                      10/11/05
6,954,081                        10/338,530                      10/11/05
6,954,087                        10/477,575                      10/11/05
6,954,089                        10/776,199                      10/11/05
6,954,103                        10/427,968                      10/11/05
6,954,110                        10/648,919                      10/11/05
6,954,123                        10/738,165                      10/11/05
6,954,128                        10/305,658                      10/11/05
6,954,129                        10/470,005                      10/11/05
6,954,130                        10/071,581                      10/11/05
6,954,135                        09/937,628                      10/11/05
6,954,139                        10/628,667                      10/11/05
6,954,155                        10/793,910                      10/11/05
6,954,183                        10/158,189                      10/11/05
6,954,196                        09/444,317                      10/11/05
6,954,198                        10/411,287                      10/11/05
6,954,209                        10/115,551                      10/11/05
6,954,224                        09/550,038                      10/11/05
6,954,227                        09/814,932                      10/11/05
6,954,234                        09/974,438                      10/11/05
6,954,237                        10/361,791                      10/11/05
6,954,239                        10/615,692                      10/11/05
6,954,252                        10/089,929                      10/11/05
6,954,254                        10/944,054                      10/11/05
6,954,255                        10/170,590                      10/11/05
6,954,256                        10/698,012                      10/11/05
6,954,264                        10/873,793                      10/11/05
6,954,268                        10/801,402                      10/11/05
6,954,288                        09/742,122                      10/11/05
6,954,290                        09/708,517                      10/11/05
6,954,292                        09/950,715                      10/11/05
6,954,293                        09/982,194                      10/11/05
6,954,298                        10/491,669                      10/11/05
6,954,300                        09/835,328                      10/11/05
6,954,301                        10/426,372                      10/11/05
6,954,302                        10/690,486                      10/11/05
6,954,309                        10/332,372                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 21 

6,954,310                        10/670,679                      10/11/05
6,954,317                        10/059,259                      10/11/05
6,954,328                        09/898,808                      10/11/05
6,954,334                        10/376,586                      10/11/05
6,954,341                        09/748,919                      10/11/05
6,954,345                        10/198,952                      10/11/05
6,954,362                        09/943,954                      10/11/05
6,954,363                        10/979,899                      10/11/05
6,954,364                        10/631,868                      10/11/05
6,954,367                        10/248,219                      10/11/05
6,954,370                        10/734,140                      10/11/05
6,954,371                        10/860,770                      10/11/05
6,954,380                        10/913,251                      10/11/05
6,954,389                        10/710,207                      10/11/05
6,954,399                        10/737,961                      10/11/05
6,954,401                        11/023,395                      10/11/05
6,954,410                        10/219,224                      10/11/05
6,954,420                        09/762,210                      10/11/05
6,954,422                        09/423,792                      10/11/05
6,954,438                        09/790,243                      10/11/05
6,954,443                        09/803,534                      10/11/05
6,954,444                        10/667,647                      10/11/05
6,954,475                        10/215,184                      10/11/05
6,954,480                        09/879,226                      10/11/05
6,954,485                        09/677,775                      10/11/05
6,954,492                        09/551,889                      10/11/05
6,954,493                        09/814,709                      10/11/05
6,954,495                        09/998,183                      10/11/05
6,954,501                        10/368,094                      10/11/05
6,954,506                        09/894,400                      10/11/05
6,954,508                        09/920,783                      10/11/05
6,954,510                        09/847,790                      10/11/05
6,954,516                        10/389,117                      10/11/05
6,954,517                        10/191,638                      10/11/05
6,954,519                        10/706,611                      10/11/05
6,954,521                        10/272,662                      10/11/05
6,954,524                        10/164,065                      10/11/05
6,954,527                        10/078,369                      10/11/05
6,954,536                        10/055,000                      10/11/05
6,954,552                        10/900,637                      10/11/05
6,954,556                        10/102,745                      10/11/05
6,954,557                        09/956,960                      10/11/05
6,954,561                        09/907,183                      10/11/05
6,954,566                        10/205,275                      10/11/05
6,954,576                        10/895,685                      10/11/05
6,954,577                        10/626,933                      10/11/05
6,954,579                        09/998,867                      10/11/05
6,954,580                        10/342,410                      10/11/05
6,954,586                        10/325,553                      10/11/05
6,954,592                        10/165,676                      10/11/05
6,954,593                        09/695,883                      10/11/05
6,954,594                        10/445,949                      10/11/05
6,954,608                        10/270,140                      10/11/05
6,954,611                        10/194,220                      10/11/05
6,954,616                        10/106,515                      10/11/05
6,954,625                        10/133,601                      10/11/05
6,954,635                        09/956,863                      10/11/05
6,954,640                        10/248,773                      10/11/05
6,954,643                        10/606,428                      10/11/05
6,954,648                        09/839,096                      10/11/05
6,954,653                        09/798,938                      10/11/05
6,954,656                        09/954,033                      10/11/05
6,954,663                        10/337,971                      10/11/05
6,954,666                        10/414,500                      10/11/05
6,954,679                        09/668,388                      10/11/05
6,954,681                        10/745,860                      10/11/05
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 22 

6,954,682                        10/635,450                      10/11/05
6,954,685                        10/421,325                      10/11/05
6,954,694                        10/237,973                      10/11/05
6,954,695                        10/356,699                      10/11/05
6,954,714                        10/333,738                      10/11/05
6,954,727                        09/322,259                      10/11/05
6,954,732                        09/468,698                      10/11/05
6,954,747                        09/712,063                      10/11/05
6,954,748                        10/131,984                      10/11/05
6,954,756                        09/930,921                      10/11/05
6,954,763                        10/212,232                      10/11/05
6,954,777                        09/363,949                      10/11/05
6,954,779                        09/826,380                      10/11/05
6,954,795                        09/826,640                      10/11/05
6,954,826                        10/442,718                      10/11/05
6,954,827                        10/307,864                      10/11/05
6,954,837                        10/823,115                      10/11/05
6,954,839                        10/231,192                      10/11/05
6,954,843                        10/024,294                      10/11/05
6,954,844                        10/449,018                      10/11/05
6,954,847                        10/061,295                      10/11/05
6,954,849                        10/081,053                      10/11/05
6,954,856                        09/510,438                      10/11/05
6,954,857                        10/174,552                      10/11/05
6,954,858                        09/470,058                      10/11/05
6,954,870                        10/096,382                      10/11/05
6,954,876                        10/006,669                      10/11/05
6,954,903                        09/883,725                      10/11/05
6,954,920                        10/604,174                      10/11/05
6,954,924                        09/956,644                      10/11/05
6,954,926                        09/502,791                      10/11/05
6,954,929                        09/917,982                      10/11/05
6,954,941                        10/653,161                      10/11/05

                   PATENTS WHICH EXPIRED ON October 13, 2013
                    DUE TO FAILURE TO PAY MAINTENANCE FEES

Patent                          Application                         Issue
Number                             Number                            Date

7,600,272                        11/337,297                      10/13/09
7,600,274                        11/339,407                      10/13/09
7,600,277                        11/628,018                      10/13/09
7,600,288                        12/131,058                      10/13/09
7,600,289                        10/872,971                      10/13/09
7,600,299                        11/201,224                      10/13/09
7,600,302                        11/487,791                      10/13/09
7,600,308                        11/106,108                      10/13/09
7,600,314                        11/218,995                      10/13/09
7,600,327                        11/760,891                      10/13/09
7,600,333                        11/528,135                      10/13/09
7,600,345                        11/439,978                      10/13/09
7,600,347                        11/504,193                      10/13/09
7,600,348                        11/582,779                      10/13/09
7,600,351                        10/650,951                      10/13/09
7,600,352                        11/877,864                      10/13/09
7,600,355                        11/654,055                      10/13/09
7,600,358                        10/524,154                      10/13/09
7,600,367                        12/266,241                      10/13/09
7,600,376                        11/772,334                      10/13/09
7,600,390                        11/145,661                      10/13/09
7,600,400                        12/093,678                      10/13/09
7,600,408                        11/852,693                      10/13/09
7,600,416                        12/031,465                      10/13/09
7,600,431                        12/256,867                      10/13/09
7,600,434                        11/948,307                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 23 

7,600,437                        11/803,609                      10/13/09
7,600,442                        11/719,194                      10/13/09
7,600,443                        11/577,641                      10/13/09
7,600,444                        11/112,668                      10/13/09
7,600,457                        10/091,173                      10/13/09
7,600,460                        11/430,774                      10/13/09
7,600,466                        11/352,877                      10/13/09
7,600,472                        11/378,374                      10/13/09
7,600,481                        12/035,768                      10/13/09
7,600,501                        11/446,526                      10/13/09
7,600,516                        10/529,211                      10/13/09
7,600,525                        11/227,694                      10/13/09
7,600,534                        10/958,438                      10/13/09
7,600,538                        11/934,921                      10/13/09
7,600,549                        11/525,175                      10/13/09
7,600,554                        12/137,970                      10/13/09
7,600,555                        11/781,765                      10/13/09
7,600,559                        11/072,130                      10/13/09
7,600,562                        12/072,007                      10/13/09
7,600,563                        11/732,926                      10/13/09
7,600,581                        12/156,150                      10/13/09
7,600,587                        12/051,759                      10/13/09
7,600,602                        10/596,285                      10/13/09
7,600,614                        10/983,274                      10/13/09
7,600,619                        10/856,148                      10/13/09
7,600,627                        11/844,680                      10/13/09
7,600,640                        11/739,186                      10/13/09
7,600,645                        11/375,298                      10/13/09
7,600,654                        11/372,913                      10/13/09
7,600,659                        11/982,135                      10/13/09
7,600,661                        10/571,903                      10/13/09
7,600,663                        11/825,175                      10/13/09
7,600,678                        10/561,668                      10/13/09
7,600,683                        11/741,439                      10/13/09
7,600,688                        12/144,593                      10/13/09
7,600,689                        11/821,940                      10/13/09
7,600,704                        11/587,942                      10/13/09
7,600,709                        11/784,513                      10/13/09
7,600,730                        11/947,404                      10/13/09
7,600,731                        11/115,733                      10/13/09
7,600,737                        11/734,910                      10/13/09
7,600,754                        11/487,451                      10/13/09
7,600,758                        12/004,553                      10/13/09
7,600,760                        11/864,502                      10/13/09
7,600,762                        10/947,370                      10/13/09
7,600,764                        11/714,505                      10/13/09
7,600,765                        11/725,049                      10/13/09
7,600,766                        11/421,143                      10/13/09
7,600,767                        11/655,029                      10/13/09
7,600,770                        11/724,875                      10/13/09
7,600,771                        11/951,974                      10/13/09
7,600,780                        11/405,857                      10/13/09
7,600,782                        11/600,098                      10/13/09
7,600,791                        10/939,038                      10/13/09
7,600,798                        11/645,813                      10/13/09
7,600,811                        11/726,667                      10/13/09
7,600,812                        11/309,175                      10/13/09
7,600,813                        11/642,999                      10/13/09
7,600,815                        10/568,599                      10/13/09
7,600,819                        11/164,529                      10/13/09
7,600,824                        11/277,284                      10/13/09
7,600,847                        11/749,071                      10/13/09
7,600,879                        12/178,857                      10/13/09
7,600,884                        11/511,319                      10/13/09
7,600,885                        11/505,014                      10/13/09
7,600,886                        12/101,350                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 24 

7,600,887                        11/453,363                      10/13/09
7,600,888                        11/075,176                      10/13/09
7,600,897                        11/850,211                      10/13/09
7,600,899                        11/790,474                      10/13/09
7,600,903                        10/846,796                      10/13/09
7,600,907                        11/859,692                      10/13/09
7,600,913                        10/413,659                      10/13/09
7,600,917                        11/461,298                      10/13/09
7,600,922                        11/003,826                      10/13/09
7,600,927                        11/980,405                      10/13/09
7,600,930                        11/616,842                      10/13/09
7,600,931                        11/681,232                      10/13/09
7,600,936                        11/939,795                      10/13/09
7,600,946                        10/582,175                      10/13/09
7,600,947                        12/071,196                      10/13/09
7,600,963                        11/506,762                      10/13/09
7,600,977                        11/429,262                      10/13/09
7,600,991                        11/492,315                      10/13/09
7,600,994                        12/180,629                      10/13/09
7,600,996                        11/151,398                      10/13/09
7,601,031                        11/660,216                      10/13/09
7,601,036                        12/077,114                      10/13/09
7,601,039                        11/456,568                      10/13/09
7,601,046                        11/907,971                      10/13/09
7,601,048                        11/705,320                      10/13/09
7,601,070                        11/765,301                      10/13/09
7,601,072                        12/157,400                      10/13/09
7,601,074                        12/131,947                      10/13/09
7,601,084                        11/470,669                      10/13/09
7,601,089                        11/894,527                      10/13/09
7,601,104                        11/409,163                      10/13/09
7,601,114                        11/563,934                      10/13/09
7,601,125                        10/018,154                      10/13/09
7,601,148                        10/495,069                      10/13/09
7,601,170                        11/053,624                      10/13/09
7,601,177                        11/531,625                      10/13/09
7,601,179                        11/855,598                      10/13/09
7,601,189                        10/555,993                      10/13/09
7,601,198                        12/010,616                      10/13/09
7,601,202                        11/176,611                      10/13/09
7,601,205                        12/125,442                      10/13/09
7,601,213                        12/329,149                      10/13/09
7,601,221                        10/535,771                      10/13/09
7,601,243                        12/122,934                      10/13/09
7,601,250                        10/987,825                      10/13/09
7,601,258                        12/008,382                      10/13/09
7,601,274                        11/096,021                      10/13/09
7,601,281                        11/236,249                      10/13/09
7,601,301                        11/639,688                      10/13/09
7,601,303                        09/700,367                      10/13/09
7,601,311                        12/146,064                      10/13/09
7,601,313                        10/492,057                      10/13/09
7,601,316                        10/658,494                      10/13/09
7,601,317                        11/905,460                      10/13/09
7,601,321                        10/545,254                      10/13/09
7,601,322                        11/186,298                      10/13/09
7,601,331                        10/985,018                      10/13/09
7,601,353                        11/323,123                      10/13/09
7,601,361                        11/242,395                      10/13/09
7,601,368                        10/931,814                      10/13/09
7,601,378                        11/235,633                      10/13/09
7,601,385                        11/108,740                      10/13/09
7,601,386                        10/867,842                      10/13/09
7,601,388                        10/525,805                      10/13/09
7,601,394                        11/261,009                      10/13/09
7,601,399                        11/803,295                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 25 

7,601,407                        11/615,915                      10/13/09
7,601,432                        11/519,894                      10/13/09
7,601,444                        11/590,641                      10/13/09
7,601,460                        10/996,450                      10/13/09
7,601,464                        10/326,329                      10/13/09
7,601,465                        11/390,481                      10/13/09
7,601,491                        10/359,179                      10/13/09
7,601,501                        11/836,512                      10/13/09
7,601,505                        10/855,588                      10/13/09
7,601,512                        10/621,866                      10/13/09
7,601,531                        11/366,942                      10/13/09
7,601,534                        09/980,484                      10/13/09
7,601,545                        10/601,277                      10/13/09
7,601,553                        10/563,269                      10/13/09
7,601,557                        12/137,612                      10/13/09
7,601,558                        11/552,261                      10/13/09
7,601,564                        11/848,382                      10/13/09
7,601,589                        11/454,594                      10/13/09
7,601,590                        11/033,776                      10/13/09
7,601,594                        12/073,881                      10/13/09
7,601,599                        11/276,765                      10/13/09
7,601,600                        11/590,373                      10/13/09
7,601,610                        11/285,742                      10/13/09
7,601,615                        11/590,640                      10/13/09
7,601,617                        11/783,669                      10/13/09
7,601,622                        11/320,901                      10/13/09
7,601,627                        12/051,040                      10/13/09
7,601,632                        11/646,925                      10/13/09
7,601,633                        11/924,387                      10/13/09
7,601,644                        11/597,169                      10/13/09
7,601,655                        10/672,978                      10/13/09
7,601,659                        11/330,461                      10/13/09
7,601,675                        11/872,828                      10/13/09
7,601,676                        11/174,312                      10/13/09
7,601,681                        11/807,738                      10/13/09
7,601,682                        11/967,652                      10/13/09
7,601,684                        10/242,061                      10/13/09
7,601,691                        11/067,556                      10/13/09
7,601,697                        11/121,347                      10/13/09
7,601,700                        12/184,379                      10/13/09
7,601,702                        10/585,281                      10/13/09
7,601,704                        10/980,125                      10/13/09
7,601,706                        11/388,021                      10/13/09
7,601,708                        11/183,911                      10/13/09
7,601,711                        11/784,041                      10/13/09
7,601,717                        12/260,855                      10/13/09
7,601,722                        11/955,018                      10/13/09
7,601,723                        11/362,387                      10/13/09
7,601,725                        11/182,215                      10/13/09
7,601,726                        11/509,240                      10/13/09
7,601,728                        12/127,858                      10/13/09
7,601,732                        11/753,392                      10/13/09
7,601,733                        11/753,432                      10/13/09
7,601,739                        11/349,339                      10/13/09
7,601,741                        11/561,724                      10/13/09
7,601,742                        12/107,637                      10/13/09
7,601,744                        11/528,792                      10/13/09
7,601,745                        11/375,259                      10/13/09
7,601,748                        11/500,876                      10/13/09
7,601,749                        12/336,274                      10/13/09
7,601,752                        11/593,821                      10/13/09
7,601,754                        10/521,232                      10/13/09
7,601,756                        10/861,308                      10/13/09
7,601,759                        10/962,184                      10/13/09
7,601,761                        11/710,788                      10/13/09
7,601,762                        11/881,603                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 26 

7,601,763                        11/526,575                      10/13/09
7,601,764                        11/891,188                      10/13/09
7,601,775                        10/516,695                      10/13/09
7,601,777                        10/516,135                      10/13/09
7,601,778                        10/546,436                      10/13/09
7,601,790                        10/546,596                      10/13/09
7,601,791                        11/481,113                      10/13/09
7,601,803                        10/030,605                      10/13/09
7,601,827                        11/225,400                      10/13/09
7,601,832                        11/431,178                      10/13/09
7,601,843                        10/555,635                      10/13/09
7,601,847                        11/257,344                      10/13/09
7,601,850                        10/515,403                      10/13/09
7,601,856                        11/828,457                      10/13/09
7,601,857                        11/209,066                      10/13/09
7,601,863                        11/762,799                      10/13/09
7,601,868                        10/545,120                      10/13/09
7,601,870                        11/312,664                      10/13/09
7,601,892                        11/139,425                      10/13/09
7,601,903                        12/157,910                      10/13/09
7,601,906                        11/848,863                      10/13/09
7,601,911                        10/560,538                      10/13/09
7,601,912                        11/939,594                      10/13/09
7,601,913                        11/367,336                      10/13/09
7,601,916                        11/755,090                      10/13/09
7,601,924                        11/532,489                      10/13/09
7,601,925                        12/266,560                      10/13/09
7,601,927                        11/861,584                      10/13/09
7,601,928                        12/115,399                      10/13/09
7,601,942                        10/381,856                      10/13/09
7,601,949                        12/340,080                      10/13/09
7,601,950                        11/860,821                      10/13/09
7,601,957                        11/884,765                      10/13/09
7,601,961                        11/570,604                      10/13/09
7,601,962                        11/653,013                      10/13/09
7,601,970                        11/910,437                      10/13/09
7,601,978                        10/411,359                      10/13/09
7,601,991                        11/691,018                      10/13/09
7,602,005                        11/759,044                      10/13/09
7,602,008                        11/957,037                      10/13/09
7,602,011                        11/802,815                      10/13/09
7,602,015                        11/464,619                      10/13/09
7,602,016                        11/808,490                      10/13/09
7,602,041                        12/127,611                      10/13/09
7,602,069                        11/492,473                      10/13/09
7,602,074                        11/596,777                      10/13/09
7,602,076                        11/133,070                      10/13/09
7,602,077                        12/173,420                      10/13/09
7,602,085                        11/195,853                      10/13/09
7,602,086                        11/485,360                      10/13/09
7,602,091                        11/060,302                      10/13/09
7,602,102                        12/150,240                      10/13/09
7,602,107                        11/606,511                      10/13/09
7,602,109                        11/161,206                      10/13/09
7,602,110                        11/365,930                      10/13/09
7,602,123                        11/101,404                      10/13/09
7,602,124                        11/296,821                      10/13/09
7,602,125                        11/138,308                      10/13/09
7,602,128                        10/547,301                      10/13/09
7,602,129                        11/489,696                      10/13/09
7,602,130                        10/152,718                      10/13/09
7,602,134                        11/458,908                      10/13/09
7,602,140                        10/979,657                      10/13/09
7,602,147                        11/412,651                      10/13/09
7,602,164                        11/473,917                      10/13/09
7,602,187                        11/570,893                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 27 

7,602,193                        11/801,956                      10/13/09
7,602,203                        11/885,426                      10/13/09
7,602,204                        11/666,645                      10/13/09
7,602,210                        12/080,033                      10/13/09
7,602,224                        12/003,550                      10/13/09
7,602,229                        10/570,743                      10/13/09
7,602,235                        11/813,359                      10/13/09
7,602,245                        11/889,419                      10/13/09
7,602,249                        12/056,069                      10/13/09
7,602,263                        11/978,671                      10/13/09
7,602,264                        11/485,451                      10/13/09
7,602,268                        11/396,828                      10/13/09
7,602,283                        11/344,949                      10/13/09
7,602,289                        11/316,805                      10/13/09
7,602,295                        11/696,958                      10/13/09
7,602,299                        10/612,750                      10/13/09
7,602,301                        11/601,438                      10/13/09
7,602,305                        11/274,647                      10/13/09
7,602,311                        11/588,727                      10/13/09
7,602,312                        10/538,518                      10/13/09
7,602,313                        12/062,177                      10/13/09
7,602,333                        11/067,576                      10/13/09
7,602,351                        11/185,080                      10/13/09
7,602,354                        11/138,309                      10/13/09
7,602,356                        11/298,934                      10/13/09
7,602,360                        10/938,083                      10/13/09
7,602,362                        11/280,295                      10/13/09
7,602,367                        11/144,668                      10/13/09
7,602,379                        09/884,549                      10/13/09
7,602,389                        11/365,493                      10/13/09
7,602,398                        11/045,868                      10/13/09
7,602,401                        11/599,477                      10/13/09
7,602,406                        10/968,703                      10/13/09
7,602,427                        11/482,035                      10/13/09
7,602,428                        11/731,548                      10/13/09
7,602,429                        11/346,494                      10/13/09
7,602,442                        11/044,812                      10/13/09
7,602,444                        11/248,861                      10/13/09
7,602,445                        11/981,879                      10/13/09
7,602,449                        11/082,934                      10/13/09
7,602,462                        10/587,999                      10/13/09
7,602,473                        11/409,537                      10/13/09
7,602,476                        11/829,271                      10/13/09
7,602,484                        11/952,748                      10/13/09
7,602,493                        11/354,287                      10/13/09
7,602,506                        11/256,284                      10/13/09
7,602,514                        10/871,722                      10/13/09
7,602,515                        11/107,944                      10/13/09
7,602,523                        10/974,665                      10/13/09
7,602,541                        11/694,537                      10/13/09
7,602,550                        10/566,370                      10/13/09
7,602,554                        11/957,778                      10/13/09
7,602,560                        12/019,412                      10/13/09
7,602,570                        10/571,822                      10/13/09
7,602,574                        11/900,564                      10/13/09
7,602,576                        11/801,701                      10/13/09
7,602,578                        11/548,476                      10/13/09
7,602,587                        11/607,635                      10/13/09
7,602,594                        11/617,294                      10/13/09
7,602,604                        12/016,158                      10/13/09
7,602,624                        11/413,559                      10/13/09
7,602,648                        11/843,387                      10/13/09
7,602,656                        12/098,229                      10/13/09
7,602,657                        11/950,097                      10/13/09
7,602,660                        11/773,926                      10/13/09
7,602,661                        11/819,868                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 28 

7,602,664                        11/822,814                      10/13/09
7,602,671                        11/827,068                      10/13/09
7,602,674                        10/826,733                      10/13/09
7,602,680                        11/395,480                      10/13/09
7,602,682                        10/556,116                      10/13/09
7,602,688                        10/986,655                      10/13/09
7,602,691                        11/572,603                      10/13/09
7,602,693                        11/515,397                      10/13/09
7,602,695                        11/421,278                      10/13/09
7,602,734                        11/039,194                      10/13/09
7,602,735                        11/221,162                      10/13/09
7,602,744                        10/938,866                      10/13/09
7,602,747                        11/193,275                      10/13/09
7,602,813                        11/137,482                      10/13/09
7,602,826                        11/871,043                      10/13/09
7,602,829                        11/545,756                      10/13/09
7,602,891                        10/217,743                      10/13/09
7,602,892                        10/941,414                      10/13/09
7,602,919                        11/082,068                      10/13/09
7,602,920                        10/049,025                      10/13/09
7,602,932                        11/251,502                      10/13/09
7,602,950                        10/788,619                      10/13/09
7,602,955                        10/541,595                      10/13/09
7,602,966                        11/370,051                      10/13/09
7,602,974                        11/255,373                      10/13/09
7,602,987                        11/089,807                      10/13/09
7,602,990                        11/238,741                      10/13/09
7,602,992                        11/627,243                      10/13/09
7,602,994                        10/380,455                      10/13/09
7,602,998                        11/085,104                      10/13/09
7,602,999                        11/268,475                      10/13/09
7,603,015                        12/070,845                      10/13/09
7,603,021                        11/123,059                      10/13/09
7,603,027                        10/574,354                      10/13/09
7,603,029                        11/155,307                      10/13/09
7,603,035                        10/933,552                      10/13/09
7,603,038                        11/516,136                      10/13/09
7,603,040                        11/139,922                      10/13/09
7,603,043                        11/485,221                      10/13/09
7,603,046                        11/464,046                      10/13/09
7,603,048                        11/668,571                      10/13/09
7,603,078                        10/907,699                      10/13/09
7,603,086                        11/515,288                      10/13/09
7,603,088                        11/301,385                      10/13/09
7,603,107                        10/476,167                      10/13/09
7,603,116                        10/534,710                      10/13/09
7,603,153                        11/637,508                      10/13/09
7,603,163                        10/977,759                      10/13/09
7,603,215                        11/001,156                      10/13/09
7,603,216                        11/542,770                      10/13/09
7,603,239                        11/123,399                      10/13/09
7,603,251                        12/214,803                      10/13/09
7,603,253                        10/756,150                      10/13/09
7,603,297                        10/529,490                      10/13/09
7,603,317                        09/884,296                      10/13/09
7,603,324                        12/061,762                      10/13/09
7,603,329                        10/564,105                      10/13/09
7,603,336                        11/313,117                      10/13/09
7,603,363                        11/030,039                      10/13/09
7,603,370                        10/805,805                      10/13/09
7,603,374                        11/057,478                      10/13/09
7,603,405                        11/437,053                      10/13/09
7,603,416                        09/863,616                      10/13/09
7,603,420                        10/815,215                      10/13/09
7,603,432                        11/144,611                      10/13/09
7,603,438                        11/249,214                      10/13/09
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 29 

7,603,440                        10/290,240                      10/13/09
7,603,442                        10/600,394                      10/13/09
7,603,443                        10/650,859                      10/13/09
7,603,448                        09/738,786                      10/13/09
7,603,456                        11/758,987                      10/13/09
7,603,479                        11/049,431                      10/13/09
7,603,488                        10/892,538                      10/13/09
7,603,490                        11/621,776                      10/13/09
7,603,497                        12/360,116                      10/13/09
7,603,517                        11/236,420                      10/13/09
7,603,528                        10/961,745                      10/13/09
7,603,543                        11/055,862                      10/13/09
7,603,549                        10/364,996                      10/13/09
7,603,559                        10/518,270                      10/13/09
7,603,580                        10/886,359                      10/13/09
7,603,608                        11/265,580                      10/13/09
7,603,609                        11/753,127                      10/13/09
7,603,611                        11/393,861                      10/13/09
7,603,616                        10/981,962                      10/13/09
7,603,621                        11/340,288                      10/13/09
7,603,630                        12/263,587                      10/13/09
7,603,639                        11/695,627                      10/13/09
7,603,642                        11/528,235                      10/13/09
7,603,651                        10/446,193                      10/13/09
7,603,654                        10/790,423                      10/13/09
7,603,655                        12/060,207                      10/13/09
7,603,660                        11/142,155                      10/13/09
7,603,662                        10/413,840                      10/13/09
7,603,663                        10/441,357                      10/13/09
7,603,675                        11/727,248                      10/13/09
7,603,686                        09/996,519                      10/13/09
7,603,687                        11/046,970                      10/13/09
7,603,698                        11/009,919                      10/13/09
7,603,714                        10/795,776                      10/13/09
7,603,716                        11/224,605                      10/13/09
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 30 

Patents Reinstated Due to the Acceptance of a Late Maintenance Fee from 11/04/2013
                 Patents Reinstated Due to the Acceptance of a
                     Late Maintenance Fee from 11/04/2013

Patent         Application     Filing          Issue           Granted
Number         Number          Date            Date            Date


6,005,502      08/966,906      11/07/1997      12/21/1999      11/05/2013
6,211,956      09/172,675      10/15/1998      04/03/2001      11/08/2013
6,273,186      09/524,317      03/13/2000      08/14/2001      11/05/2013
6,794,671      10/196,714      07/17/2002      09/21/2004      11/04/2013
6,878,698      10/281,735      10/28/2002      04/12/2005      11/04/2013
6,924,235      10/640,469      08/12/2003      08/02/2005      11/08/2013
6,926,291      10/401,341      03/26/2003      08/09/2005      11/05/2013
7,339,671      11/160,058      06/07/2005      03/04/2008      11/04/2013
7,341,108      10/724,409      11/26/2003      03/11/2008      11/04/2013
7,398,238      10/194,850      07/12/2002      07/08/2008      11/05/2013
7,526,837      10/557,518      03/09/2006      05/05/2009      11/04/2013
7,543,341      11/546,844      10/11/2006      06/09/2009      11/08/2013
7,577,758      10/741,947      12/19/2003      08/18/2009      11/09/2013
7,589,229      11/698,422      01/26/2007      09/15/2009      11/04/2013
7,593,933      10/783,616      02/20/2004      09/22/2009      11/06/2013
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 31 

Reissue Applications Filed
                           Reissue Applications Filed

   Notice under 37 CFR 1.11(b). The reissue applications listed below are
open to public inspection by the general public through the Image File
Wrapper (IFW) system (http://portal.uspto.gov/external/portal/pair) on the
USPTO internet web site (www.uspto.gov), and copies may be obtained by
paying the fee therefor (37 CFR 1.19).

   D. 638,107, Re. S.N.:  29/454,755, May 14, 2013, CL:  D23, TUB FOR
BATHING, Mimi Jiang, Owner of Record:  Kohler Co., Attorney or Agent:
Marcus W. Sprow, Ex. Gp.:  2913

   6,904,570, Re. S.N. 14/061,893, Oct. 24, 2013, Cl./Sub 345/700, METHOD
AND APPARATUS FOR CONTROLLING A DISPLAY OF DATA ON A DISPLAY SCREEN,
Geoffrey Foote, et al., Owner of Record:  Synaptics Incorporated, San Jose,
CA, Attorney or Agent:  Michael K. Kelly, Ex. Gp:  2179

   7,800,368, Re. S.N. 14/060,105, Oct. 22, 2013, Cl./Sub 324/318, HIGH
FIELD MAGNETIC RESONANCE, Inventor:  Pierre-Francois Van de Moortele, et
al., Owner of Record:  Regents of the University of Minnesota, Minneapolis,
MN, Attorney or Agent:  Jonathan D. Stone, Ex. Gp:  2831

   7,810,247, Re. S.N. 13/649,937, Oct. 11, 2012, Cl./Sub 033/366, METHOD
FOR ENTERING COMMANDS AND/OR CHARACTERS FOR A PORTABLE COMMUNICATION DEVICE
EQUIPPED WITH A TILT SENSOR, Xavier Fourquin, et al., Owner of Record: DRNC
Holdings, Inc., Wilmington, DE, Attorney or Agent:  Theodore Naccarella,
Ex. Gp:  2841

   7,896,258, Re. S.N. 13/815,435, Mar. 01, 2013, Cl./Sub 239/155, SPEED
BASED FLUID CONTROL FOR DUST REDUCTION, Charles Hoisington, et al., Owner
of Record:  Inventors, Attorney or Agent:  Steven Thrasher, Ex. Gp:  3752

   7,996,029, Re. S.N.:  14/053,513, Oct. 14, 2013, CL:  455, METHOD OF
ALLOCATING RADIO RESOURCES IN A WIRELESS COMMUNICATION SYSTEM, Sung Duck
Chun, Owner of Record:  LG Electronics Inc., Attorney or Agent:  Harry S.
Lee, Ex. Gp.:  2618

   8,005,050, Re. S.N. 13/974,255, Aug. 23, 2013, Cl./Sub 370/335,
LOCALIZATION OF A MOBILE DEVICE IN DISTRIBUTED ANTENNA COMMUNICATIONS
SYSTEM, Stefan Scheinert, et al., Owner of Record:  ADC Telecommunications,
Inc., Shakopee, MN, Attorney or Agent:  Jon M. Powers, Ex. Gp:  2617

   8,011,114, Re. S.N.:  14/019,692, Sep. 06, 2013, CL:  052, INFORMATION
DISPLAY SHELTER, Steve Durham, Owner of Record:  Inventor, Attorney or
Agent:  None, Ex. GP.:  3633

   8,030,887, Re. S.N. 14/044,499, Oct. 02, 2013, Cl./Sub 320/108,
NON-CONTACT POWER CHARGING SYSTEM AND CONTROL METHOD THEREOF, Chun-Ki Jung,
Owner of Record:  Spacon Co., Ltd., Suwon-si, Gyeonggi-do, Korea, Attorney
or Agent:  Sungyeop Chung, Ex. Gp: 2858

   8,039,273, Re. S.N. 14/056,145, Oct. 17, 2013, Cl./Sub 436/532,
BETA-GLUCURONIDE-LINKER DRUG CONJUGATES, Scott Jeffrey, Owner of Record:
Seattle Genetics, Inc., Bothell, WA, Attorney or Agent:  Leslie E. Abermam,
Ex. Gp:  1641

    8,049,577, Re. S.N.:  14/065,245, Oct. 28, 2013, CL:  333, ELASTIC WAVE
DEVICE, DUPLEXER USING THE SAME, AND COMMUNICATION APPARATUS USING THE
DUPLEXER, Takashi MATSUDA, Owner of Record:  Taiyo Yuden Co., LTD, Attorney
or Agent:  Masao Yoshimura, Ex. Gp.:  2817

   8,195,823, Re. S.N. 14/044,630, Oct. 2, 2013, Cl. 709, DYNAMIC NETWORK
LINK ACCELERATION, Mark Vange, et al, Owner of Record:  Circadence
Corporation, Attorney or Agent:  E. Derek Jamison, Ex. Gp.:  2441
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 32 

Requests for Ex Parte Reexamination Filed
                    Requests for Ex Parte Reexamination Filed

   D. 604,305, Reexam. C.N. 90/012,990, Requested Date:  Oct. 7, 2013, Cl.
D14/486, Title:  GRAPHICAL USER INTERFACE FOR A DISPLAY SCREEN OR PORTION
THEREOF, Inventor:  Freddy Anzures et al., Owners of Record:  Apple, Inc.,
Cupertino, CA, Attorney or Agent:  Sterne Kessler Goldstein & Fox, PLLC.,
Washington, DC, Ex. GP.:  2911, Requester:  Scott A. McKeown, Oblon Spivak
McClelland Maier & Neustadt, LLP., Alexandria, VA

   D. 617,334, Reexam. C.N. 90/012,993, Requested Date:  Oct. 7, 2013, Cl.
D14/486, Title:  GRAPHICAL USER INTERFACE FOR A DISPLAY SCREEN OR PORTION
THEREOF, Inventor:  Imran Chaudhri, Owners of Record:  Apple, Inc.,
Cupertino, CA, Attorney or Agent:  Sterne Kessler Goldstein & Fox, PLLC.,
Washington, DC, Ex. GP.:  2914, Requester:  Scott A. McKeown, Oblon Spivak
McClelland Maier & Neustadt, LLP., Alexandria, VA

   D. 622,270, Reexam. C.N. 90/012,991, Requested Date:  Oct. 7, 2013, Cl.
D14/341, Title:  ELECTRONIC DEVICE, Inventor:  Bartley K. Andre et al.,
Owners of Record:  Apple, Inc., Cupertino, CA, Attorney or Agent:  Sterne
Kessler Goldstein & Fox, PLLC., Washington, DC, Ex. GP.:  2916, Requester:
Scott A. McKeown, Oblon Spivak McClelland Maier & Neustadt, LLP.,
Alexandria, VA

   D. 627,790, Reexam. C.N. 90/012,996, Requested Date:  Oct. 7, 2013, Cl.
D14/486, Title:  GRAPHICAL USER INTERFACE FOR A DISPLAY SCREEN OR PORTION
THEREOF, Inventor:  Imran Chaudhri et al., Owners of Record:  Apple, Inc.,
Cupertino, CA, Attorney or Agent:  Sterne Kessler Goldstein & Fox, PLLC.,
Washington, DC, Ex. GP.:  2913, Requester:  Scott A. McKeown, Oblon Spivak
McClelland Maier & Neustadt, LLP., Alexandria, VA

   D. 652,054, Reexam. C.N. 90/012,997, Requested Date:  Oct. 7, 2013, Cl.
D14/492, Title:  ICON FOR A PORTION OF A DISPLAY SCREEN, Inventor:  Freddy
Anzures et al., Owners of Record:  Apple, Inc., Cupertino, CA, Attorney or
Agent:  Sterne Kessler Goldstein & Fox, PLLC., Washington, DC, Ex. GP.:
2913, Requester:  Scott A. McKeown, Oblon Spivak McClelland Maier &
Neustadt, LLP., Alexandria, VA
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 33 

Notice of Expiration of Trademark Registrations Due to Failure to Renew
                Notice of Expiration of Trademark Registrations
                            Due to Failure to Renew

   15 U.S.C. 1059 provides that each trademark registration may be
renewed for periods of ten years from the end of the expiring period
upon payment of the prescribed fee and the filing of an acceptable
application for renewal. This may be done at any time within one year
before the expiration of the period for which the registration was
issued or renewed, or it may be done within six months after such
expiration on payment of an additional fee.
   According to the records of the Office, the trademark registrations
listed below are expired due to failure to renew in accordance with 15
U.S.C. 1059.

                     TRADEMARK REGISTRATIONS WHICH EXPIRED
                               November 8, 2013
                            DUE TO FAILURE TO RENEW

Reg. Number                     Serial Number                     Reg. Date

2,702,782                        75/469,604                      04/01/2003
3,225,226                        79/002,984                      04/03/2007
3,225,228                        79/005,045                      04/03/2007
3,225,229                        79/007,116                      04/03/2007
3,225,230                        79/007,117                      04/03/2007
3,225,232                        79/008,286                      04/03/2007
3,225,236                        79/009,685                      04/03/2007
3,225,238                        79/010,366                      04/03/2007
3,225,239                        79/010,478                      04/03/2007
3,225,242                        79/011,390                      04/03/2007
3,225,243                        79/011,391                      04/03/2007
3,225,244                        79/011,439                      04/03/2007
3,225,246                        79/012,165                      04/03/2007
3,225,253                        79/014,156                      04/03/2007
3,225,257                        79/014,800                      04/03/2007
3,225,258                        79/014,904                      04/03/2007
3,225,265                        79/015,620                      04/03/2007
3,225,266                        79/015,861                      04/03/2007
3,225,267                        79/015,978                      04/03/2007
3,225,268                        79/016,036                      04/03/2007
3,225,269                        79/016,471                      04/03/2007
3,225,272                        79/017,239                      04/03/2007
3,225,273                        79/017,417                      04/03/2007
3,225,276                        79/018,132                      04/03/2007
3,225,277                        79/018,265                      04/03/2007
3,225,279                        79/018,342                      04/03/2007
3,225,281                        79/018,484                      04/03/2007
3,225,282                        79/018,547                      04/03/2007
3,225,286                        79/019,085                      04/03/2007
3,225,287                        79/019,103                      04/03/2007
3,225,289                        79/019,596                      04/03/2007
3,225,290                        79/019,618                      04/03/2007
3,225,291                        79/019,982                      04/03/2007
3,225,294                        79/020,291                      04/03/2007
3,225,296                        79/020,410                      04/03/2007
3,225,297                        79/020,596                      04/03/2007
3,225,300                        79/021,108                      04/03/2007
3,225,301                        79/021,186                      04/03/2007
3,225,302                        79/021,198                      04/03/2007
3,225,303                        79/021,252                      04/03/2007
3,225,306                        79/021,764                      04/03/2007
3,225,312                        79/022,071                      04/03/2007
3,225,314                        79/022,466                      04/03/2007
3,225,315                        79/022,467                      04/03/2007
3,225,316                        79/022,519                      04/03/2007
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 34 

3,225,317                        79/022,520                      04/03/2007
3,225,318                        79/022,521                      04/03/2007
3,225,319                        79/022,522                      04/03/2007
3,225,325                        79/022,746                      04/03/2007
3,225,326                        79/022,867                      04/03/2007
3,225,327                        79/022,916                      04/03/2007
3,225,330                        79/023,218                      04/03/2007
3,225,332                        79/023,473                      04/03/2007
3,225,337                        79/024,711                      04/03/2007
3,225,339                        79/025,298                      04/03/2007
3,225,340                        79/025,999                      04/03/2007
3,225,342                        79/026,766                      04/03/2007
3,225,346                        79/027,712                      04/03/2007
3,225,348                        79/028,614                      04/03/2007
3,225,349                        79/028,783                      04/03/2007
3,225,350                        79/029,121                      04/03/2007
1,233,966                        73/296,135                      04/05/1983
1,233,611                        73/357,823                      04/05/1983
2,702,767                        75/047,879                      04/01/2003
2,702,771                        75/325,838                      04/01/2003
2,701,603                        75/461,834                      04/01/2003
2,701,605                        75/484,460                      04/01/2003
2,702,790                        75/542,978                      04/01/2003
2,702,800                        75/593,262                      04/01/2003
2,701,610                        75/617,512                      04/01/2003
2,702,812                        75/630,323                      04/01/2003
2,702,813                        75/633,664                      04/01/2003
2,702,816                        75/644,538                      04/01/2003
2,701,613                        75/670,683                      04/01/2003
2,702,828                        75/722,761                      04/01/2003
2,702,831                        75/724,151                      04/01/2003
2,702,842                        75/758,307                      04/01/2003
2,702,865                        75/823,986                      04/01/2003
2,702,879                        75/861,985                      04/01/2003
2,701,632                        75/882,748                      04/01/2003
2,702,904                        75/919,932                      04/01/2003
2,701,645                        75/927,373                      04/01/2003
2,702,912                        75/955,530                      04/01/2003
2,702,913                        75/980,472                      04/01/2003
2,702,916                        75/983,047                      04/01/2003
2,702,917                        75/983,048                      04/01/2003
2,702,932                        76/021,732                      04/01/2003
2,702,936                        76/026,066                      04/01/2003
2,702,946                        76/036,137                      04/01/2003
2,702,947                        76/037,311                      04/01/2003
2,703,283                        76/054,819                      04/01/2003
2,702,958                        76/055,877                      04/01/2003
2,701,677                        76/058,144                      04/01/2003
2,702,961                        76/059,128                      04/01/2003
2,702,965                        76/064,007                      04/01/2003
2,702,968                        76/067,182                      04/01/2003
2,702,971                        76/070,654                      04/01/2003
2,701,681                        76/073,017                      04/01/2003
2,702,972                        76/073,219                      04/01/2003
2,701,682                        76/075,040                      04/01/2003
2,702,975                        76/075,085                      04/01/2003
2,702,992                        76/105,601                      04/01/2003
2,702,996                        76/109,565                      04/01/2003
2,702,997                        76/110,007                      04/01/2003
2,703,002                        76/118,876                      04/01/2003
2,703,005                        76/121,942                      04/01/2003
2,701,720                        76/141,958                      04/01/2003
2,701,723                        76/144,012                      04/01/2003
2,701,726                        76/146,209                      04/01/2003
2,703,021                        76/151,210                      04/01/2003
2,701,733                        76/153,563                      04/01/2003
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 35 

2,703,027                        76/157,489                      04/01/2003
2,703,030                        76/160,037                      04/01/2003
2,703,033                        76/162,017                      04/01/2003
2,701,740                        76/166,076                      04/01/2003
2,701,744                        76/168,299                      04/01/2003
2,703,045                        76/175,112                      04/01/2003
2,701,761                        76/188,474                      04/01/2003
2,703,050                        76/188,605                      04/01/2003
2,701,764                        76/193,008                      04/01/2003
2,701,768                        76/195,782                      04/01/2003
2,701,775                        76/202,143                      04/01/2003
2,701,783                        76/207,226                      04/01/2003
2,703,062                        76/209,033                      04/01/2003
2,701,792                        76/213,348                      04/01/2003
2,703,065                        76/213,442                      04/01/2003
2,703,301                        76/216,943                      04/01/2003
2,701,805                        76/227,222                      04/01/2003
2,703,090                        76/240,308                      04/01/2003
2,701,822                        76/242,612                      04/01/2003
2,701,824                        76/248,936                      04/01/2003
2,701,825                        76/249,058                      04/01/2003
2,703,100                        76/249,285                      04/01/2003
2,703,306                        76/256,160                      04/01/2003
2,701,837                        76/264,333                      04/01/2003
2,701,840                        76/266,630                      04/01/2003
2,703,111                        76/266,643                      04/01/2003
2,701,844                        76/268,207                      04/01/2003
2,703,113                        76/268,807                      04/01/2003
2,703,308                        76/269,859                      04/01/2003
2,703,117                        76/273,556                      04/01/2003
2,701,849                        76/276,397                      04/01/2003
2,701,853                        76/279,055                      04/01/2003
2,703,123                        76/282,386                      04/01/2003
2,703,127                        76/286,371                      04/01/2003
2,703,128                        76/286,372                      04/01/2003
2,701,866                        76/286,563                      04/01/2003
2,701,869                        76/287,224                      04/01/2003
2,701,875                        76/290,767                      04/01/2003
2,703,137                        76/293,943                      04/01/2003
2,701,881                        76/294,411                      04/01/2003
2,701,882                        76/294,757                      04/01/2003
2,703,138                        76/295,117                      04/01/2003
2,703,141                        76/297,518                      04/01/2003
2,701,896                        76/299,085                      04/01/2003
2,701,897                        76/299,335                      04/01/2003
2,701,920                        76/310,811                      04/01/2003
2,703,157                        76/317,947                      04/01/2003
2,703,313                        76/319,666                      04/01/2003
2,703,161                        76/320,946                      04/01/2003
2,701,935                        76/321,748                      04/01/2003
2,701,939                        76/323,739                      04/01/2003
2,703,167                        76/325,961                      04/01/2003
2,703,168                        76/326,460                      04/01/2003
2,703,171                        76/329,592                      04/01/2003
2,701,948                        76/330,415                      04/01/2003
2,701,954                        76/332,517                      04/01/2003
2,703,174                        76/334,226                      04/01/2003
2,703,175                        76/334,470                      04/01/2003
2,701,964                        76/335,652                      04/01/2003
2,701,965                        76/335,840                      04/01/2003
2,701,968                        76/337,753                      04/01/2003
2,701,970                        76/338,792                      04/01/2003
2,701,981                        76/343,403                      04/01/2003
2,701,989                        76/346,039                      04/01/2003
2,703,184                        76/346,902                      04/01/2003
2,703,185                        76/347,727                      04/01/2003
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 36 

2,701,995                        76/348,149                      04/01/2003
2,702,007                        76/349,520                      04/01/2003
2,702,019                        76/350,546                      04/01/2003
2,702,020                        76/350,566                      04/01/2003
2,702,021                        76/350,726                      04/01/2003
2,702,022                        76/350,748                      04/01/2003
2,702,029                        76/351,374                      04/01/2003
2,703,187                        76/351,810                      04/01/2003
2,702,034                        76/351,905                      04/01/2003
2,702,057                        76/355,905                      04/01/2003
2,702,065                        76/358,233                      04/01/2003
2,702,074                        76/359,510                      04/01/2003
2,702,081                        76/360,878                      04/01/2003
2,702,107                        76/365,920                      04/01/2003
2,702,108                        76/365,929                      04/01/2003
2,702,112                        76/367,472                      04/01/2003
2,702,113                        76/367,486                      04/01/2003
2,702,134                        76/372,325                      04/01/2003
2,702,144                        76/374,911                      04/01/2003
2,702,148                        76/376,012                      04/01/2003
2,702,158                        76/378,137                      04/01/2003
2,702,162                        76/378,664                      04/01/2003
2,702,165                        76/379,178                      04/01/2003
2,702,166                        76/380,090                      04/01/2003
2,702,171                        76/381,353                      04/01/2003
2,702,182                        76/384,348                      04/01/2003
2,702,187                        76/385,668                      04/01/2003
2,702,199                        76/387,565                      04/01/2003
2,702,209                        76/390,232                      04/01/2003
2,702,215                        76/390,892                      04/01/2003
2,702,223                        76/391,869                      04/01/2003
2,702,249                        76/395,120                      04/01/2003
2,702,251                        76/395,287                      04/01/2003
2,702,260                        76/396,647                      04/01/2003
2,702,266                        76/398,205                      04/01/2003
2,702,276                        76/400,115                      04/01/2003
2,702,277                        76/400,118                      04/01/2003
2,702,280                        76/400,309                      04/01/2003
2,702,281                        76/400,310                      04/01/2003
2,702,298                        76/402,516                      04/01/2003
2,702,305                        76/402,709                      04/01/2003
2,702,306                        76/402,827                      04/01/2003
2,702,308                        76/403,179                      04/01/2003
2,702,310                        76/403,354                      04/01/2003
2,702,315                        76/404,652                      04/01/2003
2,702,330                        76/406,775                      04/01/2003
2,702,341                        76/408,134                      04/01/2003
2,702,343                        76/408,590                      04/01/2003
2,702,346                        76/408,943                      04/01/2003
2,702,349                        76/409,407                      04/01/2003
2,702,358                        76/411,022                      04/01/2003
2,702,365                        76/411,639                      04/01/2003
2,702,368                        76/412,257                      04/01/2003
2,702,377                        76/413,721                      04/01/2003
2,702,380                        76/414,102                      04/01/2003
2,703,328                        76/414,160                      04/01/2003
2,702,384                        76/414,818                      04/01/2003
2,702,385                        76/414,821                      04/01/2003
2,702,386                        76/414,824                      04/01/2003
2,702,388                        76/414,936                      04/01/2003
2,702,389                        76/415,290                      04/01/2003
2,702,390                        76/415,320                      04/01/2003
2,702,406                        76/418,012                      04/01/2003
2,702,407                        76/418,022                      04/01/2003
2,702,416                        76/418,489                      04/01/2003
2,702,418                        76/418,644                      04/01/2003
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 37 

2,702,427                        76/419,242                      04/01/2003
2,702,429                        76/419,282                      04/01/2003
2,702,432                        76/420,247                      04/01/2003
2,702,435                        76/420,669                      04/01/2003
2,702,436                        76/421,140                      04/01/2003
2,702,440                        76/421,658                      04/01/2003
2,702,441                        76/421,698                      04/01/2003
2,702,447                        76/422,200                      04/01/2003
2,702,450                        76/422,459                      04/01/2003
2,702,452                        76/422,617                      04/01/2003
2,702,454                        76/422,720                      04/01/2003
2,702,456                        76/422,812                      04/01/2003
2,702,462                        76/423,621                      04/01/2003
2,702,463                        76/423,673                      04/01/2003
2,702,472                        76/424,410                      04/01/2003
2,702,479                        76/424,918                      04/01/2003
2,702,488                        76/425,235                      04/01/2003
2,702,491                        76/425,240                      04/01/2003
2,702,501                        76/425,566                      04/01/2003
2,702,503                        76/425,785                      04/01/2003
2,702,508                        76/425,971                      04/01/2003
2,702,522                        76/426,593                      04/01/2003
2,702,545                        76/428,215                      04/01/2003
2,702,547                        76/430,675                      04/01/2003
2,702,553                        76/432,298                      04/01/2003
2,702,558                        76/433,932                      04/01/2003
2,702,561                        76/435,282                      04/01/2003
2,702,572                        76/436,605                      04/01/2003
2,702,578                        76/438,407                      04/01/2003
2,703,196                        76/975,033                      04/01/2003
2,703,198                        78/002,547                      04/01/2003
2,703,223                        78/041,443                      04/01/2003
2,703,230                        78/044,961                      04/01/2003
2,703,231                        78/045,758                      04/01/2003
2,703,233                        78/045,801                      04/01/2003
2,703,235                        78/048,937                      04/01/2003
2,702,611                        78/052,929                      04/01/2003
2,703,253                        78/078,409                      04/01/2003
2,703,255                        78/080,716                      04/01/2003
2,702,635                        78/082,152                      04/01/2003
2,703,261                        78/085,604                      04/01/2003
2,702,640                        78/091,872                      04/01/2003
2,703,268                        78/094,537                      04/01/2003
2,703,269                        78/094,925                      04/01/2003
2,703,271                        78/095,472                      04/01/2003
2,702,647                        78/099,483                      04/01/2003
2,703,335                        78/104,926                      04/01/2003
2,702,662                        78/108,009                      04/01/2003
2,702,663                        78/108,589                      04/01/2003
2,702,672                        78/115,199                      04/01/2003
2,702,684                        78/120,208                      04/01/2003
2,702,692                        78/124,698                      04/01/2003
2,702,700                        78/127,861                      04/01/2003
2,702,711                        78/133,398                      04/01/2003
2,702,712                        78/133,402                      04/01/2003
2,702,713                        78/133,404                      04/01/2003
2,702,714                        78/133,410                      04/01/2003
2,702,718                        78/135,278                      04/01/2003
2,702,736                        78/138,563                      04/01/2003
2,702,752                        78/140,933                      04/01/2003
2,703,343                        78/156,698                      04/01/2003
2,702,763                        78/163,485                      04/01/2003
2,703,278                        78/975,023                      04/01/2003
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 38 

Service by Publication
                            Service by Publication

   Notification of undeliverable mail by petitioner was filed. The notice
of such proceeding sent to registrant at the last known address having been
returned by the Postal Service as undeliverable, notice is hereby given
that unless the registrant listed herein, its assigns or legal
representatives, shall enter an appearance within thirty days of this
publication, the cancellation will proceed as in the case of default.

Valie AG, St Gallen, Switzerland, Registration No. 3598624 for the mark
"VALIE", Cancellation No. 92057642.

                                                           MILLICENT CANADY
                                                                  Paralegal
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks

                            Service by Publication

   A petition to cancel the registration identified below having been
filed, and the notice of such proceeding sent to registrant at the last
known address having been returned by the Postal Service as undeliverable,
notice is hereby given that unless the registrant listed herein, its
assigns or legal representatives, shall enter an appearance within thirty
days of this publication, the cancellation will proceed as in the case of
default.

CASCO Group, Inc., Cerritos, CA, Registration Nos. 2888913, 2888914 and
2904695 for the mark "CASCO GROUP", Cancellation No. 92057787.

                                                             VERONICA WHITE
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks

                            Service by Publication

   A petition to cancel the registration identified below having been
filed, and the notice of such proceeding sent to registrant at the last
known address having been returned by the Postal Service as undeliverable,
notice is hereby given that unless the registrant listed herein, its
assigns or legal representatives, shall enter an appearance within thirty
days of this publication, the cancellation will proceed as in the case of
default.

HICO Flex Brass Co., Inc., Chicago, IL 60608, Registration No. 3482930 for
the mark "CUCINA", Cancellation No. 92057808.

                                                         DENISE M. DELGIZZI
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks

                            Service by Publication

   A petition to cancel the registration identified below having been
filed, and the notice of such proceeding sent to registrant at the last
known address having been returned by the Postal Service as undeliverable,
notice is hereby given that unless the registrant listed herein, its
assigns or legal representatives, shall enter an appearance within thirty
days of this publication, the cancellation will proceed as in the case of
default.

Upurea, Inc., Racine, WI, Registration No. 3586865 for the mark
"GET-GORGEOUS GREEN BEAUTY", Cancellation No. 92057926.

                                                         KARL KOCHERSPERGER
                                                       Paralegal Specialist
                                      Trademark Trial and Appeal Board, for
                                                            DEBORAH S. COHN
                                                Commissioner for Trademarks
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 39 

37 CFR 1.47 Notice by Publication
                       37 CFR 1.47 Notice by Publication

   Notice is hereby given of the filing of a national stage application
with a petition under 37 CFR 1.47 requesting acceptance of the application
without the signature of all inventors.  The petition has been granted.  A
notice has been sent to the last known address of the non-signing inventor.
The inventor whose signature is missing (Markus Burgstaller) may join in
the application by promptly filing an appropriate oath or declaration
complying with 37 CFR 1.63.  The international application number is
PCT/EP2011/061607 and was filed on 08 July 2011 in the names of Markus
Burgstaller, Peter Kerschhaggl, and Marcus Groinig entitled METHOD,
SENSOR UNIT AND MACHINE FOR DETECTING "SUGAR TOP" DEFECTS IN POTATOES.  The
national stage application is assigned number 13/812,439 and has a 35
U.S.C. 371(c) date of 05 June 2013.

                       37 CFR 1.47 Notice by Publication

   Notice is hereby given of the filing of a national stage application
with a petition under 37 CFR 1.47 requesting acceptance of the application
without the signature of all of the inventors.  The petition has been
granted.  A notice has been sent to the last known address of the
non-signing inventor, Enrique Macedo Baudel.  The inventor whose signature
is missing may join in the application by promptly filing an appropriate
oath or declaration complying with 37 CFR 1.63.  The international
application number is PCT/BR2010/000397 and was filed on 30 November 2010
in the names of Enrique Macedo Baudel, Jose Travassis Rios Tome, Dionisio
Fabiano Pegoretti, Dionisio Morelli Filjo, Oswaldo Godoy Neto, Jaime
Finguerut, Celia Maria Galvao, and Liliane Pires Andrade for the invention
entitled Method for Processing Vegetable Biomass.  The national stage
application is assigned number 13/512,615 and has a 35 U.S.C. 371(c)(1),
(c)(2) and (c)(4) date of 30 June 2013.
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 40 

Registration to Practice
                           Registration to Practice

   The following list contains the names of persons seeking for registration
to practice before the United States Patent and Trademark Office.  Final
approval for registration is subject to establishing to the satisfaction of
the Director of the Office of Enrollment and Discipline that the person
seeking registration is of good moral character and repute. 37 CFR § 11.7
Accordingly, any information tending to affect the eligibility of any of
the following persons on moral ethical or other grounds should be furnished
to the Director of Enrollment and Discipline on or before December 21, 2013
at the following address: Mail Stop OED United States Patent and Trademark
Office P.O. Box 1450 Alexandria VA 22314

Ahn, Caroline Borham, Heslin Rothernberg Farley & Mesitit P.C., 5 Columbia
Circle, Albany, NY  12203

Cohen, Eric Ross, 224 Valley View Road, Media, PA  19063

Denbina, Leonard Joseph, Sidley Austin L.L.P., 717 N Harwood, Suite 3400,
Dallas, TX  75201

Dietrich, Blake Thomas, 6015 Monticello Avenue, Dallas, TX  75206

Farmer, Andrew Thomas, 8220 East Elm Drive, Scottsdale, AZ  85257

Feldstein, Evan Tyler, 5546 Foxhill Drive, Toledo, OH  43623

Fraser, David Raye, MOSAID Technologies Inc., 11 Hines Road, Suite 203,
Ottawa, ON K2K 2X1, Canada

Fraulo, Paul Lawrence, 307 Smith Street, Apartment 2, 3rd Floor, Brooklyn,
NY  11231

Gohn, Thomas Joseph, 305 West 35th Street, #202, Austin, TX  78705

Greer, Stephanie Michelle, Dentons US L.L.P., 2000 McKinney Avenue, Suite
1900, Dallas, TX  75201-1858

Gu, Wenli, 2611 Cobble Springs Lane, Pearland, TX  77584

Hebden, Candice Brooke, 232 East 12th Street, Apartment 2B, New York, NY
10003

Lee, Hyun Jung, Lowe Hauptman Ham & Berner L.L.P., 2318 Mill Road, Suite
1400, Alexandria, VA  22314

Liang, Bing, 1188 Mission Street, Apartment #519, San Francisco, CA  94103

Liu, Tyler Chwan-Yung, 300 Massachusetts Avenue, N.W., Apartment #636,
Washington, DC  20001

Lovin, Kristen Elizabeth, 7023 Conservatory Lane, Charlotte, NC  28210

Meyer de Stadelhofen, Franz Louis, ICB Ingenieurs-Conseils en Brevets SA,
3 Faubourg de I'Hopital, Neuchatel, 2001 Switzerland

Petrovic, Lena, 4565 Fernandez Street, Union City, CA  94587

Poker, Cory Seth, Merck Research Laboratories, 2015 Galloping Hill Road,
Mail Stop K-15-A218, Kenilworth, NJ  07033

Schwarz, Timothy Stephen, United States Patent and Trademark Office, 501
Dulany Street, Knox Building Suite 5C-31, Alexandria, VA  22314

Tang, Johnny, 6746 Dartmoor Way, San Jose, CA  95129
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 41 


Teicher, Timothy Jon, 1400 2nd Street South, Apartment B211, Minneapolis,
MN  55454

Weaver, Michelle Lynn, 223 Edelweiss Drive, Wexford, PA  15090

Zhang, Rong, General Electric, 1 Research Circle, Building K1-4D59,
Niskayuna, NY 12309

November 6, 2013                                           WILLIAM R. COVEY
                   Deputy General Counsel for Enrollment and Discipline and
                        Director of the Office of Enrollment and Discipline
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 42 

Changes to Implement the Patent Law Treaty
                            DEPARTMENT OF COMMERCE

                          Patent and Trademark Office

                           37 CFR Parts 1, 3 and 11

                         [Docket No. PTO-P-2013-0007]
                                 RIN 0651-AC85

                  Changes to Implement the Patent Law Treaty

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Final rule.

SUMMARY: The Patent Law Treaties Implementation Act of 2012 (PLTIA)
amends the patent laws to implement the provisions of the Hague
Agreement Concerning International Registration of Industrial Designs
(Hague Agreement) in title I, and the Patent Law Treaty (PLT) in title
II. The PLT harmonizes and streamlines formal procedures pertaining to
the filing and processing of patent applications. This final rule
revises the rules of practice for consistency with the changes in the
PLT and title II of the PLTIA. The United States Patent and Trademark
Office (Office) is implementing the Hague Agreement and title I of the
PLTIA in a separate rulemaking. The notable changes in the PLT and
title II of the PLTIA pertain to: The filing date requirements for a
patent application; the restoration of patent rights via the revival of
abandoned applications and acceptance of delayed maintenance fee
payments; and the restoration of the right of priority to a foreign
application or the benefit of a provisional application in a subsequent
application filed within two months of the expiration of the twelve-
month period (six-month period for design applications) for filing such
a subsequent application. This final rule also revises the patent term
adjustment provisions to provide for a reduction of any patent term
adjustment if an application is not in condition for examination within
eight months of its filing date or date of commencement of national
stage in an international application, and contains miscellaneous
changes pertaining to the supplemental examination, inventor's oath or
declaration, and first inventor to file provisions of the Leahy-Smith
America Invents Act (AIA).

DATES: Effective date: December 18, 2013.
   Applicability date: The changes to 37 CFR 1.1, 1.4, 1.5, 1.6, 1.7,
1.17, 1.20, 1.23, 1.25, 1.29, 1.33, 1.51, 1.52, 1.54, 1.55(b) through
(e) and (h), 1.57(b) through (i), 1.58, 1.72, 1.76(d)(2), (f) and (g),
1.78, 1.83, 1.85, 1.131, 1.136, 1.137, 1.138, 1.197, 1.290, 1.311,
1.366, 1.378, 1.452, 1.550, 1.809, 1.958, 3.11, 3.31, and 11.18, and
the removal of 37 CFR 1.317, apply to any patent application filed
before, on, or after December 18, 2013, to any patent resulting from an
application filed before, on, or after December 18, 2013, and to any
reexamination proceeding and any request for supplemental examination
filed before, on, or after December 18, 2013. The changes to 37 CFR
1.16, 1.53(b) and (c), 1.57(a), 1.76(b)(3), and 1.81 apply only to
patent applications filed under 35 U.S.C. 111 on or after December 18,
2013. The changes to 37 CFR 1.53(f) and 1.495 apply only to patent
applications filed under 35 U.S.C. 111(a) or 363 on or after September
16, 2012. The changes to 37 CFR 1.55(f) and 37 CFR 1.704 apply only to
patent applications filed under 35 U.S.C. 111 on or after December 18,
2013, and international patent applications in which the national stage
commenced under 35 U.S.C. 371 on or after December 18, 2013.

FOR FURTHER INFORMATION CONTACT: Robert W. Bahr, Senior Patent Counsel,
Office of Patent Examination Policy, at (571) 272-8090.

SUPPLEMENTARY INFORMATION: Executive Summary: Purpose: The PLT
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 43 

harmonizes and streamlines formal procedures pertaining to the filing
and processing of patent applications. Title II of the PLTIA amends the
patent laws to implement the provisions of the PLT. This final rule
revises the rules of practice for consistency with the changes in the
PLT and title II of the PLTIA.
   Summary of Major Provisions: The major changes in the PLT and title
II of the PLTIA pertain to: (1) The filing date requirements for a
patent application; (2) the restoration of patent rights via the
revival of abandoned applications and acceptance of delayed maintenance
fee payments; and (3) the restoration of the right of priority to a
foreign application or the benefit of a provisional application in a
subsequent application filed within two months of the expiration of the
twelve-month period (six-month period for design applications) for
filing such a subsequent application. This final rule also revises the
patent term adjustment provisions to provide for a reduction of any
patent term adjustment if an application is not in condition for
examination within eight months of its filing date or date of
commencement of national stage in an international application.
   The Office is specifically revising the rules of practice
pertaining to the filing date requirements for a patent application to
provide that a claim is not required for a nonprovisional application
(other than for a design patent) to be entitled to a filing date (a
claim has never been required for a provisional application to be
entitled to a filing date). The Office is also providing for the filing
of a nonprovisional application "by reference" to a previously filed
application in lieu of filing the specification and drawings. An
application filed either without at least one claim or "by reference"
to a previously filed application in lieu of the specification and
drawings will be treated in a manner analogous to the pre-existing
provisions for treating an application that is missing application
components not required for a filing date under 35 U.S.C. 111(a) (37
CFR 1.53(f)), in that the applicant will be given a period of time
within which to supply a claim and/or claims or a copy of the
specification and drawings of the previously filed application.
   The Office is also revising the rules of practice pertaining to the
revival of abandoned applications (37 CFR 1.137) and acceptance of
delayed maintenance fee payments (37 CFR 1.378) to provide for the
revival of abandoned applications and acceptance of delayed maintenance
fee payments solely on the basis of "unintentional" delay. The PLTIA
eliminates the provisions of the patent statutes relating to revival of
abandoned applications or acceptance of delayed maintenance fee
payments on the basis of a showing of "unavoidable" delay.
   The Office is further revising the rules of practice pertaining to
priority and benefit claims to provide for the restoration of the right
of priority to a prior-filed foreign application and the restoration of
the right to benefit of a prior-filed provisional application. The
Office is providing with respect to the right of priority to a prior-
filed foreign application that if the subsequent application is filed
after the expiration of the twelve-month period (six-month period in
the case of a design application) set forth in 35 U.S.C. 119(a), but
within two months from the expiration of the twelve-month period (six-
month period in the case of a design application), the right of
priority in the subsequent application may be restored upon petition
and payment of the applicable fee if the delay in filing the subsequent
application within the twelve- or six-month period was unintentional.
The Office is providing with respect to benefit of a prior-filed
provisional application that if the subsequent application is filed
after the expiration of the twelve-month period set forth in 35 U.S.C.
119(e), but within two months from the expiration of the twelve-month
period, the benefit of the provisional application may be restored upon
petition and payment of the applicable fee if the delay in filing the
subsequent application within the twelve-month period was unintentional.
   Lastly, the Office is revising the patent term adjustment
provisions to provide for a reduction of any patent term adjustment if
an application is not in condition for examination within eight months
of its filing date or date of commencement of national stage in an
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 44 

international application. The PLT and PLTIA provide applicants with
additional opportunities to delay the examination process (e.g., the
ability to file an application without any claims and to file an
application merely by reference to a previously filed application).
This change to the patent term adjustment rules is to avoid the
situation in which an applicant obtains patent term adjustment because
the applicant takes advantage of the additional opportunities to delay
the examination process provided by the PLT and PLTIA.
   Costs and Benefits: This rulemaking is not economically significant
under Executive Order 12866 (Sept. 30, 1993).
   Background: The PLT was concluded on June 1, 2000, and entered into
force on April 28, 2005. The PLT harmonizes and streamlines formal
procedures pertaining to the filing and processing of patent
applications. With the exception of the filing date requirements
specified in PLT Article 5, the PLT specifies maximum form and content
requirements that an Office that is a party to the PLT (a Contracting
Party) may apply. A Contracting Party is free to provide for form and
content requirements that are more permissive from the viewpoint of
applicants and patent owners. The PLT does not apply to design, plant,
provisional, or reissue applications. See PLT Art. 3 (the PLT applies
to the types of applications that are permitted to be filed as
international applications under the Patent Cooperation Treaty (PCT)).
The PLT Articles and Regulations under the PLT are available on the
World Intellectual Property Organization (WIPO) Internet Web site
(www.wipo.int).
   The United States Senate ratified the PLT on December 7, 2007. The
PLT did not enter into force in the United States upon ratification in
2007 as the PLT is not a self-executing treaty. See Patent Law Treaty
and Regulations under Patent Law Treaty, Executive Report 110-6 at 3-4
(2007). Legislation (title II of the PLTIA) to amend the provisions of
title 35, United States Code, to implement the PLT was enacted on
December 18, 2012. See Public Law 112-211, sections 201 through 203,
126 Stat. 1527, 1533-37 (2012). The changes in title II (sections 201
through 203) of the PLTIA are divided into three groups: (1) The
changes pertaining to a patent application filing date; (2) the changes
pertaining to the revival of abandoned applications and acceptance of
delayed maintenance fee payments; and (3) the changes pertaining to the
restoration of the right of priority to a foreign application or the
benefit of a provisional application. See id. The major provisions of
the PLT and title II of the PLTIA are as follows:
   PLT Article 5 sets forth the requirements for obtaining a filing
date. PLT Article 5(1) provides that a filing date will be accorded to
an application upon compliance with three formal requirements: (1) An
indication that the elements received by the Office are intended to be
an application for a patent for an invention; (2) indications that
would allow the Office to identify and to contact the applicant; and
(3) a part which appears to be a description of the invention. No
additional elements (such as a claim or a drawing) can be required for
a filing date to be accorded to an application. Pre-PLTIA 35 U.S.C.
111(a) provides that the filing date of an application shall be the
date on which "the specification and any required drawing" are
received in the Office, and thus requires that an application contain a
drawing where necessary for an understanding of the invention (35
U.S.C. 113(first sentence)) and at least one claim to be entitled to a
filing date. See Baxter Int'l, Inc. v. McGaw, Inc., 149 F.3d 1321, 1333
(Fed. Cir. 1998) (both statute and regulation make clear the
requirement that a patent application must include, inter alia, a
specification containing claims and a drawing, and the omission of any
of these component parts makes a patent application incomplete and thus
not entitled to a filing date). Section 201(a) of the PLTIA amends 35
U.S.C. 111(a) to provide that the filing date of an application (other
than for a design patent) is the date on which a specification, "with
or without claims," is received in the Office. See 126 Stat. at 1533.
   PLT Article 5(1)(b) permits a Contracting Party to accept a drawing
as a description of the invention in appropriate circumstances. This is
considered to be consistent with pre-existing jurisprudence in the
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 45 

United States and thus no change in that regard is necessary. See Vas-
Cath Inc. v. Mahurkar, 935 F.2d 1555, 1565 (Fed. Cir. 1991) ("under
proper circumstances, drawings alone may provide a `written
description' of an invention as required by [35 U.S.C.] 112").
   PLT Article 5 and PLTIA 35 U.S.C. 111(a) specify the formal
requirements necessary for an application to be entitled to a filing
date, and compliance with these requirements ensures only that the
disclosure present upon filing in the application will be entitled to a
filing date. An application whose disclosure satisfies only the
requirements of 35 U.S.C. 111(a) to be entitled to a filing date may
nonetheless not meet the requirements of 35 U.S.C. 112 and 113
necessary for the applicant to be entitled to a patent for any claimed
invention presented in the application, or even for the application to
effectively serve as a priority or benefit application for an
application subsequently filed in the United States or abroad.
Therefore, the ability to file an application without a claim or
drawing should be viewed as a safeguard against the loss of a filing
date due to a technicality and not as a best practice.
   PLT Article 5(2) permits the description of the invention to be
filed in any language.
   As discussed previously, the filing date requirements in PLT
Article 5 are not simply the maximum requirements but instead
constitute the absolute minimum and maximum requirements for an
application to be accorded a filing date. See PLT Art. 2(1).
   Finally, as discussed previously, the PLT does not apply to design
applications. Section 202(a) of the PLTIA amends 35 U.S.C. 171 to
provide that the filing date of an application for design patent shall
be the date on which the specification as prescribed by 35 U.S.C. 112
and any required drawings are filed. See 126 Stat. at 1535. Therefore,
a design application must contain a claim and any required drawings to
be entitled to a filing date.
   35 U.S.C. 111(a) as in effect prior to the PLTIA provides that the
fee and oath or declaration may be submitted after the specification
and any required drawing are submitted, within such period and under
such conditions, including the payment of a surcharge, as may be
prescribed by the Director, and that upon failure to submit the fee and
oath or declaration within such prescribed period, the application
shall be regarded as abandoned. See 35 U.S.C. 111(a)(3) and (a)(4).
Section 201(a) of the PLTIA amends 35 U.S.C. 111(a)(3) and (a)(4) to
provide that the fee, oath or declaration, and claim or claims may be
submitted after the filing date of the application, within such period
and under such conditions, including the payment of a surcharge, as may
be prescribed by the Office, and that upon failure to submit the fee,
oath or declaration, and claim or claims within the period prescribed by
the Office, the application shall be regarded as abandoned. See 126 Stat.
at 1533.
   Section 201(a) of the PLTIA further amends 35 U.S.C. 111 to: (1)
More closely align the corresponding provisions for nonprovisional
applications in 35 U.S.C. 111(a) and provisional applications in 35
U.S.C. 111(b); (2) more clearly distinguish the filing date
requirements in those sections from the more substantive requirements
of 35 U.S.C. 112 and 113; and (3) delete the reference to the
"unavoidable or unintentional" standard in favor of an "unintentional"
standard in new 35 U.S.C. 27. See id.
   PLT Article 5(6) pertains to applications containing a missing part
of the description or a missing drawing. PLT Article 5(6)(a) provides
that if the missing part of the description or a missing drawing is
timely filed, the filing date of the application shall be the date on
which the Office has received that part of the description or that
drawing. PLT Article 5(6)(c) provides that if the missing part of the
description or the missing drawing is timely withdrawn by the
applicant, the filing date of the application shall be the date on
which the applicant complied with requirements provided for in PLT
Article 5(1) and (2). PLT Article 5(6)(b) provides that where (i) a
prior-filed application contains the missing part of the description
and/or missing drawing, (ii) the application as filed claims the
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priority to the prior-filed application, and (iii) the applicant timely
files a copy of the prior-filed application (and translation if
necessary), the filing date of the application (including the missing
part of the description and/or missing drawing) shall be the date on
which the applicant complied with requirements provided for in PLT
Article 5(1) and (2). The Office's procedures concerning the handling
of applications containing a missing part of the description or a
missing drawing are set forth in sections 601.01(d) (applications filed
without all pages of the specification) and 601.01(g) (applications
filed without all figures of drawings) of the Manual of Patent
Examining Procedure (8th ed. 2001) (Rev. 9, Aug. 2012) (MPEP).
   PLT Article 5(7) provides that a reference to a previously filed
application, made upon the filing of the application, shall replace the
description and any drawings of the application for purposes of the
filing date of the application. PLT Rule 2(5) requires that this
reference to the previously filed application indicate that, for the
purposes of the filing date, the description and any drawings of the
application are replaced by the reference to the previously filed
application, and also indicate the application number and the office
(intellectual property authority or country) where the previously filed
application was filed. PLT Rule 2(5) further provides that a
Contracting Party may require that: (1) A copy of the previously filed
application and a translation of the previously filed application (if
not in a language accepted by the Office) be filed with the Office
within a time limit of not less than two months from the date on which
the application containing the reference was received by the Office;
and (2) a certified copy of the previously filed application be filed
with the Office within a time limit of not less than four months from
the date on which the application containing the reference was received
by the Office.
   Section 201(a) of the PLTIA amends 35 U.S.C. 111 to provide for
this reference filing in a new 35 U.S.C. 111(c). New 35 U.S.C. 111(c)
provides that a reference made upon the filing of an application to a
previously filed application shall, as prescribed by the Office,
constitute the specification and any drawings of the subsequent
application for purposes of a filing date. See 126 Stat. at 1533-34.
New 35 U.S.C. 111(c) specifically provides that the Director may
prescribe the conditions, including the payment of a surcharge, under
which a reference made upon the filing of an application under 35
U.S.C. 111(a) to a previously filed application, specifying the
previously filed application by application number and the intellectual
property authority or country in which the application was filed, shall
constitute the specification and any drawings of the subsequent
application for purposes of a filing date. See 126 Stat. at 1533. New
35 U.S.C. 111(c) further provides that a copy of the specification and
any drawings of the previously filed application shall be submitted
within such period and under such conditions as may be prescribed by
the Director, and that a failure to submit the copy of the
specification and any drawings of the previously filed application
within the prescribed period shall result in the application being
regarded as abandoned. See 126 Stat. at 1533-34. New 35 U.S.C. 111(c)
finally provides that such an abandoned application shall be treated as
having never been filed, unless: (1) The application is revived under
35 U.S.C. 27; and (2) a copy of the specification and any drawings of
the previously filed application are submitted to the Director. See 126
Stat. at 1534.
   PLT Article 6 standardizes application format requirements by
providing that a Contracting Party may not impose form or content
requirements different from or in addition to the form and content
requirements provided for in the PCT, or permitted by the PCT for
international applications during national processing or examination,
or as prescribed in the PLT Regulations. The United States has taken a
reservation with respect to PLT Article 6, in that PLT Article 6(1)
shall not apply to any requirement relating to unity of invention
applicable under the PCT to an international application. See Patent
Law Treaty and Regulations under Patent Law Treaty, Executive Report
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 47 

110-6 at 6. The Office appreciates that patent stakeholders prefer that
the Office move from the "independent and distinct" restriction
standard of 35 U.S.C. 121 to the "unity of invention" standard of PCT
Rule 13. The Office is in the process of studying the changes to the
patent statute, regulations, examination practices, and filing fees
that would be necessary to move from the "independent and distinct"
restriction standard of 35 U.S.C. 121 to the "unity of invention"
standard of PCT Rule 13 in a practical manner.
   The PLT further provides for the establishment of standardized
Model International Forms, which will have to be accepted by all
Contracting Parties. The following Model International Forms have been
established under the PLT: (1) Model International Request Form; (2)
Model International Power of Attorney Form; (3) Model International
Request for Recordation of Change in Name or Address Form; (4) Model
International Request for Correction of Mistakes Form; (5) Model
International Request for Recordation of Change in Applicant or Owner
Form; (6) Model International Certificate of Transfer Form; (7) Model
International Request for Recordation of a License/Cancellation of the
Recordation of a License Form; and (8) Model International Request for
Recordation of a Security Interest/Cancellation of the Recordation of a
Security Interest Form.
   PLT Articles 6, 7, and 8 provide for simplified procedures, such as
exceptions from mandatory representation for certain actions,
restrictions on requiring evidence on a systematic basis, permitting a
single communication for more than one application or patent from the same
person in certain situations (e.g., powers of attorney), and
restrictions on the requirement to submit a copy and any necessary
translation of an earlier application.
   PLT Rule 7(2)(b) specifically provides that a single power of
attorney is sufficient even where it relates to more than one
application or patent of the same person, and also that a power of
attorney will be sufficient where it relates to future applications of
such person. PLT Rule 7(2)(b) permits the Office to require a separate
copy of the power of attorney be filed in each application and patent
to which it relates. The Office permits a single power of attorney for
multiple applications or patents of the same person, but requires a
separate copy of the power of attorney be filed in each application or
patent to which it relates. See 37 CFR 1.4(b). A person may give a
power of attorney that is not specific to an application or patent,
similar to the General Power of Attorney used in PCT practice (general
power of attorney), and a practitioner having authority from such
person may submit a copy of the general power of attorney in any
application or patent of that person.
   PLT Articles 11, 12, and 13 provide procedures to avoid the loss of
substantive rights as a result of an unintentional failure to comply
with formality requirements or time periods.
   PLT Article 11 requires a Contracting Party to provide for either
extensions of time (or an alternative to reinstate the applicant's or
owner's rights) for time limits fixed by the Contracting Party. The PLT
distinguishes between time limits fixed by applicable law and time
limits fixed by the Contracting Party. A time limit is fixed by
applicable law when the time limit is provided for in a statute (e.g.,
the three-month period in 35 U.S.C. 151) or regulation (e.g., the
three-month period in 37 CFR 1.85(c)). A time limit is fixed by the
Contracting Party when the applicable statute or regulation provides
for a time period to be set, but does not specify the time limit itself
(e.g., 35 U.S.C. 133, 37 CFR 1.53(f)(1), or 37 CFR 1.134). While many
time limits fixed by regulation are extendable (e.g., 37 CFR
1.53(f)(1), and 1.137(e)), PLT Article 11 applies only to time limits
that are not fixed by statute or regulation. The PLT also provides that
extensions of time under PLT Article 11(1) must not be for less than
two months from the date of the expiration of the unextended time
period (PLT Rule 12(2)(a)).
   PLT Article 12 provides for reinstatement of rights on the basis of
unintentional delay (or alternatively if the failure occurred in spite
of due care). Section 201(b) of the PLTIA adds a new section 27 to
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title 35. New 35 U.S.C. 27 provides that the Director may establish
procedures to revive an unintentionally abandoned application for
patent, accept an unintentionally delayed payment of the fee for
issuing each patent, or accept an unintentionally delayed response by
the patent owner in a reexamination proceeding, upon petition by the
applicant for patent or patent owner. See 126 Stat. at 1534. As
discussed previously, the PLTIA eliminates the provisions of the patent
statutes relating to revival or acceptance of delayed maintenance fee
payments on the basis of a showing of "unavoidable" delay. Thus, the
PLTIA provides a single standard (unintentional delay) for reviving
abandoned applications, accepting delayed issue fee and maintenance fee
payments, and accepting delayed responses by the patent owner in a
reexamination proceeding.
   Section 202(b)(1)(A) of the PLTIA amends 35 U.S.C. 41(a)(7) to
provide that the Office shall charge $1,700.00 on filing each petition
for the revival of an abandoned application for a patent, for the
delayed payment of the fee for issuing each patent, for the delayed
response by the patent owner in any reexamination proceeding, for the
delayed payment of the fee for maintaining a patent in force, for the
delayed submission of a priority or benefit claim, or for the extension
of the twelve-month period for filing a subsequent application. See 126
Stat. at 1535.
   Section 202(b)(1)(A) of the PLTIA also amends 35 U.S.C. 41(a)(7) to
provide that the Director may refund any part of this fee in
exceptional circumstances as determined by the Director. See id. The
Office has a practice of waiving surcharges not required by statute in
situations in which the failure to take the required action or pay the
required fee was due to a widespread disaster, such as a hurricane,
earthquake, or flood. See, e.g., Relief Available to Patent and
Trademark Applicants, Patentees and Trademark Owners Affected by
Hurricane Sandy, 1385 Off. Gaz. Pat. Office 162 (Dec. 18, 2012), Relief
Available to Patent and Trademark Applicants, Patentees and Trademark
Owners Affected by the Severe Earthquakes in Northern Italy, 1381 Off.
Gaz. Pat. Office 213 (Aug. 21, 2012), Relief Available to Patent and
Trademark Applicants, Patentees and Trademark Owners Affected by the
Catastrophic Flooding in Thailand, 1375 Off. Gaz. Pat. Office 188 (Feb.
21, 2012), Relief Available to Patent and Trademark Applicants,
Patentees and Trademark Owners Affected by the Catastrophic Events of
March 11, 2011, in Japan, 1365 Off. Gaz. Pat. Office 170 (Apr. 19,
2011), and Petitions to Accept a Delayed Patent Maintenance Fee Payment
where Non-Payment was due to the Effects of Hurricane Katrina, 1299
Off. Gaz. Pat. Office 20 (Oct. 4, 2005). This provision of PLTIA 35
U.S.C. 41(a)(7) permits the Office to refund (or waive) the fee
specified in 35 U.S.C. 41(a)(7) in situations in which the failure to
take the required action or pay the required fee was due to a
widespread disaster, such as a hurricane, earthquake, or flood, in the
manner that the Office would waive surcharges that are not required by
statute.
   Section 202(b)(1)(B) of the PLTIA also amends 35 U.S.C. 41(c)(1) to
conform procedures for the late payment of maintenance fees with those
provided in new 35 U.S.C. 27. Section 202(b)(1)(B) of the PLTIA
specifically amends 35 U.S.C. 41(c)(1) to delete the twenty-four month
time limit for unintentionally delayed maintenance fee payments and the
reference to an unavoidable standard. PLTIA 35 U.S.C. 41(c)(1) provides
that: (1) The Director may accept the payment of any maintenance fee
required by 35 U.S.C. 41(b) after the six-month grace period if the
delay is shown to the satisfaction of the Director to have been
unintentional; (2) the Director may require the payment of the fee
specified in 35 U.S.C. 41(a)(7) as a condition of accepting payment of
any maintenance fee after the six-month grace period; and (3) if the
Director accepts payment of a maintenance fee after the six-month grace
period, the patent shall be considered as not having expired at the end
of the grace period (subject to the pre-existing intervening rights
provision of 35 U.S.C. 41(c)(2)). See 126 Stat. at 1535-36.
   Section 202(b) of the PLTIA also amends 35 U.S.C.
122(b)(2)(B)(iii), 133, 151, 364(b), and 371(d) to delete the reference
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to an unavoidable standard in light of new 35 U.S.C. 27. See 126 Stat.
at 1536.
   Section 202(b)(6) of the PLTIA amends 35 U.S.C. 151 to provide
that: (1) If it appears that an applicant is entitled to a patent under
the law, a written notice of allowance of the application shall be
given or mailed to the applicant; (2) the notice of allowance shall
specify a sum, constituting the issue fee and any required publication
fee, which shall be paid within three months thereafter; and (3) upon
payment of this sum, the patent may issue, but if payment is not timely
made, the application shall be regarded as abandoned. See id. Under former
35 U.S.C. 151: (1) The Office issues a notice of allowance if it appears
that applicant is entitled to a patent under the law; (2) the notice of
allowance specifies a sum, which constitutes the issue fee or a portion
thereof; (3) the sum specified in the notice of allowance must be paid
within three months; (4) the patent shall issue if the sum specified in the
notice of allowance is timely paid, but the application is abandoned if the
sum specified in the notice of allowance is not timely paid; (5) any
remaining balance of the issue fee must be paid within three months
from the mailing of a notice that the balance of the issue fee is due;
and (6) the patent shall lapse if any remaining balance of the issue
fee is not paid within three months from the mailing of a notice that
the balance of the issue fee is due. See In re Mill, 12 USPQ2d 1847
(1989) (discussing the practice prescribed in 35 U.S.C. 151 for
obtaining the balance of the issue fee due in an application in which
the sum specified in the notice of allowance is timely paid). The PLTIA
amends 35 U.S.C. 151 to provide that the sum specified by the notice of
allowance constitutes the issue fee and any required publication fee
(rather than the issue fee or a portion thereof), and eliminates the
provisions (the third and fourth paragraphs of former 35 U.S.C. 151)
pertaining to the lapsed patent practice.
   The lapsed patent provisions of former 35 U.S.C. 151 were relevant
when the issue fee was revised after a notice of allowance is issued
but before the issue fee is paid. Under former 35 U.S.C. 151: (1) If
the fee specified in the notice of allowance was timely paid, the
Office would issue a notice that any balance of the issue fee is due
and give the applicant three months to pay the balance of the issue
fee; and (2) if the balance of the issue fee was not paid within this
three-month period, then the patent would lapse. See Mill, 12 USPQ2d at
1848. Under the changes to 35 U.S.C. 151 in the PLTIA, the sum
specified in the notice of allowance will constitute the issue fee and
any required publication fee, and the Office will proceed to issue a
patent when the applicant pays the sum specified in the notice of
allowance, regardless of the issue fee and/or publication fee in effect
on the date the sum specified in the notice of allowance is paid.
   The Office published a final rule in March of 2013, setting and
adjusting patent fees under section 10 of the AIA. See Setting and
Adjusting Patent Fees, 78 FR 4212 (Jan. 18, 2013) (fee setting final
rule). The fee setting final rule reduces issue fees and publication
fees paid on or after January 1, 2014. See Setting and Adjusting Patent
Fees, 78 FR at 4235-36, 4286-87. To allow applicants whose notice of
allowance is mailed between October 1, 2013, and December 31, 2013, to
take advantage of the reduced issue and publication fee, any notice of
allowance mailed between October 1, 2013, and December 31, 2013, will
indicate that the issue and publication fee due is the lower of: (1)
The issue fee plus publication fee in effect on the date the notice of
allowance is mailed; or (2) the issue and publication fee in effect on
the date the issue and publication fee is paid. Thus, the sum specified
in a notice of allowance mailed between October 1, 2013, and December
31, 2013, will be the issue fee in effect on January 1, 2014, for
applicants who receive a notice of allowance before January 1, 2014,
but who pay the issue fee on or after January 1, 2014.
   PLT Article 13 provides for the restoration of the right of
priority where there is a failure to timely claim priority to the prior
application, and also where there is a failure to file the subsequent
application within twelve months of the filing date of the priority
application. Section 201(c) of the PLTIA amends 35 U.S.C. 119 to
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 50 

provide that the twelve-month periods set forth in 35 U.S.C. 119(a) and
(e) may be extended by an additional two months if the delay in filing
an application claiming priority to a foreign application or the
benefit of a provisional application within that twelve-month period
was unintentional. Section 201(c) of the PLTIA also amends 35 U.S.C.
119(a) and 365(b) to provide for unintentionally delayed claims for
priority under the PCT and the Regulations under the PCT, and priority
claims to an application not filed within the priority period specified
in the PCT and the Regulations under the PCT but filed within the
additional two-month period.
   Section 201(c) of the PLTIA specifically amends 35 U.S.C. 119(a) by
adding that the Director may prescribe regulations, including the
requirement for payment of the fee specified in 35 U.S.C. 41(a)(7),
pursuant to which the twelve-month period set forth in 35 U.S.C. 119(a)
may be extended by an additional two months if the delay in filing the
application in the United States within the twelve-month period was
unintentional. See 126 Stat. at 1534.
   Section 201(c) of the PLTIA specifically amends 35 U.S.C. 119(e)(1)
by adding that the Director may prescribe regulations, including the
requirement for payment of the fee specified in 35 U.S.C. 41(a)(7),
pursuant to which the twelve-month period set forth in 35 U.S.C. 119(e)
may be extended by an additional two months if the delay in filing the
application under 35 U.S.C. 111(a) or 363 within the twelve-month
period was unintentional. See id.
   Section 201(c) of the PLTIA amends 35 U.S.C. 119(e)(3) by adding
that for a patent application filed under 35 U.S.C. 363 in a Receiving
Office other than the United States Patent and Trademark Office, the
twelve-month and additional two-month period set forth in 35 U.S.C.
119(e) shall be extended as provided under the PCT and PCT Regulations.
See 126 Stat. at 1534-35.
   Section 201(c) of the PLTIA amends 35 U.S.C. 365(b) by adding that
the Director may establish procedures, including the requirement for
payment of the fee specified in 35 U.S.C. 41(a)(7), to accept an
unintentionally delayed claim for priority under the PCT and PCT
Regulations, and to accept a priority claim that pertains to an
application that was not filed within the priority period specified in
the PCT and PCT Regulations, but was filed within the additional two-
month period specified under 35 U.S.C. 119(a) or the PCT or PCT
Regulations. See 126 Stat. at 1535.
   Sections 201(c) and 202(b)(2) and (b)(3) of the PLTIA amend 35
U.S.C. 119(b), 119(e), and 120 to change the phrase "including the
payment of a surcharge" in the provision pertaining to the submission
of delayed priority or benefit claims to "including the requirement
for payment of the fee specified in [35 U.S.C.] 41(a)(7)." See 126
Stat. at 1534 and 1536.
   PLT Article 14 and PLT Rules 15, 16, and 17 pertain to requests for
a change in the applicant's or owner's name or address, requests for a
change in the applicant or owner (e.g., due to an assignment), requests
for recordation of a license or a security interest, and requests for
correction of a mistake.
   35 U.S.C. 261 as in effect prior to the PLTIA provides that:
"Subject to the provisions of this title, patents shall have the
attributes of personal property." Section 201(d) of the PLTIA amends
35 U.S.C. 261, first paragraph, by adding: "[t]he [United States]
Patent and Trademark Office shall maintain a register of interests in
applications for patents and patents and shall record any document
related thereto upon request, and may require a fee therefor." See 126
Stat. at 1535. Section 201(d) of the PLTIA also amends 35 U.S.C. 261,
fourth paragraph, to read as follows: "An interest that constitutes an
assignment, grant or conveyance shall be void as against any subsequent
purchaser or mortgagee for a valuable consideration, without notice,
unless it is recorded in the [United States] Patent and Trademark
Office within three months from its date or prior to the date of such
subsequent purchase or mortgage." See id.
   PLT Rule 15(3)(b) provides that a single request for recordation of
a change in the name and/or address of the applicant or owner is
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 51 

sufficient even where it relates to more than one application or patent
of the same person, but also permits the Office to require a separate
copy of the request for each application and patent to which it
relates. PLT Rules 16(5) and 17(5) provide that a single request for
recordation of a change in the applicant or owner and a single request
for recordation of a license or security interest is sufficient even
where it relates to more than one application or patent of the same
person, but also permits the Office to require a separate copy of the
request for each application and patent to which it relates. The Office
will permit a single request for recordation of a change in the name
and/or address of the applicant or owner, single request for
recordation of a change in the applicant or owner, and a single request
for recordation of a license or security interest for multiple
applications or patents of the same person, but will require a separate
copy of such a request for each application and patent to which it
relates. See 37 CFR 1.4(b).
   PLT Rule 18(3) provides that a single request for correction of a
mistake is sufficient even where it relates to more than one
application or patent of the same person, provided that the mistake and
correction are common to all applications or patents concerned, but
also permits the Office to require a separate copy of the request for
each application and patent to which it relates. The Office will permit
a single request for correction of a mistake to more than one
application or patent of the same person, provided that the mistake and
correction are common to all applications or patents concerned, but
will require a separate copy of such a request for each application and
patent to which it relates. See 37 CFR 1.4(b).
   The PLT also provides for a minimum two-month time period for
replies to notifications concerning noncompliance pertaining to: (1)
Filing date issues or omitted drawings or pages of specification (PLT
Rule 2(1)); (2) the form or content of an application (PLT Rule 6(1));
(3) the appointment of a representative (PLT Rule 7(5)); (4) the formal
requirements for communications from the applicant or patent owner (PLT
Rule 11(1)); (5) requests for recordation of a change in name or
address (PLT Rule 15(6); (6) requests for recordation of a change in
the applicant or patent owner (PLT Rule 16(8)); (7) requests for
recordation of a license or a security interest (PLT Rule 17(8)); and
(8) requests for correction of a mistake (PLT Rule 18(6)).
   The Office has and may continue to develop certain pilot programs
that are not encompassed by the PLT. These pilot programs will continue
to set time periods of less than two months in certain situations as
necessary to avoid delays and permit the timely evaluation of the
effectiveness of the program.
   The first is the pre-appeal brief conference program. The Notice of
Panel Decision from Pre-Appeal Brief Review will continue to set a time
period of one month from the mailing of the Notice of Panel Decision
from Pre-Appeal Brief Review, or the balance of the two-month time
period running from the notice of appeal, whichever is longer, to file
an appeal brief in order to avoid dismissal of the appeal if the result
of the pre-appeal brief review is that the applicant must proceed to
the Patent Trial and Appeal Board. The Notice of Non-Compliant Pre-
Appeal Brief Request for Review will continue to set a time period of
one month from the mailing of the Notice of Non-Compliant Pre-Appeal
Brief Request for Review, or the balance of the two-month time period
running from the notice of appeal, whichever is longer, to file an
appeal brief in order to avoid dismissal of the appeal.
   The second is the pre-first Office action on the merits interview
program. The Notice of Non-Compliant First Action Interview Request
will continue to set a non-extendable time period of one month or
thirty days, whichever is longer, for an applicant to correct the
deficiencies to avoid the application being removed from the Full First
Office Action Interview Pilot Program and examined in regular course.
The First Action Interview Pilot Program Pre-Interview Communication
will continue to set a time period of one month or thirty days,
whichever is longer (extendable by only one month) for an applicant to
schedule an interview and submit a proposed amendment or arguments to
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avoid the application being removed from the Full First Office Action
Interview Pilot Program and examined in regular course. However, the
Office is revising the Full First Action Interview program to provide
that the First Action Interview Office Action Summary will set a time
period of two months (extendable by two months) in order for an
applicant to reply to the Office action.
   The Office is revising the Accelerated Examination program in view
of the PLT. The Office adopted an Accelerated Examination program in
2006, which provided for Office actions setting a one-month non-
extendable time period for replies. See Changes to Practice for
Petitions in Patent Applications To Make Special and for Accelerated
Examination, 71 FR 36323, 36325 (June 25, 2006); see also MPEP
708.02(a). The Office is revising the Accelerated Examination program
to provide that Office actions (other than a notice of allowance) will
set a shortened statutory period for reply of at least two months. In
addition, extensions of this shortened statutory period under 37 CFR
1.136(a) will be permitted, but filing a petition for an extension of
time will result in the application being taken out of the Accelerated
Examination program, in the same manner as filing a petition for an
extension of time will result in the application being taken out of the
Prioritized Examination program. Cf. Changes To Implement the
Prioritized Examination Track (Track I) of the Enhanced Examination
Timing Control Procedures Under the Leahy-Smith America Invents Act, 76
FR 59050, 59051 (Sept. 23, 2011).
   Section 203(a) provides that the amendments made by title II of the
PLTIA take effect on December 18, 2013 (the date that is one year after
the date of the enactment of the PLTIA) and apply to: (1) Any patent
issued before, on, or after December 18, 2013; and (2) any application
for patent that is pending on or filed after December 18, 2013. See 126
Stat. at 1536. Section 203(b) provides that the amendments to 35 U.S.C.
111 made by title II of the PLTIA apply only to applications that are
filed on or after December 18, 2013. Section 203(b) also provides that
the amendments made by title II of the PLTIA shall have no effect with
respect to any patent that is the subject of litigation in an action
commenced before December 18, 2013. See 126 Stat. at 1537.
   As discussed previously, the PLT does not apply to design, plant,
provisional, or reissue applications. The changes in the PLTIA and this
final rule to implement the PLT, however, are applicable to design,
plant, provisional, and reissue applications, except that PLTIA 35
U.S.C. 171 and 37 CFR 1.53(b) as adopted in this final rule require that
a design application contain a claim and any required drawings to be
entitled to a filing date.
   The PLT itself will enter into force for the United States three
months after the date on which the United States deposits its
instrument of ratification with the Director General of WIPO or on a
later date indicated in the U.S. instrument (but no later than six
months after the date the instrument is deposited). See PLT Art.
21(2)(ii) and Patent Law Treaty and Regulations under Patent Law
Treaty, Executive Report 110-6 at 3. The Office plans to modify its
procedures not covered by title II of the PLTIA for consistency with
the PLT and PLT Regulations no later than December 18, 2013. However,
the changes to Office practices do not affect the requirements for
replies to Office notices and actions issued prior to December 18,
2013. See PLT Art. 22(2) (a Contracting Party is not obliged to apply
PLT provisions to procedures commenced before the date on which the PLT
binds the Contracting Party under PLT Article 21).
   The Office revised the rules of practice to implement the
supplemental examination provisions of the AIA in August of 2012. See
Changes to Implement the Supplemental Examination Provisions of the
Leahy-Smith America Invents Act and to Revise Reexamination Fees, 77 FR
48828 (Aug. 14, 2012). This final rule also adds references to
supplemental examination in the filing, correspondence, deposit
account, and paper and compact disc quality and format provisions of
the rules of practice. The Office is specifically revising these
provisions to indicate that the provisions pertaining to ex parte
reexamination proceedings are also applicable in supplemental
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examination proceedings. See Changes to Implement the Supplemental
Examination Provisions of the Leahy-Smith America Invents Act and to
Revise Reexamination Fees, 77 FR at 48830 (adopting ex parte
reexamination content requirements for supplemental examination
proceedings).

Discussion of Specific Rules

   The following is a discussion of amendments to Title 37 of the Code
of Federal Regulations, Parts 1, 3, and 11.
   Section 1.1: Section 1.1(c) is amended to provide that: (1)
Requests for supplemental examination (original and corrected request
papers), and any other papers filed in a supplemental examination
proceeding, should be additionally marked "Mail Stop Supplemental
Examination;" (2) any papers filed in a reexamination proceeding
ordered as a result of a supplemental reexamination proceeding, other
than correspondence to the Office of the General Counsel pursuant to
§ 1.1(a)(3) and § 102.4, should be additionally marked "Mail
Stop Ex Parte Reexam."
   Section 1.4: Section 1.4(a)(2) is amended to add a reference to
supplemental examination proceedings in subpart E of 37 CFR part 1
(§ 1.601 to 1.625).
   Section 1.4(c) is amended to provide that subjects provided for on
a single Office or WIPO form may be contained in a single paper. This
provision is to clarify that subjects that are provided for on a single
Office or WIPO form are not considered separate subjects for purposes
of § 1.4(c) (which thus must be contained in separate papers).
   Section 1.4(d) is amended to implement the signature provisions of
PLT Rule 9(4) concerning electronic communications. PLT Rule 9(4)
provides that where an Office permits the filing of communications in
electronic form or by electronic means of transmittal, it shall
consider such a communication signed if a graphic representation of a
signature accepted by that Office appears on that communication as
received by the Office. Section 1.4(d) is specifically amended to
provide that correspondence permitted via the Office electronic filing
system may be signed by a graphic representation of a handwritten
signature as provided for in § 1.4(d)(1) or a graphic
representation of an S-signature as provided for in § 1.4(d)(2)
when it is submitted via the Office electronic filing system. Section
1.4(d) is also amended to provide for S-signatures in supplemental
examination proceedings, simplify the organization of the provisions in
§ 1.4(d)(4) pertaining to certifications, and locate the provisions
pertaining to forms in § 1.4(d)(5).
   Section 1.5: Section 1.5(d) is amended to provide for letters
relating to supplemental examination proceedings.
   Section 1.6: Section 1.6(d) is amended to provide for
correspondence in supplemental examination proceedings in a like manner
to correspondence in ex parte reexamination proceedings. Section 1.6(d)
is specifically amended to provide that a request for supplemental
examination (as with a request for ex parte reexamination) may not be
filed by facsimile, and that the control number of the proceeding
should be entered on the cover sheet of any papers filed in a
supplemental examination proceeding (as with papers filed in an ex
parte reexamination proceeding).
   Section 1.7: Section 1.7(a) is amended to refer to § 90.3
rather than former § 1.304 for time for appeal or for commencing
civil action. The judicial review provisions of § 1.302
through 1.304 were replaced by 37 CFR part 90 in September of 2012. See
Rules of Practice for Trials Before the Patent Trial and Appeal Board
and Judicial Review of Patent Trial and Appeal Board Decisions, 77 FR
48612, 48625-26, 48677-78 (Aug. 14, 2012) (final rule).
   Section 1.16: Section 1.16(f) is amended to provide that it is also
applicable to filing a nonprovisional application that does not contain
at least one claim on the filing date of the application as well as to
filing a nonprovisional application filed by reference to a previously
filed application under § 1.57(a). See discussion of § 1.53 and 1.57.
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Section 1.16(f) provides that the surcharge is applicable to filing the
basic filing fee, search fee, examination fee, or inventor's oath or
declaration on a date later than the filing date of the application, an
application that does not contain at least one claim on the filing date
of the application, or an application filed by reference to a previously
filed application under § 1.57(a), except provisional applications.
   Section 1.17: Sections 1.17(f) and (g) are amended for consistency
with the changes to § 1.57. See discussion of § 1.57. Section
1.17(f) is also amended to add the phrase "in an application for
patent" in the references to § 1.182 and 1.183 to clarify
that the fee specified in § 1.17(f) is not applicable in
reexamination proceedings. The fee for filing a petition in a
reexamination proceeding (except for those specifically enumerated in
§ 1.550(i) and 1.937(d)) is set forth in § 1.20(c)(6). See
Changes to Implement the Supplemental Examination Provisions of the
Leahy-Smith America Invents Act and to Revise Reexamination Fees, 77 FR
at 48832 and 48851.
   Section 1.17(m) is amended to implement the change to 35 U.S.C.
41(a)(7), 41(c)(1), 119, 120, and 365 in section 202(b) of the PLTIA.
Section 202(b)(1)(A) of the PLTIA amends 35 U.S.C. 41(a)(7) to provide
that the Office shall charge $1,700.00 ($850.00 small entity) on filing
each petition for the revival of an abandoned application for a patent,
for the delayed payment of the fee for issuing each patent, for the
delayed response by the patent owner in any reexamination proceeding,
for the delayed payment of the fee for maintaining a patent in force,
for the delayed submission of a priority or benefit claim, or for the
extension of the twelve-month period for filing a subsequent application.
Sections 202(b)(1)(B), 202(b)(2), and 202(b)(3) of the PLTIA amend 35
U.S.C. 41(c)(1), 119, and 120 to replace "payment of a surcharge" with
"payment of the fee specified in section 41(a)(7)." Section 1.17(m) as
adopted in this final rule does not include a micro entity fee amount as
this fee is set under 35 U.S.C. 41(a)(7) as amended by 202(b)(1)(A) of the
PLTIA and not section 10(a) of the AIA. Section 10(b) of the AIA provides
that the micro entity discount applies to fees set under section 10(a) of
the AIA. See Public Law 112-29, 125 Stat. 284, 316-17 (2011). The fee
specified in § 1.17(m) will have a micro entity amount when patent fees
are again set under section 10(a) of the AIA.
   Section 1.17(p) is amended, and § 1.17(o) is added, to provide
for information disclosure statements under § 1.97(c) or (d) in
§ 1.17(p) and for third-party submissions under § 1.290 in
§ 1.17(o). Section 1.17(p) formerly provided for both information
disclosure statements under § 1.97(c) or (d) and third-party
submissions under § 1.290, which could have caused confusion as a
third party is not eligible for the micro entity discount. Thus,
§ 1.17(p) as adopted in this final rule provides for information
disclosure statements under § 1.97(c) or (d) and includes both a
small entity and micro entity discount, and § 1.17(o) as adopted in
this final rule provides for third-party submissions under § 1.290
and includes only a small entity discount.
   Sections 1.17(l) and 1.17(t) are removed in view of the change to
35 U.S.C. 41(a)(7), 119, and 120 in section 202(b) of the PLTIA.
   Section 1.20: Section 1.20(i) is removed in view of the change to
35 U.S.C. 41(a)(7) and 41(c)(1) in section 202(b)(1) of the PLTIA.
   Section 1.23: Section 1.23(c) is added to provide that a fee
transmittal letter may be signed by a juristic applicant or patent
owner. PLT Article 7(2) provides that an assignee of an application, an
applicant, owner, or other interested person may act pro se before the
Office for the mere payment of a fee.
   Section 1.25: Section 1.25(b) is amended to provide for deposit
account charge authorizations in supplemental examination proceedings
in a like manner to deposit account charge authorizations in ex parte
reexamination proceedings. Section 1.25(b) is specifically amended to
provide that an authorization to charge a deposit account the fee for a
request for supplemental examination pursuant to § 1.610 and any
other fees required in a supplemental examination proceeding in a
patent may also be filed with the request for supplemental examination.
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   Section 1.29: Section 1.29(e) is amended to provide that a micro
entity certification in an international application filed in a
Receiving Office other than the United States Receiving Office may be
signed by a person authorized to represent the applicant under § 1.455.
   Section 1.29(k)(4) is amended to delete "but payment of a
deficiency based upon the difference between the current fee amount for
a small entity and the amount of the previous erroneous micro entity
fee payment will not be treated as an assertion of small entity status
under § 1.27(c)" and "[o]nce a deficiency payment is submitted
under this paragraph, a written assertion of small entity status under
§ 1.27(c)(1) is required to obtain small entity status." This
change to § 1.29(k)(4) is for consistency with the provision of
§ 1.29(i) that a notification of loss of micro entity status is not
automatically treated as a notification of loss of small entity status.
   Section 1.33: Section 1.33(c) is amended to provide for
correspondence to and from the patent owner in supplemental examination
proceedings in a like manner to correspondence to and from the patent
owner in ex parte reexamination proceedings. Section 1.33(c) is
specifically amended to provide that all notices, official letters, and
other communications for the patent owner in a supplemental examination
proceeding will be directed to the correspondence address in the patent
file, and that papers filed in a supplemental examination proceeding on
behalf of the patent owner must be signed by the patent owner, or if
there is more than one owner by all the owners, or by an attorney or
agent of record in the patent file, or by a registered attorney or
agent not of record who acts in a representative capacity under the
provisions of § 1.34.
   Section 1.51: Section 1.51(a) is amended to provide that an
application transmittal letter limited to the transmittal of the
documents and fees comprising a patent application under this section
may be signed by a juristic applicant or patent owner. PLT Article 7(2)
provides that an assignee of an application, an applicant, owner, or
other interested person may act pro se before the Office for the filing
of an application for the purposes of the filing date.
   Section 1.52: Section 1.52(a)(1), (b)(2), (b)(4), (b)(5), and
(b)(6) are amended to provide for paper quality and format requirements
in supplemental examination proceedings in a like manner to paper
quality and format requirements in ex parte reexamination proceedings.
   Section 1.52(e) is amended to provide for compact disc quality and
format requirements in supplemental examination proceedings in a like
manner to compact disc quality and format requirements in ex parte
reexamination proceedings.
   Section 1.53: Section 1.53 is amended to implement the changes to
35 U.S.C. 111 in section 201 of the PLTIA and the change to 35 U.S.C.
171 in section 202(a) of the PLTIA.
   Section 201(a) of the PLTIA amends 35 U.S.C. 111(a) to provide that
the filing date of an application (other than for a design patent) is
the date on which a specification, "with or without claims," is
received in the Office. Section 1.53(b) as adopted in this final rule
thus provides that the filing date of an application for patent filed
under § 1.53, except for an application for a design patent or a
provisional application under § 1.53(c), is the date on which a
specification, with or without claims, is received in the Office.
   Section 202(a) of the PLTIA amends 35 U.S.C. 171 to provide that
the filing date of an application for design patent shall be the date
on which the specification as prescribed by 35 U.S.C. 112 and any
required drawings are filed. Therefore, a design application must
contain a claim to be entitled to a filing date. Section 1.53(b) as
adopted in this final rule thus provides that the filing date of an
application for a design patent filed under this section, except for a
continued prosecution application under § 1.53(d), is the date on
which the specification as prescribed by 35 U.S.C. 112, including at
least one claim, and any required drawings are received in the Office.
   Section 201(a) of the PLTIA amends 35 U.S.C. 111(b) to more closely
align the corresponding provisions for nonprovisional applications in
35 U.S.C. 111(a) and provisional applications in 35 U.S.C. 111(b).
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Section 1.53(c) as adopted in this final rule thus provides that the
filing date of a provisional application is the date on which a
specification, with or without claims, is received in the Office.
   As discussed previously, PLT Article 5 and PLTIA 35 U.S.C. 111(a)
provide minimal formal requirements necessary for an application to be
entitled to a filing date to safeguard against the loss of a filing
date due to a technicality. PLT Article 5 and PLTIA 35 U.S.C. 111
should not be viewed as prescribing a best practice for the preparation
and filing of a patent application. The preparation of claims to any
claimed invention for which patent protection is desired and inclusion of
such claims with the application on filing will help ensure that the
application satisfies the disclosure requirements of 35 U.S.C. 112(a) for
any such claimed invention.
   Section 201(a) of the PLTIA amends 35 U.S.C. 111(a) to provide that
the claim or claims may be submitted after the filing date of the
application, within such period and under such conditions, including
the payment of a surcharge, as may be prescribed by the Office, and
that upon failure to submit one or more claims within the period
prescribed by the Office, the application shall be regarded as
abandoned. Section 1.53(f) as adopted in this final rule thus provides
that an application filed without at least one claim would be treated
in a manner analogous to how an application without the filing, search,
or examination fee is treated under pre-existing § 1.53. Section
1.53(f) specifically provides that if an application which has been
accorded a filing date pursuant to § 1.53(b) does not include at
least one claim: (1) The applicant will be notified and given a period
of time within which to file a claim or claims and pay the surcharge if
required by § 1.16(f) to avoid abandonment if the applicant has
provided a correspondence address; and (2) the applicant has three
months from the filing date of the application within which to file a
claim or claims and pay the surcharge required by § 1.16(f) to
avoid abandonment if the applicant has not provided a correspondence
address.
   The changes to § 1.53 to implement the changes to 35 U.S.C. 111
in section 201 of the PLTIA and the change to 35 U.S.C. 171 in section
202(a) of the PLTIA (just discussed previously) apply only to
applications under 35 U.S.C. 111 filed on or after December 18, 2013.
   Section 1.53 is also amended to implement the change to 35 U.S.C.
115 in section 1(f) of the Act to correct and improve certain
provisions of the Leahy-Smith America Invents Act and title 35, United
States Code (AIA Technical Corrections Act). Section 1(f) of the AIA
Technical Corrections Act amends 35 U.S.C. 115(f) to read as follows:
"[t]he applicant for patent shall provide each required oath or
declaration under [35 U.S.C. 115](a), substitute statement under [35
U.S.C. 115](d), or recorded assignment meeting the requirements of [35
U.S.C. 115](e) no later than the date on which the issue fee for the
patent is paid." See Public Law 112-274, section 1(f), 126 Stat. 2456-
57 (2013).
   In the rulemaking to implement the inventor's oath or declaration
provisions of the AIA, the Office provided that applicants may postpone
filing the inventor's oath or declaration until the application is
otherwise in condition for allowance if the applicant provides an
application data sheet before examination indicating the name,
residence, and mailing address of each inventor. See Changes to
Implement the Inventor's Oath or Declaration Provisions of the Leahy-
Smith America Invents Act, 77 FR 48776, 48779-80 (Aug. 14, 2012) (final
rule). AIA 35 U.S.C. 115(f) provided that a notice of allowance under
35 U.S.C. 151 may be provided to an applicant only if the applicant has
filed each required oath or declaration under 35 U.S.C. 115(a),
substitute statement under 35 U.S.C. 115(d), or recorded assignment
meeting the requirements of 35 U.S.C. 115(e). The Office thus provided
that if an application is in condition for allowance but does not
include an oath or declaration in compliance with § 1.63, or a
substitute statement in compliance with § 1.64, executed by or with
respect to each actual inventor, the Office will issue a "Notice of
Allowability" (PTOL-37) (but not a "Notice of Allowance and Fee(s)
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Due" (PTOL-85)) giving the applicant three months to file an oath or
declaration in compliance with § 1.63, or substitute statement in
compliance with § 1.64, executed by or with respect to each actual
inventor, to avoid abandonment. The Office also provided that the
"Notice of Allowance and Fee(s) Due" (PTOL-85)) will not be issued
until the application includes an oath or declaration in compliance
with § 1.63, or substitute statement in compliance with § 1.64,
executed by or with respect to each actual inventor. See Changes to
Implement the Inventor's Oath or Declaration Provisions of the Leahy-
Smith America Invents Act, 77 FR at 48787-88.
   The change to 35 U.S.C. 115(f) in section 1(f) of the AIA Technical
Corrections Act permits the Office to issue a "Notice of Allowance and
Fee(s) Due" (PTOL-85) before the application includes an oath or
declaration in compliance with § 1.63, or substitute statement in
compliance with § 1.64, executed by or with respect to each actual
inventor. See Changes to Implement the Inventor's Oath or Declaration
Provisions of the Leahy-Smith America Invents Act, 77 FR at 48802
(noting that the only effect of AIA 35 U.S.C. 115(f) is to preclude the
Office from issuing a notice of allowance until each required
inventor's oath or declaration has been filed). The Office is thus
revising the provisions pertaining to the filing of an application
without the inventor's oath or declaration to provide that if an
application is in condition for allowance but does not include an oath
or declaration in compliance with § 1.63, or a substitute statement
in compliance with § 1.64, executed by or with respect to each
actual inventor, the Office will issue a "Notice of Allowability"
(PTOL-37) requiring an oath or declaration in compliance with §
1.63, or substitute statement in compliance with § 1.64, executed
by or with respect to each actual inventor, together with the "Notice
of Allowance and Fee(s) Due" (PTOL-85).
   35 U.S.C. 115(f) does not specifically provide for the consequence
that results if an applicant fails to provide an oath or declaration in
compliance with § 1.63, or a substitute statement in compliance
with § 1.64, executed by or with respect to each actual inventor.
PLTIA 35 U.S.C. 111(a)(3), however, provides that the "fee, oath or
declaration, and 1 or more claims may be submitted after the filing
date of the application, within such period and under such conditions,
including the payment of a surcharge, as may be prescribed by the
Director," and that "[u]pon failure to submit the fee, oath or
declaration, and 1 or more claims within such prescribed period, the
application shall be regarded as abandoned." Section 1.53(f)(3)(ii) as
adopted in this final rule thus provides that if the applicant is
notified in a notice of allowability that an oath or declaration in
compliance with § 1.63, or substitute statement in compliance with
§ 1.64, executed by or with respect to each named inventor has not
been filed, the applicant must file each required oath or declaration
in compliance with § 1.63, or substitute statement in compliance
with § 1.64, no later than the date on which the issue fee is paid
to avoid abandonment (which time period is not extendable). Section
1.53(f)(3)(ii) as adopted in this final rule also provides that: (1)
The applicant must file each required oath or declaration in compliance
with § 1.63, or substitute statement in compliance with § 1.64,
no later than the date on which the issue fee for the patent is paid
(as required by 35 U.S.C. 115(f)); and (2) that the Office may dispense
with the notice provided for in § 1.53(f)(1) if each required oath
or declaration in compliance with § 1.63, or substitute statement
in compliance with § 1.64, has been filed before the application is
in condition for allowance.
   Section 1.54: Section 1.54(b) is amended to provide that a letter
limited to a request for a filing receipt (which includes a corrected
filing receipt) may be signed by a juristic applicant or patent owner.
PLT Article 7(2) provides that an assignee of an application, an
applicant, owner, or other interested person may act pro se before the
Office for the issue of a receipt or notification by the Office in respect
of any procedure referred to in PLT Article 7(2)(a)(i) through
7(2)(a)(iii).
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   Section 1.55: Section 1.55 is amended to implement the provisions
in section 201(c) of the PLTIA and PLT Article 13 for the restoration
of the right of priority. Section 201(c) of the PLTIA amends 35 U.S.C.
119(a) by adding that the Director may prescribe regulations, including
the requirement for payment of the fee specified in 35 U.S.C. 41(a)(7),
pursuant to which the twelve-month period set forth 35 U.S.C. 119(a)
may be extended by an additional two months if the delay in filing the
application in the United States within the twelve-month period was
unintentional.
   Section 1.55(b) is amended to provide that its time period
requirement is subject to § 1.55(c).
   Section 1.55(c) as adopted in this final rule contains the
provisions relating to the restoration of the right of priority under
35 U.S.C. 119(a) through (d) and (f), 172, and 365(a) and (b). Section
1.55(c) as adopted in this final rule specifically provides that if the
subsequent application has a filing date which is after the expiration
of the twelve-month period (six-month period in the case of a design
application) set forth in § 1.55(b), but within two months from the
expiration of the period set forth in § 1.55(b), the right of
priority in the subsequent application may be restored upon petition if
the delay in filing the subsequent application within the period set
forth in § 1.55(b) was unintentional. When the last day for filing
an application within the period set forth in § 1.55(b) falls on
Saturday, Sunday, or a Federal holiday within the District of Columbia,
the additional two-month period specified in § 1.55(c) is measured
from the next succeeding secular or business day. See 35 U.S.C. 21(b).
Section 1.55(c) as adopted in this final rule further provides that a
petition to restore the right of priority under § 1.55(b) filed in
the subsequent application must include: (1) The priority claim under
35 U.S.C. 119(a) through (d) or (f) or 365(a) or (b) in an application
data sheet (§ 1.76(b)(6)), identifying the foreign application to
which priority is claimed, by specifying the application number,
country (or intellectual property authority), day, month, and year of
its filing, unless previously submitted; (2) the petition fee as set
forth in § 1.17(m); and (3) a statement that the delay in filing
the subsequent application within the twelve-month period (six-month
period in the case of a design application) set forth in § 1.55(b)
was unintentional. Section 1.55(c) as adopted in this final rule
further provides that the Director may require additional information
where there is a question whether the delay was unintentional.
   Section 1.55(c) as adopted in this final rule also provides that
the right of priority in the subsequent application may be restored
under PCT Rule 26bis.3. A decision by a Receiving Office to restore a
right of priority under PCT Rule 26bis.3 in an international
application designating the United States is effective as to the United
States in the national stage of such application in accordance with PCT
Rule 49ter.1.
   The procedure set forth in § 1.55(c) as adopted in this final
rule is for applicants whose delay in filing the subsequent application
within the twelve-month time period in 35 U.S.C. 119(a) was
unintentional. The use of the additional two-month time period in 35
U.S.C. 119(a) as an "extension of time" to file the subsequent
application would be considered an abuse of the provisions. Cf. In re
Application of S., 8 USPQ2d 1630, 1632 (Comm'r Pat. 1988) (use of the
procedures for the revival of an unintentionally abandoned application
as an "extension of time" is an abuse of the revival procedures).
   The provisions of former § 1.55(c) pertaining to the time for
filing a priority claim in an application entering the national stage
under 35 U.S.C. 371 have been transferred to § 1.55(d) and the
provisions of former § 1.55(c) pertaining to the time for filing a
certified copy of the foreign application in an application entering
the national stage under 35 U.S.C. 371 have been transferred to § 1.55(f).
With the changes to § 1.55(c), (d), and (f) in this final
rule, § 1.55 is organized as follows: (1) § 1.55(a) provides
generally that a nonprovisional application may claim priority to one
or more prior foreign applications under the conditions specified in 35
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 59 

U.S.C. 119(a) through (d) and (f), 172, and 365(a) and (b); (2)
§ 1.55(b) contains provisions relating to the time for filing a
nonprovisional application claiming priority to a foreign application
under 35 U.S.C. 119(a) through (d) and (f), 172, and 365(a) and (b));
(3) § 1.55(c) contains the provisions relating to the restoration
of the right of priority under 35 U.S.C. 119(a) through (d) and (f),
172, and 365(a) and (b); (4) § 1.55(d) contains the provisions
relating to the time for filing a priority claim in any nonprovisional
application (an application filed under 35 U.S.C. 111(a) or an
application entering the national stage under 35 U.S.C. 371); (5)
§ 1.55(e) contains the provisions relating to delayed priority claims in
an application filed under 35 U.S.C. 111(a) or in a national stage
application under 35 U.S.C. 371; (6) § 1.55(f) contains the
provisions relating to the time for filing the certified copy of a
foreign application in any nonprovisional application (an application
filed under 35 U.S.C. 111(a) or an application entering the national
stage under 35 U.S.C. 371); (7) § 1.55(g) contains the provisions
relating to the filing of a priority claim, certified copy of the
foreign application, and translation of a non-English language foreign
application in any application; (8) § 1.55(h) contains the
provisions relating to the priority document exchange agreement; (9)
§ 1.55(i) contains the provisions relating to the filing of an
interim copy of a foreign application; (10) § 1.55(j) contains the
provisions relating to requirements for certain applications filed on
or after March 16, 2013; (11) § 1.55(k) contains the provisions
relating to inventor's certificates; and (12) § 1.55(l) provides
that the time periods set forth in § 1.55 are not extendable.
   Section 1.55(d) is amended to specify the time for filing a
priority claim in any nonprovisional application (applications under 35
U.S.C. 111(a) and international application entering the national stage
under 35 U.S.C. 371).
   Section 1.55(d)(1) pertains to applications under 35 U.S.C. 111(a).
Section 1.55(d)(1) provides that the claim for priority must be filed
within the later of four months from the actual filing date of the
application or sixteen months from the filing date of the prior foreign
application in an original application filed under 35 U.S.C. 111(a),
except as provided in § 1.55(e). Section 1.55(d)(1) further
provides that the claim for priority must be presented in an
application data sheet (§ 1.76(b)(6)), and must identify the
foreign application to which priority is claimed, by specifying the
application number, country (or intellectual property authority), day,
month, and year of its filing. Section 1.55(d)(1) finally provides that
the time period in § 1.55(d)(1) does not apply in a design
application. The provisions of § 1.55(d)(1) were included in former
§ 1.55(d).
   Section 1.55(d)(2) pertains to international applications entering
the national stage under 35 U.S.C. 371. Section 1.55(d)(2) provides
that the claim for priority must be made within the time limit set
forth in the PCT and the Regulations under the PCT in an international
application entering the national stage under 35 U.S.C. 371, except as
provided in § 1.55(e). The provisions of § 1.55(d)(2) were
included in former § 1.55(c).
   Section 1.55(e) is amended to also provide for delayed priority
claims under 35 U.S.C. 365(b) in a national stage application under 35
U.S.C. 371. Section 1.55(e) is further amended for consistency with the
change to 35 U.S.C. 119(b) in section 202(b)(2) of the PLTIA (replaces
"payment of a surcharge" with "payment of the fee specified in
section 41(a)(7)"). See discussion of § 1.17(m).
   Section 1.55(f) is amended to specify the time for filing a
certified copy of the foreign application in any nonprovisional
application (applications under 35 U.S.C. 111(a) and international
applications entering the national stage under 35 U.S.C. 371).
   Section 1.55(f)(1) pertains to applications under 35 U.S.C. 111(a).
Section 1.55(f)(1) provides that a certified copy of the foreign
application must be filed within the later of four months from the
actual filing date of the application or sixteen months from the filing
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date of the prior foreign application in an original application filed
under 35 U.S.C. 111(a) (except as provided in § 1.55(h) and (i)).
Section 1.55(f)(1) also provides that the time period in § 1.55(f)(1)
does not apply in a design application. The provisions of § 1.55(f)(1)
were included in former § 1.55(f).
   Section 1.55(f)(2) pertains to international applications entering
the national stage under 35 U.S.C. 371. Section 1.55(f)(2) provides
that a certified copy of the foreign application must be filed within
the time limit set forth in the PCT and the Regulations under the PCT
in an international application entering the national stage under 35
U.S.C. 371. This provision of § 1.55(f)(2) was included in former
§ 1.55(c). Section 1.55(f)(2) as adopted in this final rule also
provides for the situation in which a certified copy of the foreign
application is not filed during the international stage of an
international application. Section 1.55(f)(2) provides that in such a
situation a certified copy of the foreign application must be filed
within four months from the date of entry into the national stage as
set forth in § 1.491 or sixteen months from the filing date of the
prior-filed foreign application (except as provided in § 1.55(h)
and (i)).
   Section 1.55(f)(3) provides for the situation in which a certified
copy of the foreign application is not filed within the period
specified in 1.55(f)(1) in an application under 35 U.S.C. 111(a) or
within the period specified in 1.55(f)(2) in an international
application entering the national stage under 35 U.S.C. 371, and the
exceptions in § 1.55(h) and (i) are not applicable. Section
1.55(f)(3) provides that in this situation the certified copy of the
foreign application must be accompanied by a petition including a
showing of good and sufficient cause for the delay and the petition fee
set forth in § 1.17(g).
   Section 1.55(h) is amended to delete the reference to § 1.55(c)
for consistency with the transfer of the provisions of former
§ 1.55(c) to § 1.55(d) and (f).
   Section 1.57: Section 1.57 is amended to implement the reference
filing provisions of section 201(a) of the PLTIA (new 35 U.S.C. 111(c))
and PLT Article 5(7). Section 1.57 was amended in 2004 to implement the
provisions of PLT Article 5(6) pertaining to applications containing a
missing part of the description or a missing drawing. See Changes to
Support Implementation of the United States Patent and Trademark Office
21st Century Strategic Plan, 69 FR 56482, 56499 (Sept. 21, 2004).
   35 U.S.C. 111(c) provides that a reference made upon the filing of
an application to a previously filed application shall, as prescribed
by the Office, constitute the specification and any drawings of the
subsequent application for purposes of a filing date. 35 U.S.C. 111(c)
specifically provides that the Director may prescribe the conditions,
including the payment of a surcharge, under which a reference made upon
the filing of an application under 35 U.S.C. 111(a) to a previously
filed application, specifying the previously filed application by
application number and the intellectual property authority or country
in which the application was filed, shall constitute the specification
and any drawings of the subsequent application for purposes of a filing
date. PLT Rule 2(5) requires that this reference to the previously
filed application indicate that, for the purposes of the filing date,
the description and any drawings of the application are replaced by the
reference to the previously filed application, and also provides that a
Contracting Party may require that the reference indicate the filing
date of the previously filed application. Section 1.57(a) as adopted in
this final rule thus provides that, subject to the conditions and
requirements of § 1.57(a), a reference made in the English language
in an application data sheet in accordance with § 1.76 upon the
filing of an application under 35 U.S.C. 111(a) to a previously filed
application, indicating that the specification and any drawings of the
application under 35 U.S.C. 111(a) are replaced by the reference to the
previously filed application, and specifying the previously filed
application by application number, filing date, and the intellectual
property authority or country in which the previously filed application
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was filed, shall constitute the specification and any drawings of the
application under 35 U.S.C. 111(a) for purposes of a filing date under
§ 1.53(b). The requirement for a reference to the previously filed
application in an application data sheet will be satisfied by the
presentation of such reference to the previously filed application on
the Patent Law Treaty Model International Request Form filed in the
Office (see discussion of § 1.76).
   For an application under 35 U.S.C. 111(a) filed by reference to a
previously filed application under § 1.57(a), the specification and
any drawings of the previously filed application will constitute the
specification and any drawings of the application under 35 U.S.C.
111(a) filed by reference under § 1.57(a). Thus, the specification
and any drawings of the previously filed application will be considered
in determining whether an application under 35 U.S.C. 111(a) filed by
reference under § 1.57(a) is entitled to a filing date under § 1.53(b).
   35 U.S.C. 111(c) further provides that a copy of the specification
and any drawings of the previously filed application shall be submitted
within such period and under such conditions as may be prescribed by
the Director, and that a failure to submit the copy of the
specification and any drawings of the previously filed application
within the prescribed period shall result in the application being
regarded as abandoned. Section 1.57(a) as adopted in this final rule
thus provides that: (1) The applicant will be notified and given a
period of time within which to file a copy of the specification and
drawings from the previously filed application, an English language
translation of the previously filed application, and the fee required
by § 1.17(i) if the previously filed application is in a language
other than English, and pay the surcharge required by § 1.16(f), to
avoid abandonment if the applicant has provided a correspondence
address (§ 1.57(a)(1)); and (2) the applicant has three months from
the filing date of the application to file a copy of the specification
and drawings from the previously filed application, an English language
translation of the previously filed application, and the fee required
by § 1.17(i) if the previously filed application is in a language
other than English, and pay the surcharge required by § 1.16(f), to
avoid abandonment if the applicant has not provided a correspondence
address (§ 1.57(a)(2)). Section 1.57(a) as adopted in this final
rule also provides that such a notice may be combined with a notice
under § 1.53(f) (e.g., a notice requiring that the applicant
provide at least one claim and pay the filing fees).
   Applicants filing by reference under 35 U.S.C. 111(c) and § 1.57
should take care to ensure that the application number, filing date,
and intellectual property authority or country of the previously
filed application are accurately specified on the application data
sheet (or Patent Law Treaty Model International Request Form) as the
specification and drawings of the application specified on the
application data sheet are the specification and drawings of the
application being filed by reference under 35 U.S.C. 111(c) and § 1.57.
If an applicant specifies an application number, filing date, or
intellectual property authority or country of an application other than
the application number, filing date, or intellectual property authority
or country of the intended previously filed application on the
application data sheet (i.e., the applicant mistypes the application
number, filing date, or intellectual property authority or country on
the application data sheet), the applicant may file a petition under
§ 1.53 to have the application accorded a filing date as of the
date the specification and drawings of the intended previously filed
application are filed in the Office using that specification and
drawings (rather than the specification and drawings of the application
specified on the application data sheet). Simply submitting the
specification and drawings of the intended previously filed application
without such a petition under § 1.53 in reply to a notice under
§ 1.57(a) requiring the specification and drawings of the
application specified on the application data sheet will result in the
submission being treated as an incomplete reply. In addition, if the
previously filed application is also a foreign priority application
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under 35 U.S.C. 119(a) through (d) and (f) and § 1.55, an applicant
should consider filing a copy of the specification and drawings of the
previously filed application in the Office no later than fourteen month
from the filing date of the previously filed application (regardless of
the time period provided in § 1.57(a)) to avoid the loss of the
right of priority under 35 U.S.C. 119(a) through (d) and (f) and § 1.55
in the event that any of the application number, filing date, or
intellectual property authority or country of the application specified
on the application data sheet is not the application number, filing
date, or intellectual property authority or country of the intended
previously filed application.
   35 U.S.C. 111(c) also provides that an application abandoned due to
failure to submit a copy of the specification and any drawings of the
previously filed application within the prescribed period shall be
treated as having never been filed unless: (1) The application is
revived under 35 U.S.C. 27; and (2) a copy of the specification and any
drawings of the previously filed application are submitted to the
Director. Section 1.57(a)(3) as adopted in this final rule thus
provides that an application abandoned under § 1.57(a)(1) or (a)(2)
shall be treated as having never been filed, unless: (1) The
application is revived under § 1.137; and (2) a copy of the
specification and any drawings of the previously filed application are
filed in the Office.
   Section 1.57(a)(4) as adopted in this final rule provides that a
certified copy of the previously filed application must be filed in the
Office, unless the previously filed application is an application filed
under 35 U.S.C. 111 or 363, or the previously filed application is a
foreign priority application and the conditions set forth in § 1.55(h)
are satisfied with respect to such foreign priority application. Section
1.57(a)(4) as adopted in this final rule also provides that the certified
copy of the previously filed application (when required by § 1.57(a)(4))
must be filed within the later of four months from the filing date of the
application or sixteen months from the filing date of the previously filed
application, or must be accompanied by a petition including a showing of
good and sufficient cause for the delay and the petition fee set forth in
§ 1.17(g).
   Section 1.57(b) as adopted in this final rule contains the
provisions of former § 1.57(a), except to provide that if an
application is not otherwise entitled to a filing date under
§ 1.53(b), the amendment must be by way of a petition pursuant to
§ 1.53(e) (rather than a petition pursuant to § 1.57). Thus, any
filing date petition for an application under 35 U.S.C. 111(a) is a
petition under § 1.53(e), regardless of whether the application
under 35 U.S.C. 111(a) relies upon the incorporation by reference
provisions of § 1.57(a), (b), or (c).
   Sections 1.57(c) through (h) as adopted in this final rule contain
the provisions of former § 1.57(b) through (g).
   Section 1.57(i) as adopted in this final rule provides that an
application transmittal letter limited to the transmittal of a copy of
the specification and drawings from a previously filed application
submitted under § 1.57(a) or (b) of this section may be signed by a
juristic applicant or patent owner. PLT Article 7(2) and PLT Rule 7(1)
provide that an assignee of an application, an applicant, owner, or
other interested person may act pro se before the Office for the filing
of a copy of a previously filed application for purposes of the
reference filing provisions of PLT Article 5(7) and reliance upon a
reference to a prior-filed application to provide the missing parts of
the description or missing drawings under PLT Article 5(6).
   Section 1.58: Section 1.58(a) is amended to provide that the
description portion of the specification may contain tables, but the
same tables "should" (rather than "must") not be included in both
the drawings and description portion of the specification.
   Section 1.72: Section 1.72(b) is amended to provide that the
abstract must be as concise as the disclosure permits, preferably not
exceeding 150 words in length. See PCT Rule 8.1(b) ("[t]he abstract
shall be as concise as the disclosure permits (preferably 50 to 150
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words if it is in English or when translated into English)").
   Section 1.76: Section 1.76(b)(3) is amended to include the
sentence: "[w]hen information concerning the previously filed
application is required under § 1.57(a), application information
also includes the reference to the previously filed application,
indicating that the specification and any drawings of the application
are replaced by the reference to the previously filed application, and
specifying the previously filed application by application number,
filing date, and the intellectual property authority or country in
which the previously filed application was filed." See discussion of
§ 1.57(a).
   Section 1.76(d)(2) is amended to provide that the information in
the application data sheet will govern when inconsistent with the
information supplied at any time in a Patent Cooperation Treaty Request
Form, Patent Law Treaty Model International Request Form, Patent Law
Treaty Model International Request for Recordation of Change in Name or
Address Form, or Patent Law Treaty Model International Request for
Recordation of Change in Applicant or Owner Form. Whenever information in
a Patent Cooperation Treaty Request Form or Patent Law Treaty Model Form
is inconsistent with the information in the application data sheet, the
information in the application data sheet will govern regardless of whether
the application data sheet was filed before or after the Patent Cooperation
Treaty Request Form or Patent Law Treaty Model Form. Thus, incorrect
information in an application data sheet must be corrected via a new
application data sheet (§ 1.76(c)) rather than a Patent Cooperation
Treaty Request Form or Patent Law Treaty Model Form as the previously
filed application data sheet will govern over the Patent Cooperation
Treaty Request Form or Patent Law Treaty Model Form.
   Section 1.76 is also amended to permit the use of Patent Law Treaty
Model International Forms as appropriate or the Patent Cooperation
Treaty Request Form in lieu of an application data sheet under § 1.76.
   Section 1.76(f) as adopted in this final rule provides that: (1)
The requirement in § 1.55 or 1.78 for the presentation of a
priority or benefit claim under 35 U.S.C. 119, 120, 121, or 365 in an
application data sheet will be satisfied by the presentation of such
priority or benefit claim in the Patent Law Treaty Model International
Request Form; (2) the requirement in § 1.57(a) for a reference to
the previously filed application in an application data sheet will be
satisfied by the presentation of such reference to the previously filed
application in the Patent Law Treaty Model International Request Form;
and (3) the requirement in § 1.46 for the presentation of the name
of the applicant under 35 U.S.C. 118 in an application data sheet will
be satisfied by the presentation of the name of the applicant in the
Patent Law Treaty Model International Request Form, Patent Law Treaty
Model International Request for Recordation of Change in Name or
Address Form, or Patent Law Treaty Model International Request for
Recordation of Change in Applicant or Owner Form, as applicable.
   Section 1.76(g) as adopted in this final rule provides that the
requirement in § 1.78 for the presentation of a benefit claim under
35 U.S.C. 119, 120, 121, or 365 in an application data sheet will be
satisfied in a national stage application under 35 U.S.C. 371 by the
presentation of such benefit claim in the Patent Cooperation Treaty
Request Form contained in the international application or the presence
of such benefit claim on the front page of the publication of the
international application under PCT Article 21(2). Section 1.76(g)
states "the Patent Cooperation Treaty Request Form contained in the
international application" to make clear that the provision does not
allow for that addition or correction of benefit claim (or any other)
information during the national stage via the submission of a new
Patent Cooperation Treaty Request Form. Applicants may add or correct
benefit claim (or any other) information during the national stage via
the submission of an application data sheet under § 1.76 (assuming
that the conditions and requirements for such addition or correction
are satisfied). Section 1.76(g) provides for presence of such benefit
claim on the front page of the publication of the international
application under PCT Article 21(2) to account for replacement sheets
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of the Patent Cooperation Treaty Request Form that may not be forwarded
to each national office but that are reflected in the IB publication of
the international application. Section 1.76(g) does not mention either
the provisions in § 1.55 for the presentation of a priority claim
under 35 U.S.C. 119 or 365 in an application data sheet or the
provisions in § 1.46 for the presentation of the name of the
applicant under 35 U.S.C. 118 in an application data sheet with respect
to a national stage application under 35 U.S.C. 371 as this information
is taken from the WIPO records of the international application in a
national stage application under 35 U.S.C. 371.
   Section 1.76(g) also provides that the requirement in § 1.55 or
§ 1.78 for the presentation of a priority or benefit claim under 35
U.S.C. 119, 120, 121, or 365 in an application data sheet and the
requirement in § 1.46 for the presentation of the name of the
applicant under 35 U.S.C. 118 in an application data sheet will be
satisfied in an application under 35 U.S.C. 111 by the presentation of
such priority or benefit claim and presentation of the name of the
applicant in a Patent Cooperation Treaty Request Form. Section 1.76(g)
finally also provides that if a Patent Cooperation Treaty Request Form
is submitted in an application under 35 U.S.C. 111, the Patent
Cooperation Treaty Request Form must be accompanied by a clear
indication that treatment of the application as an application under 35
U.S.C. 111 is desired.
   Section 1.78: Section 1.78 is amended to implement the provisions
in section 201(c) of the PLTIA and PLT Article 13 for the restoration
of the right to the benefit of a provisional application. Section
201(c) of the PLTIA specifically amends 35 U.S.C. 119(e)(1) by adding
that the Director may prescribe regulations, including the requirement
for payment of the fee specified in 35 U.S.C. 41(a)(7), pursuant to
which the twelve-month period set forth in 35 U.S.C. 119(e) may be
extended by an additional two months if the delay in filing the
application under 35 U.S.C. 111(a) or 363 within the twelve-month
period was unintentional.
   Section 1.78(a) as adopted in this final rule contains the
provisions of former § 1.78(a), § 1.78(b) as adopted in this
final rule contains the provisions pertaining to the restoration of the
right to the benefit of a provisional application, and § 1.78(c)
through (h) contain the provisions of former § 1.78(b) through (g),
respectively. Therefore, § 1.78 as adopted in this final rule is
organized as follows: (1) § 1.78(a) contains provisions relating to
claims under 35 U.S.C. 119(e) for the benefit of a prior-filed
provisional application; (2) § 1.78(b) contains provisions relating
to the restoration of the right to the benefit of a provisional
application under 35 U.S.C. 119(e); (3) § 1.78(c) contains
provisions relating to delayed claims under 35 U.S.C. 119(e) for the
benefit of a prior-filed provisional application; (4) § 1.78(d)
contains provisions relating to claims under 35 U.S.C. 120, 121, or
365(c) for the benefit of a prior-filed nonprovisional or international
application; (5) § 1.78(e) contains provisions relating to delayed
claims under 35 U.S.C. 120, 121, or 365(c) for the benefit of a prior-
filed nonprovisional or international application; (6) § 1.78(f)
contains provisions relating to applications containing patentably
indistinct claims; (7) § 1.78(g) contains provisions relating to
applications or patents under reexamination naming different inventors
and containing patentably indistinct claims; and (8) § 1.78(h)
provides that the time periods set forth in § 1.78 are not extendable.
   Section 1.78(a)(1) as adopted in this final rule also provides that
the twelve-month period is subject to PCT Rule 80.5, as well as 35
U.S.C. 21(b) (and § 1.7(a)).
   Section 1.78(a)(4) as adopted in this final rule also provides that
if the later-filed application is a national stage application under 35
U.S.C. 371, this reference must be submitted within the latest of four
months from the date on which the national stage commenced under 35
U.S.C. 371(b) or (f), four months from the date of the initial
submission under 35 U.S.C. 371 to enter the national stage, or sixteen
months from the filing date of the prior-filed provisional application.
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This change may avoid the need for petitions under both § 1.137 and
§ 1.78(c) in the situation in which the applicant does not make the
initial submission under 35 U.S.C. 371 to enter the national stage within
four months from the date on which the national stage commenced under 35
U.S.C. 371(b) or (f) in an international application.
   As discussed previously, § 1.78(b) as adopted in this final
rule contains the provisions pertaining to the restoration of the right
to the benefit of a provisional application under 35 U.S.C. 119(e).
Section 1.78(b) as adopted in this final rule also provides that if the
nonprovisional application or international application designating the
United States of America has a filing date which is after the
expiration of the twelve-month period set forth in § 1.78(a)(1) but
within two months from the expiration of the period set forth in
§ 1.78(a)(1), the benefit of the provisional application may be restored
upon petition if the delay in filing the nonprovisional application or
international application designating the United States of America
within the period set forth in § 1.78(a)(1) was unintentional. When
the last day for filing an application within the period set forth in
§ 1.78(a)(1) falls on Saturday, Sunday, or a Federal holiday within
the District of Columbia, the additional two-month period specified in
§ 1.78(b) is measured from the next succeeding secular or business
day. See 35 U.S.C. 21(b). Section 1.78(b) as adopted in this final rule
further provides that a petition to restore the benefit of the
provisional application under this paragraph filed in the
nonprovisional application or international application designating the
United States of America must include: (1) The reference required by 35
U.S.C. 119(e) and § 1.78(a)(3) to the prior-filed provisional
application, unless previously submitted; (2) the petition fee as set
forth in § 1.17(m); and (3) a statement that the delay in filing
the nonprovisional application or international application designating
the United States of America within the twelve-month period set forth
in § 1.78(a)(1) was unintentional. Section 1.78(b) as adopted in
this final rule further provides that the Director may require
additional information where there is a question whether the delay was
unintentional.
   Section 1.78(b) as adopted in this final rule further provides that
the right of priority in the subsequent application may be restored
under PCT Rule 26bis.3. A decision by a Receiving Office to restore a
right of priority under PCT Rule 26bis.3 to a provisional application
in an international application designating the United States is
effective as to the United States in the national stage of such
application in accordance with PCT Rule 49ter.1.
   Section 1.78(b) as adopted in this final rule finally provides that
the restoration of the right of priority under PCT Rule 26bis.3 to a
provisional application does not affect the requirement to include the
reference required by § 1.78(a)(3) to the provisional application
in a national stage application under 35 U.S.C. 371 within the time
period provided by § 1.78(a)(4) to avoid waiver of the benefit
claim.
   The procedure set forth in § 1.78(b) as adopted in this final
rule is for applicants whose delay in filing the subsequent application
within the twelve-month time period in 35 U.S.C. 119(e)(1) was
unintentional. The use of the additional two-month time period in 35
U.S.C. 119(e)(1) as an "extension of time" to file the subsequent
application would be considered an abuse of the provisions. Cf.
Application of S., 8 USPQ2d at 1632 (use of the procedures for the
revival of an unintentionally abandoned application as an "extension
of time" is an abuse of the revival procedures).
   Section 1.78(c) as adopted in this final rule also implements the
changes to 35 U.S.C. 119(e) in section 201(c)(1)(B)(i)(II) of the
PLTIA. Section 201(c)(1)(B)(i)(II) of the PLTIA replaces "payment of a
surcharge" with "payment of the fee specified in section 41(a)(7)"
(see discussion of § 1.17(m)) and deletes "during the pendency of
the application." Section 1.78(c) as adopted in this final rule thus
also provides that if the reference required by 35 U.S.C. 119(e) and
§ 1.78(a)(3) is presented in an application (either a
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nonprovisional application or an international application designating
the United States) after the time period provided by § 1.78(a)(4),
the claim under 35 U.S.C. 119(e) for the benefit of a prior-filed
provisional application may be accepted if the reference identifying
the prior-filed application by provisional application number was
unintentionally delayed. Section 1.78(c) as adopted in this final rule
further provides that a petition to accept an unintentionally delayed
claim under 35 U.S.C. 119(e) for the benefit of a prior-filed
provisional application must be accompanied by: (1) The reference
required by 35 U.S.C. 119(e) and § 1.78(a)(3) to the prior-filed
provisional application, unless previously submitted; (2) the petition
fee as set forth in § 1.17(m); and (3) a statement that the entire
delay between the date the benefit claim was due under § 1.78(a)(4)
and the date the benefit claim was filed was unintentional. Section
1.78(c) as adopted in this final rule further provides that the
Director may require additional information where there is a question
as to whether the delay was unintentional.
   Section 1.78(d)(3) as adopted in this final rule also provides that
if the later-filed application is a nonprovisional application entering
the national stage from an international application under 35 U.S.C.
371, this reference must be submitted within the latest of four months
from the date on which the national stage commenced under 35 U.S.C.
371(b) or (f) in the later-filed international application, four months
from the date of the initial submission under 35 U.S.C. 371 to enter
the national stage, or sixteen months from the filing date of the
prior-filed application. This change may avoid the need for petitions
under both § 1.137 and § 1.78(e) in the situation in which the
applicant does not make the initial submission under 35 U.S.C. 371 to
enter the national stage within four months from the date on which the
national stage commenced under 35 U.S.C. 371(b) or (f) in an
international application.
   Section 1.78(e)(2) as adopted in this final rule is also amended
for consistency with the change to 35 U.S.C. 120 in section 202(b)(3)
of the PLTIA (replaces "payment of a surcharge" with "payment of the
fee specified in section 41(a)(7)"). See discussion of § 1.17(m).
   Section 1.81: Section 1.81(a) is amended to delete the provision
that a drawing (where necessary for the understanding of the subject
matter sought to be patented), or a high quality copy thereof, must be
filed with the application. As discussed previously, 35 U.S.C. 111 no
longer requires that an application contain a drawing where necessary
for the understanding of the subject matter sought to be patented to be
entitled to a filing date. 35 U.S.C. 113 continues to provide, however,
that "[t]the applicant shall furnish a drawing where necessary for the
understanding of the subject matter sought to be patented" and that
"[d]rawings submitted after the filing date of the application may not
be used (i) to overcome any insufficiency of the specification due to
lack of an enabling disclosure or otherwise inadequate disclosure
therein, or (ii) to supplement the original disclosure thereof for the
purpose of interpretation of the scope of any claim." See 35 U.S.C.
113. Thus, the absence of any drawing on the filing of an application
where a drawing is necessary for the understanding of the subject
matter sought to be patented may result in an applicant not being
able to obtain a patent for any claimed invention presented in the
application, but the absence of any drawing on the filing of an
application no longer raises a question as to whether the application
is entitled to a filing date.
   As discussed previously, PLT Article 5 and PLTIA 35 U.S.C. 111
should not be viewed as prescribing a best practice for the preparation
and filing of a patent application. The preparation of drawings for a
provisional or nonprovisional application is prudent where a drawing is
necessary for the understanding of the subject matter sought to be
patented, and inclusion of such drawing(s) with the application on
filing will help ensure that the requirements of 35 U.S.C. 113 are
satisfied for any such claimed invention.
   Section 1.83: Section 1.83(a) is amended to provide that tables
that are included in the specification and sequences that are included
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in sequence listings "should" (rather than "must") not be duplicated in
the drawings.
   Section 1.85: Section 1.85(c) is amended to provide that if a
corrected drawing is required or if a drawing does not comply with
§ 1.84 at the time an application is allowed, the Office may notify
the applicant in a notice of allowability and set a three-month (non-
extendable) period of time from the mailing date of the notice of
allowability within which the applicant must file a corrected drawing
in compliance with § 1.84 to avoid abandonment.
   Section 1.131: Section 1.131(a) is amended to change "the inventor
of the subject matter of the rejected claim, the owner of the patent
under reexamination, or the party qualified under § 1.42 or § 1.46,"
to "the applicant or patent owner." The final rule to implement the
inventor's oath or declaration provisions (section 4) of the AIA changed
the phrase "the inventor of the subject matter of the rejected claim, the
owner of the patent under reexamination, or the party qualified under
§ 1.42, 1.43, or 1.47" to "the applicant or patent owner." See Changes To
Implement the Inventor's Oath or Declaration Provisions of the Leahy-Smith
America Invents Act, 77 FR 48776, 48793 and 48821 (Aug. 14, 2012). The
final rule to implement the first inventor to file provisions (section 3)
of the AIA changed "the applicant or patent owner" to "the inventor of the
subject matter of the rejected claim, the owner of the patent under
reexamination, or the party qualified under § 1.42 or § 1.46." See Changes
to Implement the First Inventor To File Provisions of the Leahy-Smith
America Invents Act, 78 FR 11024, 11036 and 11058 (Feb. 14, 2013). This
final rule revises § 1.131(a) to restore the phrase "the applicant
or patent owner," and this phrase is applicable both to applications
filed before September 12, 2012 (as the party qualified under former
§ 1.42, 1.43, or 1.47 is the applicant in an application filed
before September 16, 2012) and to applications filed on or after
September 12, 2012 (as the party qualified under § 1.42 or § 1.46 is the
applicant in an application filed on or after September 16, 2012).
   Section 1.136: Sections 1.136 is amended to locate the duplicative
cross reference provisions of § 1.136(a)(2) and (b) in new § 1.136(d).
Section 1.136 is also amended to refer to § 90.3 rather than former
§ 1.304 for the time for appeal or for commencing a civil action. As
discussed previously, the judicial review provisions of § 1.302 through
1.304 were replaced by 37 CFR part 90 in September of 2012.
   Section 1.137: Section 1.137 is revised to implement the change in
the PLTIA to eliminate revival of abandoned applications under the
"unavoidable" standard and to provide for the revival of abandoned
applications (as well as the acceptance of delayed responses in
reexamination by patent owners and delayed maintenance fee payments) on
the basis of unintentional delay. As discussed previously, section
201(b) of the PLTIA specifically adds new 35 U.S.C. 27, providing that
the Director may establish procedures to revive an unintentionally
abandoned application for patent, accept an unintentionally delayed
payment of the fee for issuing a patent, or accept an unintentionally
delayed response by the patent owner in a reexamination proceeding,
upon petition by the applicant for patent or patent owner. The patent
laws formerly provided for revival of an unintentionally abandoned
application only in the patent fee provisions of 35 U.S.C. 41(a)(7).
See Public Law 97-247, section 3(a), 96 Stat. 317-18 (1982). This
raised questions concerning the Office's authority to revive an
unintentionally abandoned application (without a showing of unavoidable
delay) in certain situations. See e.g., Aristocrat Techs. Australia Pty
Ltd. v. Int'l Game Tech., 543 F.3d 657 (Fed. Cir. 2008).
   Section 1.137(a) as adopted in this final rule eliminates the
provisions pertaining to petitions on the basis of unavoidable delay.
Section 1.137(a) as adopted in this final rule instead provides that if
the delay in reply by applicant or patent owner was unintentional, a
petition may be filed pursuant to § 1.137 to revive an abandoned
application or a reexamination prosecution terminated under § 1.550(d)
or 1.957(b) or limited under § 1.957(c).
   Section 1.137(b) as adopted in this final rule sets out the
petition requirements. Section 1.137(b) as adopted in this final rule
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specifically provides that a grantable petition pursuant to § 1.137
must be accompanied by: (1) The reply required to the outstanding
Office action or notice, unless previously filed; (2) the petition fee
as set forth in § 1.17(m); (3) any terminal disclaimer (and fee as
set forth in § 1.20(d)) required pursuant to § 1.137(d); and
(4) a statement that the entire delay in filing the required reply from
the due date for the reply until the filing of a grantable petition
pursuant to this section was unintentional. Section 1.137 as adopted in
this final rule continues to provide that the Director may require
additional information where there is a question whether the delay was
unintentional.
   Sections 1.137(c), (d), and (e) as adopted in this final rule
eliminate the language pertaining to "lapsed" patents. Section
202(b)(6) of the PLTIA amends 35 U.S.C. 151 to delete the third and
fourth paragraphs pertaining to the lapsed patent practice.
   Section 1.137(c) as adopted in this final rule also provides that
in an application abandoned under § 1.57(a), the reply must include
a copy of the specification and any drawings of the previously filed
application, and clarifies that an application must be abandoned after
the close of prosecution as defined in § 1.114(b) for the reply
requirement to be met by the filing of a request for continued
examination in compliance with § 1.114.
   Section 1.137(f) as adopted in this final rule eliminates as
unnecessary the language limiting petitions to the unintentional
standard. The PLTIA eliminates revival of abandoned applications under
the "unavoidable" standard.
   Section 1.137(g) as adopted in this final rule contains the
provisions of former § 1.137(g).
   Section 1.138: Section 1.138(b) is amended to change "§ 1.33(b)(1),
(b)(3) or (b)(4)" to "§ 1.33(b)(1) or (b)(3)" for consistency with the
elimination of § 1.33(b)(4) in the rulemaking to implement the inventor's
oath or declaration provisions of the AIA. See Changes to Implement the
Inventor's Oath or Declaration Provisions of the Leahy-Smith America
Invents Act, 77 FR at 48783, 48814.
   Section 1.197: Section 1.197 is amended to refer to § 90.3
rather than former § 1.304 for the time for appeal or for
commencing a civil action. As discussed previously, the judicial
review provisions of § 1.302 through 1.304 were replaced by 37
CFR part 90 in September of 2012. Section 1.197 is also amended to
locate the provisions of paragraphs (b)(1), (b)(1)(i), (b)(1)(ii), and
(b)(2) in paragraphs (a), (a)(1), (a)(2), and (b), respectively, as
§ 1.197(a) was formerly reserved.
   Section 1.290: Section 1.290(f) is amended to reference § 1.17(o),
rather than § 1.17(p), for consistency with the change to § 1.17. See
discussion of § 1.17.
   Section 1.311: Section 1.311(a) is amended to better track the
language of PLTIA 35 U.S.C. 151. Section 1.311 is specifically amended
in this final rule to provide that the notice of allowance shall
specify a sum constituting the issue fee and any required publication
fee (§ 1.211(e)), which issue fee and any required publication fee
must both be paid within three months from the date of mailing of the
notice of allowance to avoid abandonment of the application. This
change to § 1.311 does not represent a change in Office practice as
pre-existing Office practice is to include any required publication fee
(along with the issue fee) in the sum specified in the notice of
allowance.
   Section 1.317: Section 1.317 is removed and reserved. Section
202(b)(6) of the PLTIA amends 35 U.S.C. 151 to delete the third and
fourth paragraphs pertaining to the lapsed patent practice.
   Section 1.366: Section 1.366(a) is amended to provide that a
maintenance fee transmittal letter may be signed by a juristic
applicant or patent owner. PLT Article 7(2)(b) provides that a
maintenance fee may be paid by any person.
   Section 1.366(b) is amended to correct a typographical error
("other than that set forth § 1.23" is correct to read "other
than that set forth in § 1.23").
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   Section 1.378: Section 1.378 is amended to implement the changes to
35 U.S.C. 41(c)(1) in section 202(b)(1)(B) of the PLTIA. Section
202(b)(1)(B) of the PLTIA amends 35 U.S.C. 41(c)(1) to delete the
twenty-four month time limit for unintentionally delayed maintenance
fee payments and to delete the reference to an unavoidable standard.
PLTIA 35 U.S.C. 41(c)(1) provides that: (1) The Director may accept the
payment of any maintenance fee required by 35 U.S.C. 41(b) after the
six-month grace period if the delay is shown to the satisfaction of the
Director to have been unintentional; (2) the Director may require the
payment of the fee specified in 35 U.S.C. 41(a)(7) as a condition of
accepting payment of any maintenance fee after the six-month grace
period; and (3) if the Director accepts payment of a maintenance fee
after the six-month grace period, the patent shall be considered as not
having expired at the end of the grace period.
   Section 1.378(a) is amended to eliminate the provisions pertaining
to petitions on the basis of unavoidable delay.
   Section 1.378(b) is also amended to eliminate the provisions
pertaining to petitions asserting unavoidable delay. Section 1.378(b)
is amended to set out the requirements for petitions asserting
unintentional delay (these requirements were formerly set out in
§ 1.378(c)). Section 1.378(b) is also amended to refer to the petition
fee set forth in § 1.17(m) rather than the surcharge set forth in
§ 1.20(i) as PLTIA 35 U.S.C. 41(c)(1) refers to the fee specified
in 35 U.S.C. 41(a)(7) rather than a surcharge.
   Section 1.378(c) is amended to provide that any petition under this
section must be signed in compliance with § 1.33(b) (§ 1.378(d)
sets out the former signature requirement for a petition to accept a
delayed maintenance fee payment).
   Section 1.378(d) as adopted in this final rule includes the
provisions of former § 1.378(e) pertaining to a request for
reconsideration of a maintenance fee decision, except that § 1.378(d)
as adopted in this final rule eliminates: (1) The requirement
for the petition fee under § 1.17(f) for a request for
reconsideration of a maintenance fee decision; and (2) the provision
that after the decision on the petition for reconsideration, no further
reconsideration or review of the matter will be undertaken by the
Director.
   Section 1.378(e) as adopted in this final rule includes the
provisions of former § 1.378(e) pertaining to the situation in
which the maintenance fee will be refunded.
   As discussed previously, the PLTIA amends 35 U.S.C. 41(c)(1) to
replace "payment of a surcharge" with "payment of the fee specified
in [35 U.S.C.] 41(a)(7)." The PLTIA revises delayed maintenance fee
payment practice to be more consistent with abandoned application
revival practice, in that there is a petition fee for filing the
petition to accept a delayed maintenance fee payment under the PLTIA,
rather than a surcharge for accepting a delayed maintenance fee payment
under former 35 U.S.C. 41(c). Section 1.378(e) thus does not provide
for a refund of the petition fee set forth in § 1.17(m) even if the
delayed maintenance fee payment is not accepted. See MPEP
711.03(c)(II)(B) (indicating that the petition fee under 35 U.S.C.
41(a)(7) is required for the filing (and not merely the grant) of a
petition and that this petition fee will not be refunded regardless of
whether the petition is dismissed or denied). Section 1.378(d),
however, does not require the petition fee under § 1.17(f) for a
request for reconsideration of a maintenance fee decision as § 1.137
does not require the petition fee under § 1.17(f) for a request for r
econsideration of a revival decision.
   Section 1.452: Section 201(c) of the PLTIA amends 35 U.S.C. 365(b)
by adding that the Director may establish procedures, including the
requirement for payment of the fee specified in 35 U.S.C. 41(a)(7), to
accept an unintentionally delayed claim for priority under the PCT and
PCT Regulations, and to accept a priority claim that pertains to an
application that was not filed within the priority period specified in
the PCT and PCT Regulations, but was filed within the additional two-
month period specified under 35 U.S.C. 119(a) or the PCT or PCT
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Regulations. Section 1.452(b)(2) as adopted in this final rule thus
refers to the petition fee as set forth in § 1.17(m) for
consistency with section 201(c) of the PLTIA.
   Former § 1.452(d) contained a caveat that restoration of a
right of priority to a prior application by the United States Receiving
Office under § 1.452, or by any other Receiving Office under the
provisions of PCT Rule 26bis.3, would not entitle applicants to a right
of priority in any application which has entered the national stage
under 35 U.S.C. 371, or in any application filed under 35 U.S.C. 111(a)
which claims benefit under 35 U.S.C. 120 and 365(c) to an international
application in which the right to priority has been restored. This
final rule eliminates former § 1.452(d) in view of PLTIA 35 U.S.C.
119 and 365(b).
   Section 1.495: As discussed previously, the Office is revising the
provisions pertaining to the filing of an application without the
inventor's oath or declaration to provide that if an application is in
condition for allowance but does not include an oath or declaration in
compliance with § 1.63, or a substitute statement in compliance
with § 1.64, executed by or with respect to each actual inventor,
the Office will issue a "Notice of Allowability" (PTOL-37) requiring
an oath or declaration in compliance with § 1.63, or substitute
statement in compliance with § 1.64, executed by or with respect to
each actual inventor, together with the "Notice of Allowance and
Fee(s) Due" (PTOL-85), since the AIA Technical Corrections Act amends
35 U.S.C. 115(f) to permit the Office to issue a "Notice of Allowance
and Fee(s) Due" (PTOL-85) before the application includes an oath or
declaration in compliance with § 1.63, or substitute statement in
compliance with § 1.64, executed by or with respect to each actual
inventor. As also discussed previously, 35 U.S.C. 115(f) does not
specifically provide for the consequence that results if an applicant
fails to provide an oath or declaration in compliance with § 1.63, or
a substitute statement in compliance with § 1.64, executed by or with
respect to each actual inventor. PLTIA 35 U.S.C. 371(d), however,
provides that "[t]he requirement with respect to . . . the oath or
declaration referred to in [35 U.S.C. 371(c)(4)] shall be complied with
by the date of the commencement of the national stage or by such later
time as may be fixed by the Director," and that the "[f]ailure to
comply with these requirements shall be regarded as abandonment of the
application by the parties thereof." The Office is thus amending
§ 1.495(c)(3)(ii) to provide that if the applicant is notified in a
notice of allowability that an oath or declaration in compliance with
§ 1.63, or substitute statement in compliance with § 1.64,
executed by or with respect to each named inventor has not been filed,
the applicant must file each required oath or declaration in compliance
with § 1.63, or substitute statement in compliance with § 1.64,
no later than the date on which the issue fee is paid to avoid
abandonment (which time period is not extendable). The Office is also
amending § 1.495(c)(3)(ii) to provide that: (1) The applicant must
file each required oath or declaration in compliance with § 1.63,
or substitute statement in compliance with § 1.64, no later than
the date on which the issue fee for the patent is paid (as required by
35 U.S.C. 115(f)); and (2) that the Office may dispense with the notice
provided for in § 1.495(c)(1) if each required oath or declaration
in compliance with § 1.63, or substitute statement in compliance
with § 1.64, has been filed before the application is in condition
for allowance.
   Section 1.550: Section 1.550(c) is amended to allow for no-cause
extensions of time for actions by patent owners in patent owner
requested or Director ordered ex parte reexamination proceedings for up
to two months from the time period set for reply in the Office action.
Section 1.550(c) provides that any request for such an extension must
specify the requested period of extension and be accompanied by the
petition fee set forth in § 1.17(g).
   Section 1.550(c) continues to provide that: (1) Any request for an
extension in a third party requested ex parte reexamination must be
filed on or before the day on which action by the patent owner is due,
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and the mere filing of such a request for extension will not effect the
extension; and (2) the time for taking any action by a patent owner
will not be extended in a third party requested ex parte reexamination
in the absence of sufficient cause or for more than a reasonable time.
A third party requested ex parte reexamination is initiated by a party
other than the patent owner or the Office and is thus an "inter partes
proceeding" under PLT Rule 12(5)(a)(vi). Thus, this final rule does
not change extension of time practice under § 1.550(c) for patent
owner replies in a third party requested ex parte reexamination.
   Section 1.550(c) provides that: (1) A request for an extension in a
patent owner requested or Director ordered ex parte reexamination for
more than two months from the time period set for reply in the Office
action must be filed on or before the day on which action by the patent
owner is due, and the mere filing of a request for an extension of more
than two months from the time period set for reply in the Office action
will not effect the extension; and (2) the time for taking any action
by a patent owner will not be extended for more than two months from
the time period set for reply in the Office action in a patent owner
requested or Director ordered ex parte reexamination in the absence of
sufficient cause or for more than a reasonable time.
   Section 1.550(e) is amended for consistency with the change to
§ 1.137 in this final rule to eliminate the provisions pertaining
to petitions on the basis of unavoidable delay. Section 1.550(e) is
specifically amended to provide that if a response by the patent owner
is not timely filed in the Office, a petition may be filed pursuant to
§ 1.137 to revive a reexamination prosecution terminated under
§ 1.550(d) if the delay in response was unintentional.
   Section 1.704: Section 1.704 is amended to provide for the
situation in which an application is not in condition for examination
within eight months from the date on which the application was filed
under 35 U.S.C. 111(a) or the date of commencement of the national
stage under 35 U.S.C. 371(b) or (f) in an international application. In
implementing the patent term adjustment provisions of the American
Inventors Protection Act of 1999 (Pub. L. 106-113, 113 Stat. 1501,
1501A-557 through 1501A-560 (1999)), the Office proposed a reduction of
any patent term adjustment if an application was not complete on
filing. See Changes to Implement Patent Term Adjustment Under Twenty-
Year Patent Term, 65 FR 17215, 17219-20, 17228 (Mar. 31, 2000)
(proposed rule). The Office received a number of comments in response
to this proposal suggesting that an application being in condition for
examination on filing is not necessary for the Office to meet the
fourteen-month time frame in 35 U.S.C. 154(b)(1)(A)(i) and that an
applicant should be permitted to complete the application and correct
application informalities after the filing date of the application. See
Changes to Implement Patent Term Adjustment Under Twenty-Year Patent
Term, 65 FR 56366, 56381 (Sept. 18, 2000) (final rule). The Office did
not adopt this proposed reduction in 2000 because an applicant could
not delay placing an application in condition for examination to the
point that it would contribute to the Office's missing the fourteen-
month time frame in 35 U.S.C. 154(b)(1)(A)(i) under the provisions for
completing an application (§ 1.53(f)) in effect in 2000 without the
applicant's incurring a reduction of patent term adjustment under 35
U.S.C. 154(b)(2)(C)(ii). See id. Specifically, the fourteen-month time
frame in 35 U.S.C. 154(b)(1)(A)(i) did not begin (under the patent laws
in effect between 2000 and 2012) until the specification and drawings
of an application were filed in the Office, which permitted the Office
to conduct a formalities review and issue a notice (if necessary)
requiring the applicant to complete the application and correct any
application informalities no later than one to two months from the
filing of an application. Thus, the Office could review the
specification and drawings and issue a notice (if necessary) requiring
the applicant to complete the application and correct the application
papers no later than two months from the filing of an application. As
such, applications would either be in condition for examination within
five months from the filing of an application, or the applicant would
incur a reduction of any patent term adjustment under 35 U.S.C.
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 72 

154(b)(2)(C)(ii) (providing a reduction of any patent term adjustment
for the cumulative total of any periods of time in excess of three
months that are taken to respond to a notice from the Office making any
rejection, objection, argument, or other request, and measuring such
three-month period from the date the notice was given or mailed to the
applicant). The Office, however, also noted that it would revisit this
decision if the provisions for completing an application and correcting
application formalities contributed to the Office's missing the
fourteen-month time frame under 35 U.S.C. 154(b)(1)(A)(i). See id.
   The PLT and PLTIA 35 U.S.C. 111 provide applicants with additional
opportunities to delay the examination process (e.g., the ability to
file an application without any claims and to file an application
merely by reference to a prior-filed application). Specifically, the
fourteen-month time frame specified in 35 U.S.C. 154(b)(1)(A)(i) may
now begin before the specification and drawings of an application are
filed in the Office in an application filed under 35 U.S.C. 111(a), due
to the change to 35 U.S.C. 111 in the PLTIA. In addition, the fourteen-
month time frame specified in 35 U.S.C. 154(b)(1)(A)(i) may now begin
before the specification and drawings of an application are filed in
the Office in an international application, due to the change to 35
U.S.C. 154(b)(1)(A)(i)(II) in section 1(h)(1)(A) of the AIA Technical
Corrections Act, Public Law 112-274, 126 Stat. 2456, 2457 (2013)
(changing "the date on which an international application fulfilled
the requirements of section 371" to "the date of commencement of the
national stage under section 371 in an international application").
   Section 1.704 is amended to provide that the circumstances that
constitute a failure of the applicant to engage in reasonable efforts
to conclude processing or examination of an application also include
the failure to provide an application in condition for examination
within eight months from the date on which the application was filed
under 35 U.S.C. 111(a) or the date of commencement of the national
stage under 35 U.S.C. 371(b) or (f) in an international application.
Section 1.704 as adopted in this final rule does not require that
applications be in condition for examination on filing (or commencement
of national stage in an international application) in order for an
applicant to avoid a reduction of patent term adjustment. It is,
however, reasonable to expect that an application should be placed in
condition for examination within eight months of its filing date (or
date of commencement of national stage in an international application).
   Section 1.704(c)(12) as adopted in this final rule provides that
where there is a failure to provide an application in condition for
examination within eight months from the date on which the application
was filed under 35 U.S.C. 111(a) or the date of commencement of the
national stage under 35 U.S.C. 371(b) or (f) in an international
application, the period of adjustment set forth in § 1.703 shall be
reduced by the number of days, if any, beginning on the day after the
date that is eight months from the date on which the application was
filed under 35 U.S.C. 111(a) or the date of commencement of the
national stage under 35 U.S.C. 371(b) or (f) in an international
application and ending on the date the application is in condition for
examination. Section 1.704(c)(11) as adopted in this final rule
contains the provisions of former § 1.704(c)(11) without the
"and" at the end (as § 1.704(c)(11) is no longer the penultimate
paragraph of § 1.704(c)), and § 1.704(c)(13) as adopted in this
final rule contains the provisions of former § 1.704(c)(12).
   Section 1.704(f) is added to define when an application is "in
condition for examination" for purposes of § 1.704(c)(12). Section
1.704(f) as adopted in this final rule provides that an application
filed under 35 U.S.C. 111(a) is in condition for examination when the
application includes a specification, including at least one claim and
an abstract (§ 1.72(b)), and has papers in compliance with
§ 1.52, drawings in compliance with § 1.84, any English translation
required by § 1.52(d) or § 1.57(a), a sequence listing in
compliance with § 1.821 through 1.825 (if applicable), the
inventor's oath or declaration or application data sheet containing the
information specified in § 1.63(b), the basic filing fee (§ 1.16(a)
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 73 

or § 1.16(c)), the search fee (§ 1.16(k) or § 1.16(m)), the examination
fee (§ 1.16(o) or § 1.16(q)), any certified copy of the previously filed
application required by § 1.57(a), and any application size fee required
by the Office under § 1.16(s). Section 1.704(f) as adopted in this final
rule provides that an international application is in condition for
examination when the application has entered the national stage as defined
in § 1.491(b), and includes a specification, including at least one claim
and an abstract (§ 1.72(b)), and has papers in compliance with
§ 1.52, drawings in compliance with § 1.84, a sequence listing
in compliance with § 1.821 through 1.825 (if applicable), the
inventor's oath or declaration or application data sheet containing the
information specified in § 1.63(b), the search fee (§ 1.492(b)), the
examination fee (§ 1.492(c)), and any application size fee required by the
Office under § 1.492(j). Section 1.704(f) as adopted in this final rule
also provides that an application shall be considered as having papers in
compliance with § 1.52, drawings (if any) in compliance with § 1.84, and
a sequence listing in compliance with § 1.821 through § 1.825 (if
applicable) for purposes of § 1.704(f) on the filing date of the latest
reply (if any) correcting the papers, drawings, or sequence listing that is
prior to 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.
   Section 1.809: Section 1.809(c) is amended to provide that if an
application for patent is otherwise in condition for allowance except
for a needed deposit and the Office has received a written assurance
that an acceptable deposit will be made, the Office may notify the
applicant in a notice of allowability and set a three-month (non-
extendable) period of time from the mailing date of the notice of
allowability within which the deposit must be made in order to avoid
abandonment.
   Section 1.958: Section 1.958 is amended for consistency with the
change to § 1.137 in this final rule to eliminate the provisions
pertaining to petitions on the basis of unavoidable delay. Section
1.958 is specifically amended to provide that if a response by the
patent owner is not timely filed in the Office, a petition may be filed
pursuant to § 1.137 to revive a reexamination prosecution
terminated under § 1.957(b) or limited under § 1.957(c) if the
delay in response was unintentional.
   Section 3.11: Section 3.11(a) is amended to implement section
201(d) of the PLTIA. Section 201(d) of the PLTIA amends 35 U.S.C. 261,
first paragraph, by adding: "[t]he Patent and Trademark Office shall
maintain a register of interests in patents and applications for
patents and shall record any document related thereto upon request, and
may require a fee therefor." Section 3.11(a) is thus amended to
provide that other documents relating to interests in patent
applications and patents, accompanied by completed cover sheets as
specified in § 3.28 and § 3.31, will be recorded in the Office.
   Section 3.31: Section 3.31(h) is amended to permit the use of PLT
International Model forms as appropriate in lieu of an assignment cover
sheet under § 3.31. Section 3.31(h) specifically provides that the
assignment cover sheet required by § 3.28 for a patent application
or patent will be satisfied by the Patent Law Treaty Model
International Request for Recordation of Change in Applicant or Owner
Form, Patent Law Treaty Model International Request for Recordation of
a License/Cancellation of the Recordation of a License Form, Patent Law
Treaty Model International Certificate of Transfer Form, or Patent Law
Treaty Model International Request for Recordation of a Security
Interest/Cancellation of the Recordation of a Security Interest Form, as
applicable, except where the assignment is also an oath or declaration
under § 1.63.
   Section 11.18: Section 11.18(a) is amended to simply refer to
"§ 1.4(d)" (rather than "§ 1.4(d)(1)" and "§ 1.4(d)(2)"
separately) for consistency with the change to § 1.4(d).
   Comments and Responses to Comments: The Office published a notice
of proposed rulemaking on April 11, 2013, proposing to change the rules
of practice to implement the changes in the PLT and title II of the
PLTIA. See Changes to Implement the Patent Law Treaty, 78 FR 21788
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 74 

(Apr. 11, 2013) (PLT notice of proposed rulemaking). The Office
received nine written submissions containing comments from intellectual
property organizations, industry, law firms, individual patent
practitioners, and the general public in response to this notice of
proposed rulemaking. Comments that supported the proposed changes or
pertained to editorial suggestions are not discussed. The remaining
comments and the Office's responses to those comments follow:
   Comment 1: One comment suggested that § 1.16(f) should be
clarified to indicate that only a single surcharge is required for an
application regardless of the number of deficiencies present in the
application.
   Response: Section 1.16(f) as adopted in this final rule has been
clarified, as suggested by the comment, to indicate that only a single
surcharge is required for an application regardless of the number of
deficiencies enumerated in § 1.16(f) that are present in the
application.
   Comment 2: One comment requested clarification on whether the basic
filing fee is applicable to an application filed without any claims,
and when the excess claims fee for presenting more than three
independent claims or more than twenty total claims must be submitted.
   Response: The basic filing fee set forth in § 1.16(a), (b),
(c), or (d), the search fee set forth in § 1.16(k), (l), (m), or
(n), and the examination fee set forth in § 1.16(o), (p), (q), or
(r) are due for an application filed without any claims. If more than
three independent claims, more than twenty total claims, or a multiple
dependent claim are later presented in the application, the excess
claims fee as set forth in § 1.16(h), (i), and/or (j) is due when
the excess claims are presented in the application. The provisions of
§ 1.53(f)(4) are applicable if the excess claims fee as set forth
in § 1.16(h), (i), and/or (j) is not paid when the claims requiring
an excess claims fee are presented in the application.
   Comment 3: One comment expressed concern that allowing the later
filing of claims would enable an applicant to draft and file claims for
an application in the United States after obtaining examination results
in other countries, and would either delay publication of the
application or result in publishing an application without claims. The
comment suggested that the rules provide applicants with a not unduly
long period of time for the filing of claims in such an application.
   Response: As discussed in the PLT notice of proposed rulemaking, an
application filed without at least one claim would be treated in a
manner analogous to the pre-existing practice under § 1.53(f) for
treating an application filed without the filing, search, or
examination fee. See Changes to Implement the Patent Law Treaty, 78 FR
at 21793. The pre-existing practice under § 1.53(f) for treating an
application filed without the filing, search, or examination fee
involves issuing a notice that sets a two-month period (extendable
under § 1.136) within which the applicant must supply the missing
fees in order to avoid abandonment. The Office will not publish an
application until it includes at least one claim. The Office, however,
also does not publish applications until the basic filing fee has been
paid, and the pre-existing practice under § 1.53(f) for treating an
application filed without the filing fee does not delay publication in
most applications. Thus, the Office does not expect the changes to 35
U.S.C. 111(a) in the PLTIA and the changes to § 1.53 is this final
rule to delay eighteen-month publication.
   Comment 4: One comment suggested that the term "replaced" in
§ 1.57(a) and 1.76(b)(3) is confusing as it suggests that some
other specification and drawings are or need to be present to be
replaced. The comment suggests using "provided" or "constituted"
(to match 35 U.S.C. 111(c)).
   Response: The phrase "are replaced" is used in § 1.57(a)
and 1.76(b)(3) because that phrase is used in PLT Rule 2(5)(a) as well
as in the pre-printed information in the section of the Patent Law
Treaty Model Request Form that pertains to reference filing (Box IX).
   Comment 5: One comment requested clarification of the applicability
of the "reference filing" provision of § 1.57(a) to a
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 75 

continuation-in-part application. The comment suggested adding a
provision to § 1.57(a) pertaining to applications filed "by
reference" to a previously filed application with new matter
(additional description and/or drawings) included with the filing.
   Response: 35 U.S.C. 111(c) provides that the reference to the
previously filed application "shall constitute the specification and
any drawings of the subsequent application." 35 U.S.C. 111(c) thus
does not contemplate the filing by reference of a continuation-in-part
of the previously filed application, as the specification and any
drawings of the subsequent continuation-in-part application would need
to extend beyond the specification and any drawings of the previously
filed application. Therefore, there is no provision for the filing of a
continuation-in-part of a previously filed application under 35 U.S.C.
111(c) and § 1.57(a). An applicant who desires to file a
continuation-in-part of a previously filed application may effectively
do so by filing the additional subject matter as the specification of
an application under 35 U.S.C. 111(a) and § 1.53(b) with an express
incorporation by reference under § 1.57(c) of the previously filed
application. An applicant will be required to revise the application
(e.g., submit a substitute specification under § 1.125) if
"essential material" is being incorporated by reference and the
previously filed application has not been issued as a U.S. patent or
published as a U.S. patent application publication. See § 1.57(d),
(g), and (h) (as adopted in this final rule). Thus, applicants are
encouraged to file a continuation-in-part application with a new
specification and drawings that contains both the subject matter of the
previously filed application and the additional subject matter, rather
than with an incorporation by reference under § 1.57(c) of the
previously filed application.
   Comment 6: Several comments stated that the Office should not
require a certified copy of a prior foreign filed application under
§ 1.55 or § 1.57 within the later of four months from the
actual filing date of the application or sixteen months from the filing
date of the prior foreign application, or provide for a reduction of
patent term adjustment if a certified copy of a foreign previously
filed application under § 1.57 is not received within a set time
period. The comments suggested that the Office revise § 1.57(a)(4)
to permit the filing of an interim copy of the foreign previously filed
application and provide an exception for the situation in which the
foreign previously filed application is filed in a foreign intellectual
property office participating with the Office in a bilateral or
multilateral priority document exchange agreement (i.e., a
participating foreign intellectual property office).
   Response: The Office previously revised § 1.55 in the final
rule to implement the first inventor to file provisions of the AIA to
require that a certified copy of any foreign priority application be
filed in applications under 35 U.S.C. 111(a) within the later of four
months from the actual filing date of the application or sixteen months
from the filing date of the prior foreign application (with certain
exceptions). See Changes to Implement the First Inventor To File
Provisions of the Leahy-Smith America Invents Act, 78 FR 11024, 11028-
29, 11053-55 (Feb. 14, 2013) (to be codified at § 1.55(f)). The
Office included this change to § 1.55 in the final rule to
implement the first inventor to file provisions of the AIA to ensure
that it has a copy of any foreign priority application by the time of
eighteen-month publication since U.S. patent application publications
(as well as U.S. patents) will have a prior art effect as of the
earliest priority date (for subject matter disclosed in the priority
application) with respect to applications subject to AIA 35 U.S.C. 102.
See id. at 11028.
   The changes in this final rule relating to the requirement for a
certified copy of a foreign application pertain to: (1) International
applications in which a certified copy of the foreign priority
application was not filed during the international stage; and (2)
applications filed via the reference filing provisions of 35 U.S.C.
111(c) and § 1.57(a) (where the specification and drawings of the
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 76 

application filed by reference are the specification and drawings of
the foreign previously filed application).
   With respect to international applications in which a certified
copy of the foreign priority application is not filed during the
international stage, § 1.55 formerly provided that a certified copy
of the foreign priority application must be filed within the time limit
set forth in the PCT and the Regulations under the PCT in an
international application entering the national stage under 35 U.S.C.
371. Section 1.55(f)(2) as adopted in this final rule simply provides
that if a certified copy of the foreign priority application is not
filed during the international stage of an international application, a
certified copy of the foreign priority application must be filed within
four months from the date of entry into the national stage as set forth
in § 1.491 or sixteen months from the filing date of the foreign
priority application (with the exceptions applicable to applications
filed under 35 U.S.C. 111(a)).
   With respect to applications filed via the reference filing
provision of 35 U.S.C. 111(c) and § 1.57(a), this final rule
provides that a certified copy of a foreign previously filed
application must be filed within the later of four months from the
actual filing date of the application or sixteen months from the filing
date of the foreign previously filed application, and provides for a
reduction of patent term adjustment if a certified copy of a foreign
previously filed application is not received within eight months from
the date on which the application was filed by reference under 35
U.S.C. 111(a).
   As discussed previously, PLT Article 5 and PLTIA 35 U.S.C. 111
should not be viewed as prescribing a best practice for the preparation
and filing of a patent application. The reference filing provisions of
35 U.S.C. 111(c) and § 1.57(a) should not be the routine filing
practice for an application having a previously filed counterpart
application, but rather should be viewed as a safeguard in the
situation in which the due date for filing an application is
approaching and a copy of the specification and any drawings of the
previously filed counterpart application are not available. Thus, the
use of the reference filing provisions of 35 U.S.C. 111(c) and
§ 1.57(a) should be relatively rare. If the specification and any
drawings of the previously filed counterpart application are available,
an applicant should simply file a copy of the specification and any
drawings of the previously filed counterpart application as an
application under 35 U.S.C. 111(a) and § 1.53(b). This will avoid
the concerns (the previously discussed consequences of mistyping the
application number, filing date, or intellectual property authority or
country on the application data sheet) inherent in the reference filing
provisions of 35 U.S.C. 111(c) and § 1.57(a), and also avoid the
requirement in § 1.57(a)(4) to file a certified copy of a foreign
previously filed application within the later of four months from the
actual filing date of the application or sixteen months from the filing
date of the foreign previously filed application, as well as the
reduction of patent term adjustment if a certified copy of a foreign
previously filed application is not received within eight months from
the date on which the application was filed by reference under 35
U.S.C. 111(a).
   Section 1.57(a)(4) as adopted in this final rule (and as proposed
in the PLT notice of proposed rulemaking) does not require a certified
copy of the previously filed application if the previously filed
application is an application filed under 35 U.S.C. 111 or 363. The
Office has modified § 1.57(a)(4) as adopted in this final rule to
also provide that a certified copy of a foreign previously filed
application is not required if it is a foreign priority application
filed in a participating foreign intellectual property office, and the
conditions set forth in § 1.55(h) pertaining to applications
claiming priority to a foreign application filed in a participating
foreign intellectual property office are met.
   The Office is not making the interim copy provision of § 1.55(i)
applicable to the requirement for a certified copy of a foreign
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previously filed application in an application filed by reference under
35 U.S.C. 111(c) and § 1.57(a). As discussed previously, the Office
revised § 1.55 in the final rule to implement the first inventor to
file provisions of the AIA to require that a certified copy of the
foreign application be filed within the later of four months from the
actual filing date of the application or sixteen months from the filing
date of the prior foreign application (with certain exceptions). The
Office included this change to ensure that it has a copy of any foreign
priority application by the time of eighteen-month publication since
U.S. patent application publications (as well as U.S. patents) will
have a prior art effect as of the earliest priority date (for subject
matter disclosed in the priority application) with respect to
applications subject to AIA 35 U.S.C. 102. See id. An interim copy
under § 1.55(i) is acceptable for meeting this time period
requirement in § 1.55(f) because the copy is being used in
determining patentability in another application and not in determining
the effective filing date of a claimed invention in the application
claiming the right of foreign priority. Section 1.55 requires that a
certified copy of the foreign priority application be provided when the
applicant is relying upon the right of foreign priority in determining
the effective filing date of a claimed invention in the application
claiming the right of foreign priority. See id. at 11054 (to be
codified at § 1.55(g)(2)). The requirement for a copy of a foreign
previously filed application under § 1.57(a)(4) is to ensure that
the copy of the specification and any drawings subsequently provided by
the applicant correspond to the specification and any drawings of the
foreign previously filed application, which relates to the effective
filing date of the claimed invention in the application filed by
reference under § 1.57. Thus, the applicant's reliance upon the
specification and any drawings of a foreign previously filed application
under § 1.57(a)(4) is comparable to an applicant's reliance upon the
specification and any drawings of the prior foreign application for the
effective filing date of a claimed invention, which is a situation in
which the Office would require a certified copy (and not merely an interim
copy) of the priority application. Therefore, the Office is not making the
interim copy provision of § 1.55(i) also applicable to the requirement
for a certified copy of the priority application under § 1.57(a)(4).
   Section 1.57(a)(4) as adopted in this final rule also provides that
the applicant may file a petition showing good and sufficient cause for
the delay if a certified copy of a foreign previously filed application
was not filed within the later of four months from the actual filing
date of the application or sixteen months from the filing date of the
prior foreign application (and the exception pertaining to applications
claiming priority to a foreign priority application filed in a
participating foreign intellectual property office is not applicable).
This provision is designed to avoid a loss of rights for applicants who
make a reasonable effort to timely file a certified copy of the foreign
previously filed application.
   Comment 7: One comment noted the provision in 35 U.S.C. 111(c) (and
§ 1.57(a)(3)) that if the copy of the specification and any
drawings of the previously filed application are not submitted, the
application shall be considered as abandoned, and treated as "having
never been filed" unless revived and the appropriate copies of
previously filed application is filed. The comment questioned the
effect of the phrase "treated as having never been filed" on an
application claiming priority to or the benefit of an application filed
by reference under § 1.57(a) and requested clarification that this
is permitted.
   Response: 35 U.S.C. 111(c) provides that "[a] failure to submit
the copy of the specification and any drawings of the previously filed
application within the prescribed period shall result in the
application being regarded as abandoned" and that "[s]uch application
shall be treated as having never been filed" unless the application is
revived and a copy of the specification and any drawings of the
previously filed application are submitted. The phrase "treated as
having never been filed"in 35 U.S.C. 111(c) precludes an applicant
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 78 

from claiming priority to or the benefit of such an application as an
applicant may not claim priority to or the benefit of an application
that had "never been filed." Thus, an applicant may claim priority to
or the benefit of an application abandoned under 35 U.S.C. 111(c) and
§ 1.57(a)(1) or (a)(2) only if the application is revived under
§ 1.137 and a copy of the specification and any drawings of the
previously filed application are submitted to the Office. See § 1.137(c)
("[i]n an application abandoned under § 1.57(a), the reply must include
a copy of the specification and any drawings of the previously filed
application").
   Comment 8: One comment stated that the PLTIA eliminates the
provisions for revival of an abandoned application on the basis of
unavoidable delay, meaning that any petition for the revival of an
abandoned application must be on the basis of unintentional delay,
which requires a fee of $1700 ($850 for a small entity). The comment
further stated that the PLT does not, however, require elimination of
the "unavoidable" delay standard.
   Response: The PLT does not require elimination of the
"unavoidable" delay standard (which the Office considers to be a
subset of "unintentional" delay), but also does not require a
Contracting Party to have an "unavoidable" delay (or "due care")
standard. The PLTIA amended 35 U.S.C. 41, 111, 133, 151, 364, and 371
to eliminate the provisions pertaining to revival of an abandoned
application or acceptance of a delayed maintenance fee payment on the
basis of unavoidable delay, thus providing a single uniform standard
for the revival of an abandoned application, acceptance of a delayed
maintenance fee payment, acceptance of a delayed priority or benefit
claims, and restoration of the right of priority to a foreign
application or benefit of a provisional application. This final rule
simply implements the changes to 35 U.S.C. 41, 111, 133, 151, 364, and
371 provided for in the PLTIA.
   Comment 9: One comment noted that an applicant could pay the lower
fee for revival on the basis of unavoidable delay under the former
practice, but that an applicant must pay the higher fee for revival on
the basis of unintentional delay and request a refund for "exceptional
circumstances" under the PLTIA. Another comment suggested that the
"exceptional circumstances" provision of the PLTIA be employed to
effectively retain the "unavoidable" delay standard (i.e., permitting
an applicant to show "unavoidable" delay and request a refund for
"exceptional circumstances"). Another comment expressed concern with
the absence of an unavoidable delay standard for restoration of
priority in international applications on the basis that many major
patent offices require that there be a showing of a failure to timely
file in spite of due care in order to obtain restoration of priority,
and suggested that the Office provide applicants with the option of
filing a petition on the basis of "exceptional circumstances" which
the Office would interpret as meeting the PLT standard of "failure to
timely file in spite of due care." The comments also suggested that
the rules provide for requests for refund due to the presence of
"exceptional circumstances."
   Response: The PLTIA adopts a single uniform standard
("unintentional" delay) for the revival of an abandoned application,
acceptance of a delayed response by the patent owner in a reexamination
proceeding, acceptance of a delayed claim for priority or to the
benefit of a prior-filed application, restoration of the right of
priority to a foreign application or the benefit of a provisional
application, and acceptance of a delayed maintenance fee payment. See
35 U.S.C. 27 ("[t]he Director may establish procedures . . . to revive
an unintentionally abandoned application for patent, accept an
unintentionally delayed payment of the fee for issuing each patent, or
accept an unintentionally delayed response by the patent owner in a
reexamination proceedin"); 41(c)(1) ("[t]he Director may accept the
payment of any maintenance fee . . . if the delay is shown to the
satisfaction of the Director to have been unintentional"); 119(a)
("[t]he Director may prescribe regulations . . . pursuant to which the
12-month period set forth in this subsection may be extended by an
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 79 

additional 2 months if the delay in filing the application in this
country within the 12-month period was unintentional"); 119(b)(2)
("[t]he Director may establish procedures . . . to accept an
unintentionally delayed claim under this section"); 119(e)(1) ("[t]he
Director may prescribe regulations . . . pursuant to which the 12-month
period set forth in this subsection may be extended by an additional 2
months if the delay in filing the application under [35 U.S.C.] 111(a)
or [35 U.S.C.] 363 within the 12-month period was unintentional"); and
120 ("[t]he Director may establish procedures . . . to accept an
unintentionally delayed submission of an amendment under this
section").
   As discussed previously, the "exceptional circumstances"
provision of the PLTIA permits the Office to refund (or waive) the fee
specified in 35 U.S.C. 41(a)(7) in situations in which the failure to
take the required action or pay the required fee was due to a widespread
disaster. The "exceptional circumstances" standard of the PLTIA is not the
equivalent of or a substitute for either the former "unavoidable"
delay standard or the PLT "in spite of due care" standard. Since the
PLTIA eliminated the "unavoidable" delay standard and did not adopt
the PLT "in spite of due care" standard, the Office does not consider
it appropriate to employ the "exceptional circumstances" provision of
the PLTIA as a backdoor retention of the "unavoidable" delay standard
or as a mechanism for the Office to opine on whether an applicant has
met a standard (the PLT "in spite of due care" standard) that is not
part of the United States patent laws. Moreover, the Office's costs for
treating a petition under the "in spite of due care" standard (like
the Office's costs for treating a petition under the former
"unavoidable" delay standard) would far exceed the Office's costs for
treating a petition under the "unintentional" delay standard provided
for in the United States patent laws, and would thus warrant a higher
petition fee rather than the reduced petition fee or no petition fee as
suggested by the comments.
   The International Bureau of the World Intellectual Property
Organization (International Bureau) processes requests for restoration
of priority under both the "unintentional" delay standard and the
"in spite of due care" standard. Applicants who know at the time of
filing of the international application that the priority period has
expired and desire treatment under the "in spite of due care"
standard have the option of filing the international application with
the International Bureau as the Receiving Office. Applicants who
discover that an international application was filed after the
expiration of the priority period and desire treatment under the "in
spite of due care" standard may request that the application be
transferred to the International Bureau as Receiving Office under PCT
Rule 19.4. See April 2007 Revision of Patent Cooperation Treaty
Procedure, 72 FR 51559, 51562 (Sept. 10, 2007).
   As the "exceptional circumstances'"provision of the PLTIA permits the
Office to refund (or waive) the fee specified in 35 U.S.C. 41(a)(7)
in situations in which the failure to take the required action or pay
the required fee was due to a widespread disaster and not in response
to petitions from applicants, the Office is not adopting provisions for
applicants to request a refund on the basis of there being
"exceptional circumstances."
   Comment 10: Several comments noted that the fee for revival on the
basis of unintentional delay was decreased to $1,700 ($850 for a small
entity), but that this fee was also made applicable to delayed payments
of maintenance fees and the failure to timely file a foreign priority
or domestic benefit claim. One comment suggested that this fee change
as it applies to the failure to timely file a foreign priority or
domestic benefit claim was a considerable increase and should be
reconsidered.
   Response: As discussed in the PLT notice of proposed rulemaking,
the PLTIA amends 35 U.S.C. 41(a)(7), 119(b), 119(e), and 120 to provide
that the Office shall charge $1,700.00 on filing each petition for the
revival of an abandoned application for a patent, for the delayed
payment of the fee for issuing each patent, for the delayed response by
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 80 

the patent owner in any reexamination proceeding, for the delayed
payment of the fee for maintaining a patent in force, for the delayed
submission of a priority or benefit claim, or for the extension of the
twelve-month period for filing a subsequent application. See Changes to
Implement the Patent Law Treaty, 78 FR at 21792-93. The changes to the
fee for the revival of an abandoned application for a patent, for the
delayed payment of the fee for maintaining a patent in force, and for
the delayed submission of a priority or benefit claim in this final
rule simply implement the changes in the PLTIA.
   Comment 11: One comment opposed the elimination of the
"unavoidable" delay standard on the basis that it would result in a
significant fee increase to revive applications abandoned due to
catastrophes such as earthquakes and tsunamis.
   Response: As discussed previously, the PLTIA contains a provision
that permits the Office to refund (or waive) the fee specified in 35
U.S.C. 41(a)(7) in situations in which the failure to take the required
action or pay the required fee was due to a widespread disaster, such
as an earthquake or tsunami.
   Comment 12: One comment stated that under the PLTIA the provisions
for revival of an abandoned application on the basis of unintentional
delay also applied to a failure to timely pay a maintenance fee or
failure to timely file a foreign priority or domestic benefit claim.
   Response: The PLTIA adopts a single uniform standard
("unintentional" delay) for the revival of an abandoned application,
acceptance of a delayed maintenance fee payment, and acceptance of a
delayed priority or benefit claim. The failure to timely file a foreign
priority or domestic benefit claim does not result in abandonment of an
application (and thus the need for revival) per se. The PLTIA, however,
expressly provides that the standard for acceptance of a delayed
priority or benefit claim ("unintentional" delay) is the same as the
standard for revival of an abandoned application.
   Comment 13: One comment expressed concern about the impact of the
provision for the restoration of the right of priority on patent term.
The comment suggested that this provision would effectively extend the
patent term by up to two months for negligent applicants. The comment
suggested that there be appropriate measures (e.g., requirement for a
terminal disclaimer) to ensure that an applicant does not benefit by
missing the date for filing the subsequent application.
   Response: The Office does not consider it necessary to create a
complex restoration process to avoid abuse at this time. An applicant's
failure to file the subsequent application within the twelve-month
period in 35 U.S.C. 119(a) or (e) must have been unintentional. Thus,
an applicant who intentionally delays filing the subsequent application
will not be able to obtain priority to a prior foreign application
under 35 U.S.C. 119(a) or benefit of a prior provisional application
under 35 U.S.C. 119(e). In addition, the subsequent application must
still be filed within two months of the expiration of the twelve-month
period. The Office, however, may consider requirements if it appears
that the procedures for restoration of the priority under 35 U.S.C.
119(a) or benefit under 35 U.S.C. 119(e) are being used routinely or
are being abused.
   Comment 14: One comment stated that the PLTIA uses the phrase
"extending by an additional 2 months," rather than terminology more
consistent with the PLT such as "restoration" or "reinstatement" of
priority rights. The comment stated that during the PLT discussions at
WIPO, there was great criticism of this provision as extending the
Paris Convention period from twelve months to fourteen months. The
comment further stated that the argument presented at WIPO to accept
the provision was that it was not extending the twelve-month Paris
Convention period, but rather was reinstating or restoring the right of
priority.
   Response: The Office does not consider the change to 35 U.S.C.
119(a) in the PLTIA to be an "extension" of the twelve-month Paris
Convention period.  As discussed previously, the procedures set forth in
§ 1.55(c) (and 1.78(b)) as adopted in this final rule are for
applicants whose delay in filing the subsequent application within the
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 81 

twelve-month time period in 35 U.S.C. 119(a) (or 119(e)(1)) was
unintentional, and the use of the additional two-month time period in 35
U.S.C. 119(a) (or 119(e)(1)) as an "extension of time" to file the
subsequent application would be considered an abuse of the provisions.
   Comment 15: Several comments suggested that the Office provide for
PCT applications filed in the United States Receiving Office in a
language other than English in view of the change to 35 U.S.C. 361(c)
to change "International applications filed in the Patent and
Trademark Office shall be in the English language" to "International
applications filed in the Patent and Trademark Office shall be filed in
the English language, or an English translation shall be filed within
such later time as may be fixed by the Director."
   Response: The PLTIA amends 35 U.S.C. 361(c) to authorize the Office
to allow the filing of PCT applications in a language other than
English if an English-language translation of the PCT application is
filed within the period specified by the Office. In U.S. national
practice for applications filed under 35 U.S.C. 111(a) in a language
other than English, the Office requires an English-language translation
of the non-English-language application and conducts all subsequent
processing and examination of the application using the English-
language translation and not the initial non-English-language
application. Unlike U.S. national practice for applications filed under
35 U.S.C. 111(a), the PCT and PCT Regulations provide for a Receiving
Office to review PCT applications (the PCT application as filed, and
not any subsequent translation of the PCT application) for errors
(e.g., review the description to determine whether it refers to
drawings that are not present) (PCT Article 14 and PCT Rules 20 and
25), and to process requests for incorporation by reference in PCT
applications (PCT Rule 20.6), and other amendments and corrections to
PCT applications (PCT Rule 26). There is no provision in the PCT that
provides for the filing of an application in one language for the
purpose of establishing a filing date, and the later filing of a
translation of such application for the purpose of subsequent review
and processing by the Receiving Office. The United States Receiving
Office is simply not currently capable of conducting the review and
processing required by the PCT for PCT applications filed in a language
other than English. Creating a procedure under the PCT to provide for
the initial filing of a non-English-language PCT application and later
filing of an English-language translation for the purpose of subsequent
review and processing would, under the provisions of the PCT and PCT
Regulations, result in the resetting of the International Filing Date
to the later date of submission of the English-language translation of
the non-English-language PCT application. Therefore, to avoid the loss
of a filing date for a PCT application in a language other than English
deposited with the United States Receiving Office, the Office will
continue to apply the current process under PCT Rule 19.4 of
transmitting such a PCT application to the International Bureau for
processing in its capacity as a Receiving Office, which will avoid the
loss of a filing date as long as the PCT application is in a language
accepted under PCT Rule 12.1(a) by the International Bureau as a
Receiving Office. See MPEP 1805.
   Comment 16: One comment suggested that the word "also" in § 1.78(a)(4)
and (c)(3) (two occurrences in each paragraph) (§ 1.78(a)(4) and (d)(3)
as adopted in this final rule) is confusing and redundant.
   Response: 35 U.S.C. 119(e) and 120 each require that the specific
reference to the prior-filed application be submitted at such time
during the pendency of the application as required by the Director.
Sections 1.78(a)(4) and 1.78(d)(3), therefore, require that the
specific reference to the prior-filed application be submitted during
the pendency of the application as is expressly required by 35 U.S.C.
119(e) and 120, and also require that the specific reference to the
prior-filed application be submitted within the four-month or sixteen-
month time frame as is authorized by 35 U.S.C. 119(e) and 120.
   Comment 17: One comment suggested that the phrase "for the
patent" should read "for the application" or be deleted in both
occurrences in § 1.53(f)(3)(ii) and 1.495(c)(3)(ii).
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 82 

   Response: The phrase "issue fee for the patent" tracks the
language of 35 U.S.C. 115(f) as amended by the AIA Technical
Corrections Act.
   Comment 18: One comment suggested that the requirement that any
petition for reconsideration of a decision refusing to accept a
maintenance fee be accompanied by the petition fee set forth in § 1.17(f)
should be deleted for consistency with the change to § 1.17(f).
   Response: Section 1.378(d) as adopted in this final rule does not
include the requirement for the petition fee under § 1.17(f) for a
request for reconsideration of a maintenance fee decision.
   Comment 19: Several comments suggested that § 1.704(f) be
clarified to indicate that the phrase "in compliance with" in
connection with the application papers, drawings, translations, and
sequence listings applies to preexamination requirements and does not
apply to corrections required by examiners.
   Response: Section 1.704(f) as adopted in this final rule provides
that an application shall be considered as having papers in compliance
with § 1.52, drawings (if any) in compliance with § 1.84, and a
sequence listing in compliance with § 1.821 through § 1.825 (if
applicable) for purposes of § 1.704(f) on the filing date of the
latest reply (if any) correcting the papers, drawings, or sequence
listing that is prior to 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. Thus, the patent term adjustment reduction provision of
§ 1.704(c)(12) would not apply to a correction of the application
papers, drawings, or sequence listing that is required by an examiner
(i.e., would not apply to corrections that take place after 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).
   Comment 20: One comment noted that the PLTIA amends 35 U.S.C. 261
to provide for a "register of interests in applications for patents
and patents," but that the PLTIA does not specify the scope of an
"interest." The comment requests guidance on the scope of these
interests as well as what is necessary to have these interests
recorded.
   Response: The Office currently records assignments, licenses,
security agreements, and other interests in patents and patent
applications, but the recording of such a document is not a
determination of the effect the document has on the ownership of the
patent or even the validity of the document. See MPEP 301. Pre-PLTIA 35
U.S.C. 261 applied to "applications for patent, patents, or any
interest therein." The Office does not view the PLTIA as changing the
meaning of the term "interest" as used in 35 U.S.C. 261.
   Comment 21: Several comments suggested that the Office should move
from the "independent and distinct" restriction standard of 35 U.S.C.
121 to the PCT "unity of invention" standard.
   Response: As discussed in the PLT notice of proposed rulemaking,
the Office is in the process of studying the changes to the patent
statute, regulations, examination practices, and filing fees that would
be necessary to move from the "independent and distinct" restriction
standard of 35 U.S.C. 121 to the "unity of invention" standard of PCT Rule
13 in a practical manner.

Rulemaking Considerations

A. Administrative Procedure Act

   This rulemaking implements the PLT and title II of the PLTIA. The
changes in this rulemaking (except for the change to the patent term
adjustment provisions of 37 CFR 1.704) are to revise application filing
and prosecution procedures to conform to the changes in title II of the
PLTIA and section 1(f) of the AIA Technical Corrections Act, to
eliminate procedural requirements to ensure that the rules of practice
are consistent with the PLT, and to make minor changes pertaining to
the supplemental examination, inventor's oath or declaration, and first
inventor to file provisions of the AIA. Therefore, the changes in this
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 83 

rulemaking (except for the change to the patent term adjustment
provisions of 37 CFR 1.704) involve rules of agency practice and
procedure and/or interpretive rules. See Bachow Commc'ns Inc. v.
F.C.C., 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, Inc. 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 were
not required pursuant to 5 U.S.C. 553(b) or (c) (or any other law),
except for the change to the patent term adjustment provisions of 37
CFR 1.704. 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 the PLT and title II of the PLTIA and section 1(f) of the AIA
Technical Corrections Act.

B. Regulatory Flexibility Act

   For the reasons set forth herein, the Deputy General Counsel for
General Law of the United States Patent and Trademark Office has
certified to the Chief Counsel for Advocacy of the Small Business
Administration that the changes in this final rule will not have a
significant economic impact on a substantial number of small entities.
See 5 U.S.C. 605(b). The proposed rule described a similar
certification at that time by the Deputy General Counsel for General
Law, and no comments were received.
   As noted in the notice of proposed rulemaking, the primary changes
in this rulemaking are to revise application filing and prosecution
procedures to conform to the changes in title II of the PLTIA and
eliminate procedural requirements to ensure that the rules of practice
are consistent with the PLT.
   The notable changes in the PLT and title II of the PLTIA pertain
to: (1) The filing date requirements for a patent application; (2) the
restoration of patent rights via the revival of abandoned applications
and acceptance of delayed maintenance fee payments; and (3) the
restoration of the right of priority to a foreign application or the
benefit of a provisional application in a subsequent application filed
within two months of the expiration of the twelve-month period (six-
month period for design applications) for filing such a subsequent
application.
   The requirements and fees for filing of an application without a
claim track the existing provisions in 37 CFR 1.53(f) for an
application that is missing application components not required for a
filing date. The requirements and fees for filing of an application
"by reference" to a previously filed application in lieu of filing
the specification and drawings (reference filing) are simpler than the
existing requirements in 37 CFR 1.57(a) that apply when relying upon
the specification and drawings of a prior-filed application as the
specification and drawings of an application.
   The requirements for a petition to revive an abandoned application
(37 CFR 1.137) or accept a delayed maintenance fee payment (37 CFR
1.378) on the basis of "unintentional" delay are the pre-existing
requirements for a petition to revive an abandoned application or
accept a delayed maintenance fee payment. PLTIA 35 U.S.C. 41(a)(7) and
(c)(1) set the petition fee amount for a petition to accept a delayed
maintenance fee payment at an amount equal to the fee for a petition to
revive an unintentionally abandoned application, which is comparable to
the pre-existing surcharge for accepting an unintentionally delayed
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 84 

maintenance fee payment.
   The requirements and fees for a petition to restore the right of
priority to a prior-filed foreign application or a petition to restore
the right to benefit of a prior-filed provisional application
correspond to the pre-existing requirements for petitions based upon
unintentional delay (i.e., a petition to revive an abandoned
application (37 CFR 1.137) or accept a delayed maintenance fee payment
(37 CFR 1.378)). PLTIA 35 U.S.C. 41(a)(7) and 119 set the petition fee
amount for a petition to restore the right of priority to a prior-filed
foreign application or a petition to restore the right to benefit of a
prior-filed provisional application at an amount equal to the fee for a
petition to revive an unintentionally abandoned application. Prior to
the PLTIA, 35 U.S.C. 119 did not permit an applicant who missed the
filing period requirement in 35 U.S.C. 119(a) or (e) to restore the
right of priority to the prior-filed foreign application or restore the
right to benefit of the prior-filed provisional application.
   The changes to the patent term adjustment reduction provisions do
not impose any additional burden on applicants. The change to 37 CFR
1.704(c) simply specifies that the failure to place an application in
condition for examination within eight months from the date on which
the application was filed under 35 U.S.C. 111(a) or the date of
commencement of the national stage under 35 U.S.C. 371(b) or (f) in an
international application constitutes a failure of an applicant to
engage in reasonable efforts to conclude processing or examination of
an application. This change will not have a significant economic impact
on a substantial number of small entities because: (1) Applicants
already have to place an application in a condition for examination;
(2) applicants are not entitled to patent term adjustment for
examination delays that result from an applicant's delay in prosecuting
the application (35 U.S.C. 154(b)(2)(C)(i) and 37 CFR 1.704(a)); and
(3) applicants may avoid any consequences from this provision simply by
placing the application in condition for examination within eight
months from the date on which the application was filed under 35 U.S.C.
111(a) or the date of commencement of the national stage under 35
U.S.C. 371(b) or (f) in an international application.
   For the foregoing reasons, the changes in this final rule will not
have a significant economic impact on a substantial number of small
entities.

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 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
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 85 

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 affect 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.),
prior to issuing any final rule, the United States Patent and Trademark
Office will submit a report containing the 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 rule 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 rule is not expected to result in a "major rule" as
defined in 5 U.S.C. 804(2).

L. Unfunded Mandates Reform Act of 1995

   The changes set forth in this rule 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.

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 86 

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 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 Office consider the impact of paperwork and other
information collection burdens imposed on the public. This final rule
involves 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).
   The notable changes in the PLT and title II of the PLTIA pertain
to: (1) The filing date requirements for a patent application; (2) the
restoration of patent rights via the revival of abandoned applications
and acceptance of delayed maintenance fee payments; and (3) the
restoration of the right of priority to a foreign application or the
benefit of a provisional application in a subsequent application filed
within two months of the expiration of the twelve-month period (six-
month period for design applications) for filing such a subsequent
application.
   The information collection requirements pertaining to petitions to
accept a delayed maintenance fee payment have been reviewed and
approved by the OMB under OMB control number 0651-0016. The information
collection requirements pertaining to patent term adjustment have been
reviewed and approved by the OMB under OMB control number 0651-0020.
The information collection requirements pertaining to recording
assignments (and other interests) in patents and patent applications
have been reviewed and approved by the OMB under OMB control number
0651-0027. The information collection requirements pertaining to
petitions to revive an abandoned application have been reviewed and
approved by the OMB under OMB control number 0651-0031. The information
collection requirements pertaining to the specification (including claims)
and drawings required for a patent application have been reviewed and
approved by the OMB under OMB control number 0651-0032. The information
collection requirements pertaining to representative and correspondence
address have been reviewed and approved by the OMB under OMB control
number 0651-0035. The changes in this final rule pertaining to petitions
to accept a delayed maintenance fee payment, patent term adjustment,
petitions to revive an abandoned application, the specification (including
claims) and drawings required for a patent application, and representative
and correspondence address, do not propose to add any additional
requirements (including information collection requirements) or fees
for patent applicants or patentees. Therefore, the Office did not
resubmit information collection packages to OMB for its review and
approval because the changes in this final rule do not affect the
information collection requirements associated with the information
collections approved under OMB control numbers 0651-0016, 0651-0020,
0651-0027, 0651-0031, 0651-0032, and 0651-0035.
   This final rule also provides for the optional use by applicants of
the following Patent Law Treaty Model International Forms: (1) Model
International Request Form; (2) Model International Power of Attorney
Form; (3) Model International Request for Recordation of Change in Name
or Address Form; (4) Model International Request for Correction of
Mistakes Form; (5) Model International Request for Recordation of
Change in Applicant or Owner Form; (6) Model International Certificate
of Transfer Form; (7) Model International Request for Recordation of a
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 87 

License/Cancellation of the Recordation of a License Form; and (8)
Model International Request for Recordation of a Security Interest/
Cancellation of the Recordation of a Security Interest Form. This final
rule also requires revisions to the pre-printed information on the
forms for petitions to accept a delayed maintenance fee payment and
petitions to revive an abandoned application (PTO/SB/64, PTO/SB/64a,
PTO/SB/66) and elimination of the forms for petitions based upon
unavoidable delay (PTO/SB/61 and PTO/SB/65) in the information
collections approved under OMB control numbers 0651-0016 and 0651-0031.
The Office is submitting a change worksheet to OMB to add these Patent
Law Treaty Model International Forms and form revisions to the
information collections approved under OMB control numbers 0651-0016,
0651-0020, 0651-0027, 0651-0031, 0651-0032, and 0651-0035.
   This final rule adds petitions to restore the right of priority to
a prior-filed foreign application or a petition to restore the right to
benefit of a prior-filed provisional application. 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
the Patent Law Treaty, 78 FR at 21802-03. The Office did not receive
any comments on this proposed information collection, and the changes
adopted in this final rule do not require any change to the proposed
information collection. Accordingly, the Office has resubmitted the
proposed revision to the information collection to OMB. The proposed
information collection is available at 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.

37 CFR Part 3

   Administrative practice and procedure, Inventions and patents,
Trademarks.

37 CFR Part 11

   Administrative practice and procedure, Inventions and patents,
Lawyers, Reporting and recordkeeping requirements.

   For the reasons set forth in the preamble, 37 CFR parts 1, 3, and
11 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.

.  2. Section 1.1 is amended by revising paragraph (c) to read as follows:

§ 1.1  Addresses for non-trademark correspondence with the United
States Patent and Trademark Office.
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 88 


* * * * *

   (c) For reexamination or supplemental examination proceedings. (1)
All correspondence concerning ex parte reexamination, other than
correspondence to the Office of the General Counsel pursuant to §
1.1(a)(3) and § 102.4 of this chapter, should be additionally
marked "Mail Stop Ex Parte Reexam."
   (2) All correspondence concerning inter partes reexamination, other
than correspondence to the Office of the General Counsel pursuant to
§ 1.1(a)(3) and § 102.4 of this chapter, should be additionally
marked "Mail Stop Inter Partes Reexam."
   (3) Requests for supplemental examination (original and corrected
request papers) and any other paper filed in a supplemental examination
proceeding, should be additionally marked "Mail Stop Supplemental
Examination."
   (4) All correspondence concerning a reexamination proceeding
ordered as a result of a supplemental reexamination proceeding, other
than correspondence to the Office of the General Counsel pursuant to
§ 1.1(a)(3) and § 102.4 of this chapter should be additionally
marked "Mail Stop Ex Parte Reexam."

* * * * *

.  3. Section 1.4 is amended by revising paragraphs (a)(2), (c), and (d)
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 supplemental
examination of patents in subpart E, § 1.601 to 1.625; 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 chapter.

* * * * *

   (c) Since different matters may be considered by different branches
or sections of the Office, each distinct subject, inquiry, or order must
be contained in a separate paper to avoid confusion and delay in
answering papers dealing with different subjects. Subjects provided for
on a single Office or World Intellectual Property Organization form may
be contained in a single paper.
   (d)(1) Handwritten signature. Each piece of correspondence, except
as provided in paragraphs (d)(2), (d)(3), (d)(4), (e), and (f) of this
section, filed in an application, patent file, or other proceeding in
the Office which requires a person's signature, must:
   (i) Be an original, that is, have an original handwritten signature
personally signed, in permanent dark ink or its equivalent, by that
person; or
   (ii) Be a direct or indirect copy, such as a photocopy or facsimile
transmission (§ 1.6(d)), of an original. In the event that a copy
of the original is filed, the original should be retained as evidence
of authenticity. If a question of authenticity arises, the Office may
require submission of the original.
   (2) S-signature. An S-signature is a signature inserted between
forward slash marks, but not a handwritten signature as defined by
paragraph (d)(1) of this section. An S-signature includes any signature
made by electronic or mechanical means, and any other mode of making or
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 89 

applying a signature other than a handwritten signature as provided for
in paragraph (d)(1) of this section. Correspondence being filed in the
Office in paper, by facsimile transmission as provided in § 1.6(d),
or via the Office electronic filing system as an attachment as provided
in § 1.6(a)(4), for a patent application, patent, or a
reexamination or supplemental examination proceeding may be S-signature
signed instead of being personally signed (i.e., with a handwritten
signature) as provided for in paragraph (d)(1) of this section. The
requirements for an S-signature under this paragraph (d)(2) of this
section are as follows.
   (i) The S-signature must consist only of letters, or Arabic
numerals, or both, with appropriate spaces and commas, periods,
apostrophes, or hyphens for punctuation, and the person signing the
correspondence must insert his or her own S-signature with a first
single forward slash mark before, and a second single forward slash
mark after, the S-signature (e.g.,/Dr. James T. Jones, Jr./); and
   (ii) A patent practitioner (§ 1.32(a)(1)), signing pursuant to
§ 1.33(b)(1) or 1.33(b)(2), must supply his/her registration
number either as part of the S-signature, or immediately below or
adjacent to the S-signature. The number () character may be
used only as part of the S-signature when appearing before a
practitioner's registration number; otherwise the number character may
not be used in an S-signature.
   (iii) The signer's name must be:
   (A) Presented in printed or typed form preferably immediately below
or adjacent the S-signature, and
   (B) Reasonably specific enough so that the identity of the signer
can be readily recognized.
   (3) Electronically submitted correspondence. Correspondence
permitted via the Office electronic filing system may be signed by a
graphic representation of a handwritten signature as provided for in
paragraph (d)(1) of this section or a graphic representation of an S-
signature as provided for in paragraph (d)(2) of this section when it
is submitted via the Office electronic filing system.
   (4) Certifications-(i) Certification as to the paper presented.
The presentation to the Office (whether by signing, filing, submitting,
or later advocating) of any paper by a party, whether a practitioner or
non-practitioner, constitutes a certification under § 11.18(b) of
this subchapter. Violations of § 11.18(b)(2) of this subchapter by
a party, whether a practitioner or non-practitioner, may result in the
imposition of sanctions under § 11.18(c) of this subchapter. Any
practitioner violating § 11.18(b) of this subchapter may also be
subject to disciplinary action. See § 11.18(d) of this subchapter.
   (ii) Certification as to the signature. The person inserting a
signature under paragraph (d)(2) or (d)(3) of this section in a
document submitted to the Office certifies that the inserted signature
appearing in the document is his or her own signature. A person
submitting a document signed by another under paragraph (d)(2) or
(d)(3) of this section is obligated to have a reasonable basis to
believe that the person whose signature is present on the document was
actually inserted by that person, and should retain evidence of
authenticity of the signature. Violations of the certification as to
the signature of another or a person's own signature as set forth in
this paragraph may result in the imposition of sanctions under § 11.18(c)
and (d) of this chapter.
   (5) Forms. The Office provides forms for the public to use in
certain situations to assist in the filing of correspondence for a
certain purpose and to meet certain requirements for patent
applications and proceedings. Use of the forms for purposes for which
they were not designed is prohibited. No changes to certification
statements on the Office forms (e.g., oath or declaration forms,
terminal disclaimer forms, petition forms, and nonpublication request
forms) may be made. The existing text of a form, other than a
certification statement, may be modified, deleted, or added to, if all
text identifying the form as an Office form is removed. The
presentation to the Office (whether by signing, filing, submitting, or
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 90 

later advocating) of any Office form with text identifying the form as
an Office form by a party, whether a practitioner or non-practitioner,
constitutes a certification under § 11.18(b) of this chapter that
the existing text and any certification statements on the form have not
been altered other than permitted by EFS-Web customization.

* * * * *

.  4. Section 1.5 is amended by revising paragraph (d) to read as follows:

§ 1.5  Identification of patent, patent application, or patent-
related proceeding.

* * * * *

   (d) A letter relating to a reexamination or supplemental
examination proceeding should identify it as such by the number of the
patent undergoing reexamination or supplemental examination, the
request control number assigned to such proceeding, and, if known, the
group art unit and name of the examiner to which it been assigned.

* * * * *

. 5-6. Section 1.6 is amended by revising paragraph (d) 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
number of a patent application, the control number of a reexamination
or supplemental examination 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:
   (1) Correspondence as specified in § 1.4(e), requiring an
original signature;
   (2) Certified documents as specified in § 1.4(f);
   (3) Correspondence which cannot receive the benefit of the
certificate of mailing or transmission as specified in § 1.8(a)(2)(i)(A)
through (D), (F), and (I), and § 1.8(a)(2)(iii)(A), except that a
continued prosecution application under § 1.53(d) may be transmitted to
the Office by facsimile;
   (4) Color drawings submitted under § 1.81, 1.83 through
1.85, 1.152, 1.165, 1.173, or 1.437;
   (5) A request for reexamination under § 1.510 or § 1.913,
or a request for supplemental examination under § 1.610;
   (6) Correspondence to be filed in a patent application subject to a
secrecy order under § 5.1 through 5.5 of this chapter and
directly related to the secrecy order content of the application;
   (7) In contested cases and trials before the Patent Trial and
Appeal Board, except as the Board may expressly authorize.

* * * * *
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 91 


.  7. Section 1.7 is amended by revising paragraph (a) to read as follows:

§ 1.7  Times for taking action; Expiration on Saturday, Sunday or
Federal holiday.

   (a) Whenever periods of time are specified in this part in days,
calendar days are intended. When the day, or the last day fixed by
statute or by or under this part for taking any action or paying any
fee in the United States Patent and Trademark Office falls on Saturday,
Sunday, or on a Federal holiday within the District of Columbia, the
action may be taken, or the fee paid, on the next succeeding business
day which is not a Saturday, Sunday, or a Federal holiday. See § 90.3
of this chapter for time for appeal or for commencing civil action.

* * * * *

.  8. Section 1.16 is amended by revising paragraph (f) to read as
follows:

§ 1.16  National application filing, search, and examination fees.

* * * * *

   (f) Surcharge for filing the basic filing fee, search fee,
examination fee, or inventor's oath or declaration on a date later than
the filing date of the application, an application that does not
contain at least one claim on the filing date of the application, or an
application filed by reference to a previously filed application under
§ 1.57(a), except provisional applications:

By a micro entity (§  1.29)............................       $35.00
By a small entity (§  1.27(a)).........................        70.00
By other than a small or micro entity..................       140.00

* * * * *

. 9. Section 1.17 is amended by revising paragraphs (f), (g), (m), and
(p), adding new paragraph (o), and removing and reserving paragraphs
(l) and (t) to read as follows:

§ 1.17  Patent application and reexamination processing fees.

* * * * *

   (f) For filing a petition under one of the following sections which
refers to this paragraph:

By a micro entity (§  1.29)............................      $100.00
By a small entity (§  1.27(a)).........................       200.00
By other than a small or micro entity..................       400.00

   § 1.36(a)-for revocation of a power of attorney by fewer than
all of the applicants.
   § 1.53(e)-to accord a filing date.
   § 1.182-for decision on a question not specifically provided
for in an application for patent.
   § 1.183-to suspend the rules in an application for patent.
   § 1.741(b)-to accord a filing date to an application under
§ 1.740 for extension of a patent term.
   (g) For filing a petition under one of the following sections which
refers to this paragraph: $200.00
   § 1.12-for access to an assignment record.
   § 1.14-for access to an application.
   § 1.46-for filing an application on behalf of an inventor by a
person who otherwise shows sufficient proprietary interest in the
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 92 

matter.
   § 1.55(f)-for filing a belated certified copy of a foreign
application.
   § 1.57(a)-for filing a belated certified copy of a foreign
application.
   § 1.59-for expungement of information.
   § 1.103(a)-to suspend action in an application.
   § 1.136(b)-for review of a request for extension of time when
the provisions of § 1.136(a) are not available.
   § 1.377-for review of decision refusing to accept and record
payment of a maintenance fee filed prior to expiration of a patent.
   § 1.550(c)-for patent owner requests for extension of time in
ex parte reexamination proceedings.
   § 1.956-for patent owner requests for extension of time in
inter partes reexamination proceedings.
   § 5.12-for expedited handling of a foreign filing license.
   § 5.15-for changing the scope of a license.
   § 5.25-for retroactive license.

* * * * *

   (l) [Reserved]
   (m) For filing a petition for the revival of an abandoned
application for a patent, for the delayed payment of the fee for
issuing each patent, for the delayed response by the patent owner in
any reexamination proceeding, for the delayed payment of the fee for
maintaining a patent in force, for the delayed submission of a priority
or benefit claim, or for the extension of the twelve-month (six-month
for designs) period for filing a subsequent application (§ 1.55(c),
1.55(e), 1.78(b), 1.78(c), 1.78(e), 1.137, 1.378, and 1.452):

By a small entity (§  1.27(a)) or micro entity (§ 1.29)....      $850.00
By other than a small or micro entity......................     1,700.00

* * * * *

   (o) For every ten items or fraction thereof in a third-party
submission under § 1.290:

By a small entity (§  1.27(a)) or micro entity (§ 1.29 ..         $90.00
By other than a small entity.............................         180.00

   (p) For an information disclosure statement under § 1.97(c) or
(d):

By a micro entity (§  1.29)............................       $45.00
By a small entity (§  1.27(a)).........................        90.00
By other than a small or micro entity..................       180.00

* * * * *

   (t) [Reserved]

.  10. Section 1.20 is amended by removing and reserving paragraph (i).

§ 1.20  Post issuance fees.

* * * * *

   (i) [Reserved]

* * * * *

. 11. Section 1.23 is amended by adding a new paragraph (c) to read as
follows:

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 93 

§ 1.23  Methods of payment.

* * * * *

   (c) A fee transmittal letter may be signed by a juristic applicant
or patent owner.

. 12. Section 1.25 is amended by revising paragraph (b) to read as
follows:

§ 1.25  Deposit accounts.

* * * * *

   (b) Filing, issue, appeal, international-type search report,
international application processing, petition, and post-issuance fees
may be charged against these accounts if sufficient funds are on
deposit to cover such fees. A general authorization to charge all fees,
or only certain fees, set forth in § 1.16 to 1.18 to a deposit
account containing sufficient funds may be filed in an individual
application, either for the entire pendency of the application or with
a particular paper filed. An authorization to charge fees under
§ 1.16 in an international application entering the national stage under
35 U.S.C. 371 will be treated as an authorization to charge fees under
§ 1.492. An authorization to charge fees set forth in § 1.18 to
a deposit account is subject to the provisions of § 1.311(b). An
authorization to charge to a deposit account the fee for a request for
reexamination pursuant to § 1.510 or § 1.913 and any other fees
required in a reexamination proceeding in a patent may also be filed
with the request for reexamination, and an authorization to charge to a
deposit account the fee for a request for supplemental examination
pursuant to § 1.610 and any other fees required in a supplemental
examination proceeding in a patent may also be filed with the request
for supplemental examination. An authorization to charge a fee to a
deposit account will not be considered payment of the fee on the date
the authorization to charge the fee is effective unless sufficient
funds are present in the account to cover the fee.

* * * * *

. 13. Section 1.29 is amended by revising paragraphs (e) and (k)(4) to
read as follows:

§ 1.29  Micro entity status.

* * * * *

   (e) Micro entity status is established in an application by filing
a micro entity certification in writing complying with the requirements
of either paragraph (a) or paragraph (d) of this section and signed
either in compliance with § 1.33(b) or in an international
application filed in a Receiving Office other than the United States
Receiving Office by a person authorized to represent the applicant
under § 1.455. Status as a micro entity must be specifically
established in each related, continuing and reissue application in
which status is appropriate and desired. Status as a micro entity in
one application or patent does not affect the status of any other
application or patent, regardless of the relationship of the
applications or patents. The refiling of an application under § 1.53
as a continuation, divisional, or continuation-in-part application
(including a continued prosecution application under § 1.53(d)), or
the filing of a reissue application, requires a new certification of
entitlement to micro entity status for the continuing or reissue
application.

* * * * *
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 94 


   (k) * * *
   (4) Any deficiency payment (based on a previous erroneous payment
of a micro entity fee) submitted under this paragraph will be treated
as a notification of a loss of entitlement to micro entity status under
paragraph (i) of this section.

. 14. Section 1.33 is amended by revising paragraph (c) to read as
follows:

§ 1.33  Correspondence respecting patent applications,
reexamination proceedings, and other proceedings.

* * * * *

   (c) All notices, official letters, and other communications for the
patent owner or owners in a reexamination or supplemental examination
proceeding will be directed to the correspondence address in the patent
file. Amendments filed in a reexamination proceeding, and other papers
filed in a reexamination or supplemental examination proceeding, on
behalf of the patent owner must be signed by the patent owner, or if
there is more than one owner by all the owners, or by an attorney or
agent of record in the patent file, or by a registered attorney or
agent not of record who acts in a representative capacity under the
provisions of § 1.34. Double correspondence with the patent owner
or owners and the patent owner's attorney or agent, or with more than
one attorney or agent, will not be undertaken.

* * * * *

. 15. Section 1.51 is amended by revising paragraph (a) to read as
follows:

§ 1.51  General requisites of an application.

   (a) Applications for patents must be made to the Director of the
United States Patent and Trademark Office. An application transmittal
letter limited to the transmittal of the documents and fees comprising
a patent application under this section may be signed by a juristic
applicant or patent owner.

* * * * *

. 16. Section 1.52 is amended by revising paragraphs (a), (b), and (e) to
read as follows:

§ 1.52  Language, paper, writing, margins, compact disc
specifications.

   (a) Papers that are to become a part of the permanent United States
Patent and Trademark Office records in the file of a patent
application, or a reexamination or supplemental examination proceeding.
(1) All papers, other than drawings, that are submitted on paper or by
facsimile transmission, and are to become a part of the permanent
United States Patent and Trademark Office records in the file of a
patent application or reexamination or supplemental examination
proceeding, must be on sheets of paper that are the same size, not
permanently bound together, and:
   (i) Flexible, strong, smooth, non-shiny, durable, and white;
   (ii) Either 21.0 cm by 29.7 cm (DIN size A4) or 21.6 cm by 27.9 cm
(8 1/2 by 11 inches), with each sheet including a top margin of at
least 2.0 cm (3/4 inch), a left side margin of at least 2.5 cm (1
inch), a right side margin of at least 2.0 cm (3/4 inch), and a
bottom margin of at least 2.0 cm (3/4 inch);
   (iii) Written on only one side in portrait orientation;
   (iv) Plainly and legibly written either by a typewriter or machine
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 95 

printer in permanent dark ink or its equivalent; and
   (v) Presented in a form having sufficient clarity and contrast
between the paper and the writing thereon to permit the direct
reproduction of readily legible copies in any number by use of
photographic, electrostatic, photo-offset, and microfilming processes
and electronic capture by use of digital imaging and optical character
recognition.
   (2) All papers that are submitted on paper or by facsimile
transmission and are to become a part of the permanent records of the
United States Patent and Trademark Office should have no holes in the
sheets as submitted.
   (3) The provisions of this paragraph and paragraph (b) of this
section do not apply to the pre-printed information on paper forms
provided by the Office, or to the copy of the patent submitted on paper
in double column format as the specification in a reissue application
or request for reexamination.
   (4) See § 1.58 for chemical and mathematical formulae and
tables, and § 1.84 for drawings.
   (5) Papers that are submitted electronically to the Office must be
formatted and transmitted in compliance with the Office's electronic
filing system requirements.
   (b) The application (specification, including the claims, drawings,
and the inventor's oath or declaration) or reexamination or
supplemental examination proceeding, any amendments to the application
or reexamination proceeding, or any corrections to the application, or
reexamination or supplemental examination proceeding. (1) The
application or proceeding and any amendments or corrections to the
application (including any translation submitted pursuant to paragraph (d)
of this section) or proceeding, except as provided for in § 1.69 and
paragraph (d) of this section, must:
   (i) Comply with the requirements of paragraph (a) of this section;
and
   (ii) Be in the English language or be accompanied by a translation
of the application and a translation of any corrections or amendments
into the English language together with a statement that the
translation is accurate.
   (2) The specification (including the abstract and claims) for other
than reissue applications and reexamination or supplemental examination
proceedings, and any amendments for applications (including reissue
applications) and reexamination proceedings to the specification,
except as provided for in § 1.821 through 1.825, must have:
   (i) Lines that are 1 1/2 or double spaced;
   (ii) Text written in a nonscript type font (e.g., Arial, Times
Roman, or Courier, preferably a font size of 12) lettering style having
capital letters which should be at least 0.3175 cm. (0.125 inch) high,
but may be no smaller than 0.21 cm. (0.08 inch) high (e.g., a font size
of 6); and
   (iii) Only a single column of text.
   (3) The claim or claims must commence on a separate physical sheet
or electronic page (§ 1.75(h)).
   (4) The abstract must commence on a separate physical sheet or
electronic page or be submitted as the first page of the patent in a
reissue application or reexamination or supplemental examination
proceeding (§ 1.72(b)).
   (5) Other than in a reissue application or a reexamination or
supplemental examination proceeding, the pages of the specification
including claims and abstract must be numbered consecutively, starting
with 1, the numbers being centrally located above or preferably, below,
the text.
   (6) Other than in a reissue application or reexamination or
supplemental examination proceeding, the paragraphs of the
specification, other than in the claims or abstract, may be numbered at
the time the application is filed, and should be individually and
consecutively numbered using Arabic numerals, so as to unambiguously
identify each paragraph. The number should consist of at least four
numerals enclosed in square brackets, including leading zeros (e.g.,
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 96 

[0001]). The numbers and enclosing brackets should appear to the right
of the left margin as the first item in each paragraph, before the
first word of the paragraph, and should be highlighted in bold. A gap,
equivalent to approximately four spaces, should follow the number.
Nontext elements (e.g., tables, mathematical or chemical formulae,
chemical structures, and sequence data) are considered part of the
numbered paragraph around or above the elements, and should not be
independently numbered. If a nontext element extends to the left
margin, it should not be numbered as a separate and independent
paragraph. A list is also treated as part of the paragraph around or
above the list, and should not be independently numbered. Paragraph or
section headers (titles), whether abutting the left margin or centered
on the page, are not considered paragraphs and should not be numbered.

* * * * *

   (e) Electronic documents that are to become part of the permanent
United States Patent and Trademark Office records in the file of a
patent application, or reexamination or supplemental examination
proceeding. (1) The following documents may be submitted to the Office
on a compact disc in compliance with this paragraph:
   (i) A computer program listing (see § 1.96);
   (ii) A "Sequence Listing" (submitted under § 1.821(c)); or
   (iii) Any individual table (see § 1.58) if the table is more
than 50 pages in length, or if the total number of pages of all the
tables in an application exceeds 100 pages in length, where a table
page is a page printed on paper in conformance with paragraph (b) of
this section and § 1.58(c).
   (2) A compact disc as used in this part means a Compact Disc-Read
Only Memory (CD-ROM) or a Compact Disc-Recordable (CD-R) in compliance
with this paragraph. A CD-ROM is a "read-only" medium on which the
data is pressed into the disc so that it cannot be changed or erased. A
CD-R is a "write once" medium on which once the data is recorded, it
is permanent and cannot be changed or erased.
   (3)(i) Each compact disc must conform to the International
Organization for Standardization (ISO) 9660 standard, and the contents
of each compact disc must be in compliance with the American Standard
Code for Information Interchange (ASCII).
   (ii) Each compact disc must be enclosed in a hard compact disc case
within an unsealed padded and protective mailing envelope and
accompanied by a transmittal letter on paper in accordance with
paragraph (a) of this section. The transmittal letter must list for
each compact disc the machine format (e.g., IBM-PC, Macintosh), the
operating system compatibility (e.g., MS-DOS, MS-Windows, Macintosh,
Unix), a list of files contained on the compact disc including their
names, sizes in bytes, and dates of creation, plus any other special
information that is necessary to identify, maintain, and interpret
(e.g., tables in landscape orientation should be identified as
landscape orientation or be identified when inquired about) the
information on the compact disc. Compact discs submitted to the Office
will not be returned to the applicant.
   (4) Any compact disc must be submitted in duplicate unless it
contains only the "Sequence Listing" in computer readable form
required by § 1.821(e). The compact disc and duplicate copy must be
labeled "Copy 1" and "Copy 2," respectively. The transmittal letter
which accompanies the compact disc must include a statement that the
two compact discs are identical. In the event that the two compact
discs are not identical, the Office will use the compact disc labeled
"Copy 1" for further processing. Any amendment to the information on
a compact disc must be by way of a replacement compact disc in
compliance with this paragraph containing the substitute information,
and must be accompanied by a statement that the replacement compact
disc contains no new matter. The compact disc and copy must be labeled
"COPY 1 REPLACEMENT MM/DD/YYYY" (with the month, day and year of
creation indicated), and "COPY 2 REPLACEMENT MM/DD/YYYY,"
respectively.
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 97 

   (5) The specification must contain an incorporation-by-reference of
the material on the compact disc in a separate paragraph (§ 1.77(b)(5)),
identifying each compact disc by the names of the files contained on
each of the compact discs, their date of creation and their sizes in
bytes. The Office may require applicant to amend the specification to
include in the paper portion any part of the specification previously
submitted on compact disc.
   (6) A compact disc must also be labeled with the following
information:
   (i) The name of each inventor (if known);
   (ii) Title of the invention;
   (iii) The docket number, or application number if known, used by
the person filing the application to identify the application;
   (iv) A creation date of the compact disc;
   (v) If multiple compact discs are submitted, the label shall
indicate their order (e.g., "1 of X"); and
   (vi) An indication that the disc is "Copy 1" or "Copy 2" of the
submission. See paragraph (b)(4) of this section.
   (7) If a file is unreadable on both copies of the disc, the
unreadable file will be treated as not having been submitted. A file is
unreadable if, for example, it is of a format that does not comply with
the requirements of paragraph (e)(3) of this section, it is corrupted
by a computer virus, or it is written onto a defective compact disc.

* * * * *

. 17. Section 1.53 is amended by revising paragraphs (b), (c), and (f) to
read as follows:

§ 1.53  Application number, filing date, and completion of
application.

* * * * *

   (b) Application filing requirements-Nonprovisional application.
The filing date of an application for patent filed under this section,
other than an application for a design patent or a provisional
application under paragraph (c) of this section, is the date on which a
specification, with or without claims, is received in the Office. The
filing date of an application for a design patent filed under this
section, except for a continued prosecution application under paragraph
(d) of this section, is the date on which the specification as
prescribed by 35 U.S.C. 112, including at least one claim, and any
required drawings are received in the Office. No new matter may be
introduced into an application after its filing date. A continuing
application, which may be a continuation, divisional, or continuation-
in-part application, may be filed under the conditions specified in 35
U.S.C. 120, 121, or 365(c) and § 1.78(d) and (e).
   (1) A continuation or divisional application that names as
inventors the same or fewer than all of the inventors named in the
prior application may be filed under this paragraph or paragraph (d) of
this section.
   (2) A continuation-in-part application (which may disclose and
claim subject matter not disclosed in the prior application) or a
continuation or divisional application naming an inventor not named in
the prior application must be filed under this paragraph.
   (c) Application filing requirements-Provisional application. The
filing date of a provisional application is the date on which a
specification, with or without claims, is received in the Office. No
amendment, other than to make the provisional application comply with
the patent statute and all applicable regulations, may be made to the
provisional application after the filing date of the provisional
application.
   (1) A provisional application must also include the cover sheet
required by § 1.51(c)(1), which may be an application data sheet
(§ 1.76), or a cover letter identifying the application as a
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 98 

provisional application. Otherwise, the application will be treated as
an application filed under paragraph (b) of this section.
   (2) An application for patent filed under paragraph (b) of this
section may be converted to a provisional application and be accorded
the original filing date of the application filed under paragraph (b)
of this section. The grant of such a request for conversion will not
entitle applicant to a refund of the fees that were properly paid in
the application filed under paragraph (b) of this section. Such a
request for conversion must be accompanied by the processing fee set
forth in § 1.17(q) and be filed prior to the earliest of:
   (i) Abandonment of the application filed under paragraph (b) of
this section;
   (ii) Payment of the issue fee on the application filed under
paragraph (b) of this section; or
   (iii) Expiration of twelve months after the filing date of the
application filed under paragraph (b) of this section.
   (3) A provisional application filed under paragraph (c) of this
section may be converted to a nonprovisional application filed under
paragraph (b) of this section and accorded the original filing date of
the provisional application. The conversion of a provisional
application to a nonprovisional application will not result in either
the refund of any fee properly paid in the provisional application or
the application of any such fee to the filing fee, or any other fee,
for the nonprovisional application. Conversion of a provisional
application to a nonprovisional application under this paragraph will
result in the term of any patent to issue from the application being
measured from at least the filing date of the provisional application
for which conversion is requested. Thus, applicants should consider
avoiding this adverse patent term impact by filing a nonprovisional
application claiming the benefit of the provisional application under
35 U.S.C. 119(e), rather than converting the provisional application
into a nonprovisional application pursuant to this paragraph. A request
to convert a provisional application to a nonprovisional application
must be accompanied by the fee set forth in § 1.17(i) and an
amendment including at least one claim as prescribed by 35 U.S.C.
112(b), unless the provisional application under paragraph (c) of this
section otherwise contains at least one claim as prescribed by 35
U.S.C. 112(b). The nonprovisional application resulting from conversion
of a provisional application must also include the filing fee, search
fee, and examination fee for a nonprovisional application, and the
surcharge required by § 1.16(f) if either the basic filing fee for
a nonprovisional application or the inventor's oath or declaration was
not present on the filing date accorded the resulting nonprovisional
application (i.e., the filing date of the original provisional
application). A request to convert a provisional application to a
nonprovisional application must also be filed prior to the earliest of:
   (i) Abandonment of the provisional application filed under
paragraph (c) of this section; or
   (ii) Expiration of twelve months after the filing date of the
provisional application filed under paragraph (c) of this section.
   (4) A provisional application is not entitled to the right of
priority under 35 U.S.C. 119 or 365(a) or § 1.55, or to the benefit
of an earlier filing date under 35 U.S.C. 120, 121, or 365(c) or §
1.78 of any other application. No claim for priority under 35 U.S.C.
119(e) or § 1.78(a) may be made in a design application based on a
provisional application. The requirements of § 1.821 through
1.825 regarding application disclosures containing nucleotide and/or
amino acid sequences are not mandatory for provisional applications.

* * * * *

   (f) Completion of application subsequent to filing-Nonprovisional
(including continued prosecution or reissue) application. (1) If an
application which has been accorded a filing date pursuant to paragraph
(b) or (d) of this section does not include the basic filing fee,
search fee, or examination fee, or if an application which has been
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 99 

accorded a filing date pursuant to paragraph (b) of this section does
not include at least one claim or the inventor's oath or declaration
(§ 1.63, 1.64, 1.162, or 1.175), and the applicant has
provided a correspondence address (§ 1.33(a)), the applicant will
be notified and given a period of time within which to file a claim or
claims, pay the basic filing fee, search fee, and examination fee, and
pay the surcharge if required by § 1.16(f), to avoid abandonment.
   (2) If an application which has been accorded a filing date
pursuant to paragraph (b) of this section does not include the basic
filing fee, search fee, examination fee, at least one claim, or the
inventor's oath or declaration, and the applicant has not provided a
correspondence address (§ 1.33(a)), the applicant has three months
from the filing date of the application within which to file a claim or
claims, pay the basic filing fee, search fee, and examination fee, and
pay the surcharge required by § 1.16(f), to avoid abandonment.
   (3) The inventor's oath or declaration in an application under
§ 1.53(b) must also be filed within the period specified in
paragraph (f)(1) or (f)(2) of this section, except that the filing of
the inventor's oath or declaration may be postponed until the
application is otherwise in condition for allowance under the
conditions specified in paragraphs (f)(3)(i) and (f)(3)(ii) of this
section.
   (i) The application must be an original (non-reissue) application
that contains an application data sheet in accordance with § 1.76
identifying:
   (A) Each inventor by his or her legal name;
   (B) A mailing address where the inventor customarily receives mail,
and residence, if an inventor lives at a location which is different
from where the inventor customarily receives mail, for each inventor.
   (ii) The applicant must file each required oath or declaration in
compliance with § 1.63, or substitute statement in compliance with
§ 1.64, no later than the date on which the issue fee for the
patent is paid. If the applicant is notified in a notice of
allowability that an oath or declaration in compliance with § 1.63,
or substitute statement in compliance with § 1.64, executed by or
with respect to each named inventor has not been filed, the applicant
must file each required oath or declaration in compliance with § 1.63,
or substitute statement in compliance with § 1.64, no later than the
date on which the issue fee is paid to avoid abandonment. This
time period is not extendable under § 1.136 (see § 1.136(c)).
The Office may dispense with the notice provided for in paragraph
(f)(1) of this section if each required oath or declaration in
compliance with § 1.63, or substitute statement in compliance with
§ 1.64, has been filed before the application is in condition for
allowance.
   (4) If the excess claims fees required by § 1.16(h) and (i) and
multiple dependent claim fee required by § 1.16(j) are not paid on
filing or on later presentation of the claims for which the excess
claims or multiple dependent claim fees are due, the fees required by
§ 1.16(h), (i), and (j) must be paid or the claims canceled by
amendment prior to the expiration of the time period set for reply by
the Office in any notice of fee deficiency. If the application size fee
required by § 1.16(s) (if any) is not paid on filing or on later
presentation of the amendment necessitating a fee or additional fee
under § 1.16(s), the fee required by § 1.16(s) must be paid
prior to the expiration of the time period set for reply by the Office
in any notice of fee deficiency in order to avoid abandonment.
   (5) This paragraph applies to continuation or divisional
applications under paragraphs (b) or (d) of this section and to
continuation-in-part applications under paragraph (b) of this section.
See § 1.63(d) concerning the submission of a copy of the inventor's
oath or declaration from the prior application for a continuing
application under paragraph (b) of this section.
   (6) If applicant does not pay the basic filing fee during the
pendency of the application, the Office may dispose of the application.

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 100 

* * * * *

. 18. Section 1.54 is amended by revising paragraph (b) to read as
follows:

§ 1.54  Parts of application to be filed together; filing receipt.

* * * * *

   (b) Applicant will be informed of the application number and filing
date by a filing receipt, unless the application is an application
filed under § 1.53(d). A letter limited to a request for a filing
receipt may be signed by a juristic applicant or patent owner.

. 19. Section 1.55 is amended by revising paragraphs (b) through (f) and
(h) to read as follows:

§ 1.55  Claim for foreign priority.

* * * * *

   (b) Time for filing subsequent application. The nonprovisional
application must be filed not later than twelve months (six months in
the case of a design application) after the date on which the foreign
application was filed, or be entitled to claim the benefit under 35
U.S.C. 120, 121, or 365(c) of an application that was filed not later
than twelve months (six months in the case of a design application)
after the date on which the foreign application was filed, except as
provided in paragraph (c) of this section. The twelve-month period is
subject to 35 U.S.C. 21(b) (and § 1.7(a)) and PCT Rule 80.5, and
the six-month period is subject to 35 U.S.C. 21(b) (and § 1.7(a)).
   (c) Delayed filing of subsequent application. If the subsequent
application has a filing date which is after the expiration of the
period set forth in paragraph (b) of this section, but within two
months from the expiration of the period set forth in paragraph (b) of
this section, the right of priority in the subsequent application may
be restored under PCT Rule 26bis.3 for an international application, or
upon petition pursuant to this paragraph, if the delay in filing the
subsequent application within the period set forth in paragraph (b) of
this section was unintentional. A petition to restore the right of
priority under this paragraph filed in the subsequent application must
include:
   (1) The priority claim under 35 U.S.C. 119(a) through (d) or (f),
or 365(a) or (b) in an application data sheet (§ 1.76(b)(6)),
identifying the foreign application to which priority is claimed, by
specifying the application number, country (or intellectual property
authority), day, month, and year of its filing, unless previously
submitted;
   (2) The petition fee as set forth in § 1.17(m); and
   (3) A statement that the delay in filing the subsequent application
within the period set forth in paragraph (b) of this section was
unintentional. The Director may require additional information where
there is a question whether the delay was unintentional.
   (d) Time for filing priority claim-(1) Application under 35 U.S.C.
111(a). The claim for priority must be filed within the later of four
months from the actual filing date of the application or sixteen months
from the filing date of the prior foreign application in an original
application filed under 35 U.S.C. 111(a), except as provided in
paragraph (e) of this section. The claim for priority must be presented
in an application data sheet (§ 1.76(b)(6)), and must identify the
foreign application to which priority is claimed, by specifying the
application number, country (or intellectual property authority), day,
month, and year of its filing. The time period in this paragraph does
not apply in a design application.
   (2) Application under 35 U.S.C. 371. The claim for priority must be
made within the time limit set forth in the PCT and the Regulations
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 101 

under the PCT in an international application entering the national
stage under 35 U.S.C. 371, except as provided in paragraph (e) of this
section.
   (e) Delayed priority claim. Unless such claim is accepted in
accordance with the provisions of this paragraph, any claim for
priority under 35 U.S.C. 119(a) through (d) or (f), or 365(a) or (b)
not presented in the manner required by paragraph (d) of this section
within the time period provided by paragraph (d) of this section is
considered to have been waived. If a claim for priority is presented
after the time period provided by paragraph (d) of this section, the
claim may be accepted if the priority claim was unintentionally
delayed. A petition to accept a delayed claim for priority under 35
U.S.C. 119(a) through (d) or (f), or 365(a) or (b) must be accompanied
by:
   (1) The priority claim under 35 U.S.C. 119(a) through (d) or (f),
or 365(a) or (b) in an application data sheet (§ 1.76(b)(6)),
identifying the foreign application to which priority is claimed, by
specifying the application number, country (or intellectual property
authority), day, month, and year of its filing, unless previously
submitted;
   (2) A certified copy of the foreign application if required by
paragraph (f) of this section, unless previously submitted;
   (3) The petition fee as set forth in § 1.17(m); and
   (4) A statement that the entire delay between the date the priority
claim was due under paragraph (d) of this section and the date the
priority claim was filed was unintentional. The Director may require
additional information where there is a question whether the delay was
unintentional.
   (f) Time for filing certified copy of foreign application-(1)
Application under 35 U.S.C. 111(a). A certified copy of the foreign
application must be filed within the later of four months from the
actual filing date of the application or sixteen months from the filing
date of the prior foreign application in an original application filed
under 35 U.S.C. 111(a), except as provided in paragraphs (h) and (i) of
this section. The time period in this paragraph does not apply in a
design application.
   (2) Application under 35 U.S.C. 371. A certified copy of the
foreign application must be filed within the time limit set forth in
the PCT and the Regulations under the PCT in an international
application entering the national stage under 35 U.S.C. 371. If a
certified copy of the foreign application is not filed during the
international stage, a certified copy of the foreign application must
be filed within four months from the date of entry into the national
stage as set forth in § 1.491 or sixteen months from the filing
date of the prior-filed foreign application, except as provided in
paragraphs (h) and (i) of this section.
   (3) If a certified copy of the foreign application is not filed
within the time period specified paragraph (f)(1) of this section in an
application under 35 U.S.C. 111(a) or within the period specified in
paragraph (f)(2) of this section in an international application
entering the national stage under 35 U.S.C. 371, and the exceptions in
paragraphs (h) and (i) of this section are not applicable, the
certified copy of the foreign application must be accompanied by a
petition including a showing of good and sufficient cause for the delay
and the petition fee set forth in § 1.17(g).

* * * * *

   (h) Foreign intellectual property office participating in a
priority document exchange agreement. The requirement in paragraphs (f)
and (g) of this section for a certified copy of the foreign application
to be filed within the time limit set forth therein will be considered
satisfied if:
   (1) The foreign application was filed in a foreign intellectual
property office participating with the Office in a bilateral or
multilateral priority document exchange agreement (participating
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 102 

foreign intellectual property office), or a copy of the foreign
application was filed in an application subsequently filed in a
participating foreign intellectual property office that permits the
Office to obtain such a copy;
   (2) The claim for priority is presented in an application data
sheet (§ 1.76(b)(6)), identifying the foreign application for which
priority is claimed, by specifying the application number, country (or
intellectual property authority), day, month, and year of its filing,
and the applicant provides the information necessary for the
participating foreign intellectual property office to provide the
Office with access to the foreign application;
   (3) The copy of the foreign application is received by the Office
from the participating foreign intellectual property office, or a
certified copy of the foreign application is filed, within the period
specified in paragraph (g)(1) of this section; and
   (4) The applicant files a request in a separate document that the
Office obtain a copy of the foreign application from a participating
intellectual property office that permits the Office to obtain such a
copy if the foreign application was not filed in a participating
foreign intellectual property office but a copy of the foreign
application was filed in an application subsequently filed in a
participating foreign intellectual property office that permits the
Office to obtain such a copy. The request must identify the
participating intellectual property office and the subsequent
application by the application number, day, month, and year of its
filing in which a copy of the foreign application was filed. The
request must be filed within the later of sixteen months from the
filing date of the prior foreign application or four months from the
actual filing date of an application under 35 U.S.C. 111(a), within
four months from the later of the date of commencement (§ 1.491(a))
or the date of the initial submission under 35 U.S.C. 371 in an
application entering the national stage under 35 U.S.C. 371, or with a
petition under paragraph (e) of this section.

* * * * *

. 20. Section 1.57 is revised to read as follows:

§ 1.57  Incorporation by reference.

   (a) Subject to the conditions and requirements of this paragraph, a
reference made in the English language in an application data sheet in
accordance with § 1.76 upon the filing of an application under 35
U.S.C. 111(a) to a previously filed application, indicating that the
specification and any drawings of the application under 35 U.S.C.
111(a) are replaced by the reference to the previously filed
application, and specifying the previously filed application by
application number, filing date, and the intellectual property
authority or country in which the previously filed application was
filed, shall constitute the specification and any drawings of the
application under 35 U.S.C. 111(a) for purposes of a filing date under
§ 1.53(b).
   (1) If the applicant has provided a correspondence address
(§ 1.33(a)), the applicant will be notified and given a period of time
within which to file a copy of the specification and drawings from the
previously filed application, an English language translation of the
previously filed application, and the fee required by § 1.17(i) if
it is in a language other than English, and pay the surcharge required
by § 1.16(f), to avoid abandonment. Such a notice may be combined
with a notice under § 1.53(f).
   (2) If the applicant has not provided a correspondence address
(§ 1.33(a)), the applicant has three months from the filing date of
the application to file a copy of the specification and drawings from
the previously filed application, an English language translation of
the previously filed application, and the fee required by § 1.17(i)
if it is in a language other than English, and pay the surcharge
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 103 

required by § 1.16(f), to avoid abandonment.
   (3) An application abandoned under paragraph (a)(1) or (a)(2) of
this section shall be treated as having never been filed, unless:
   (i) The application is revived under § 1.137; and
   (ii) A copy of the specification and any drawings of the previously
filed application are filed in the Office.
   (4) A certified copy of the previously filed application must be
filed in the Office, unless the previously filed application is an
application filed under 35 U.S.C. 111 or 363, or the previously filed
application is a foreign priority application and the conditions set
forth in § 1.55(h) are satisfied with respect to such foreign
priority application. The certified copy of the previously filed
application, if required by this paragraph, must be filed within the
later of four months from the filing date of the application or sixteen
months from the filing date of the previously filed application, or be
accompanied by a petition including a showing of good and sufficient
cause for the delay and the petition fee set forth in § 1.17(g).
   (b) Subject to the conditions and requirements of this paragraph,
if all or a portion of the specification or drawing(s) is inadvertently
omitted from an application, but the application contains a claim under
§ 1.55 for priority of a prior-filed foreign application, or a
claim under § 1.78 for the benefit of a prior-filed provisional,
nonprovisional, or international application, that was present on the
filing date of the application, and the inadvertently omitted portion
of the specification or drawing(s) is completely contained in the
prior-filed application, the claim under § 1.55 or § 1.78 shall
also be considered an incorporation by reference of the prior-filed
application as to the inadvertently omitted portion of the
specification or drawing(s).
   (1) The application must be amended to include the inadvertently
omitted portion of the specification or drawing(s) within any time
period set by the Office, but in no case later than the close of
prosecution as defined by § 1.114(b), or abandonment of the
application, whichever occurs earlier. The applicant is also required
to:
   (i) Supply a copy of the prior-filed application, except where the
prior-filed application is an application filed under 35 U.S.C. 111;
   (ii) Supply an English language translation of any prior-filed
application that is in a language other than English; and
   (iii) Identify where the inadvertently omitted portion of the
specification or drawings can be found in the prior-filed application.
   (2) Any amendment to an international application pursuant to
paragraph (b)(1) of this section shall be effective only as to the
United States, and shall have no effect on the international filing
date of the application. In addition, no request under this section to
add the inadvertently omitted portion of the specification or drawings
in an international application designating the United States will be
acted upon by the Office prior to the entry and commencement of the
national stage (§ 1.491) or the filing of an application under 35
U.S.C. 111(a) which claims benefit of the international application.
Any omitted portion of the international application which applicant
desires to be effective as to all designated States, subject to PCT
Rule 20.8(b), must be submitted in accordance with PCT Rule 20.
   (3) If an application is not otherwise entitled to a filing date
under § 1.53(b), the amendment must be by way of a petition
pursuant to § 1.53(e) accompanied by the fee set forth in §
1.17(f).
   (c) Except as provided in paragraph (a) or (b) of this section, an
incorporation by reference must be set forth in the specification and
must:
   (1) Express a clear intent to incorporate by reference by using the
root words "incorporat(e)" and "reference" (e.g., "incorporate by
reference"); and
   (2) Clearly identify the referenced patent, application, or
publication.
   (d) "Essential material" may be incorporated by reference, but
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 104 

only by way of an incorporation by reference to a U.S. patent or U.S.
patent application publication, which patent or patent application
publication does not itself incorporate such essential material by
reference. "Essential material" is material that is necessary to:
   (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).
   (e) Other material ("Nonessential material") may be incorporated
by reference to U.S. patents, U.S. patent application publications,
foreign patents, foreign published applications, prior and concurrently
filed commonly owned U.S. applications, or non-patent publications. An
incorporation by reference by hyperlink or other form of browser
executable code is not permitted.
   (f) The examiner may require the applicant to supply a copy of the
material incorporated by reference. If the Office requires the
applicant to supply a copy of material incorporated by reference, the
material must be accompanied by a statement that the copy supplied
consists of the same material incorporated by reference in the
referencing application.
   (g) Any insertion of material incorporated by reference into the
specification or drawings of an application must be by way of an
amendment to the specification or drawings. Such an amendment must be
accompanied by a statement that the material being inserted is the
material previously incorporated by reference and that the amendment
contains no new matter.
   (h) An incorporation of material by reference that does not comply
with paragraphs (c), (d), or (e) of this section is not effective to
incorporate such material unless corrected within any time period set
by the Office, but in no case later than the close of prosecution as
defined by § 1.114(b), or abandonment of the application, whichever
occurs earlier. In addition:
   (1) A correction to comply with paragraph (c)(1) of this section is
permitted only if the application as filed clearly conveys an intent to
incorporate the material by reference. A mere reference to material
does not convey an intent to incorporate the material by reference.
   (2) A correction to comply with paragraph (c)(2) of this section is
only permitted for material that was sufficiently described to uniquely
identify the document.
   (i) An application transmittal letter limited to the transmittal of
a copy of the specification and drawings from a previously filed
application submitted under paragraph (a) or (b) of this section may be
signed by a juristic applicant or patent owner.

. 21. Section 1.58 is amended by revising paragraph (a) to read as
follows:

§ 1.58  Chemical and mathematical formulae and tables.

   (a) The specification, including the claims, may contain chemical
and mathematical formulae, but shall not contain drawings or flow
diagrams. The description portion of the specification may contain
tables, but the same tables should not be included in both the drawings
and description portion of the specification. Claims may contain tables
either if necessary to conform to 35 U.S.C. 112 or if otherwise found to
be desirable.

* * * * *
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 105 


. 22. Section 1.72 is amended by revising paragraph (b) to read as
follows:

§ 1.72  Title and abstract.

* * * * *

   (b) A brief abstract of the technical disclosure in the
specification must commence on a separate sheet, preferably following
the claims, under the heading "Abstract" or "Abstract of the
Disclosure." The sheet or sheets presenting the abstract may not
include other parts of the application or other material. The abstract
must be as concise as the disclosure permits, preferably not exceeding
150 words in length. The purpose of the abstract is to enable the
Office and the public generally to determine quickly from a cursory
inspection the nature and gist of the technical disclosure.

. 23. Section 1.76 is amended by revising paragraph (b)(3) and (d)(2) and
adding new paragraphs (f) and (g) to read as follows:

§ 1.76  Application data sheet.

* * * * *

   (b) * * *
   (3) Application information. This information includes the title of
the invention, the total number of drawing sheets, a suggested drawing
figure for publication (in a nonprovisional application), any docket
number assigned to the application, the type of application (e.g.,
utility, plant, design, reissue, provisional), whether the application
discloses any significant part of the subject matter of an application
under a secrecy order pursuant to § 5.2 of this chapter (see §
5.2(c)), and, for plant applications, the Latin name of the genus and
species of the plant claimed, as well as the variety denomination. When
information concerning the previously filed application is required
under § 1.57(a), application information also includes the
reference to the previously filed application, indicating that the
specification and any drawings of the application are replaced by the
reference to the previously filed application, and specifying the
previously filed application by application number, filing date, and
the intellectual property authority or country in which the previously
filed application was filed.

* * * * *

   (d) * * *
   (2) The information in the application data sheet will govern when
inconsistent with the information supplied at the same time by a
designation of correspondence address or the inventor's oath or
declaration. The information in the application data sheet will govern
when inconsistent with the information supplied at any time in a Patent
Cooperation Treaty Request Form, Patent Law Treaty Model International
Request Form, Patent Law Treaty Model International Request for
Recordation of Change in Name or Address Form, or Patent Law Treaty
Model International Request for Recordation of Change in Applicant or
Owner Form.

* * * * *

   (f) Patent Law Treaty Model International Forms. The requirement in
§ 1.55 or § 1.78 for the presentation of a priority or benefit
claim under 35 U.S.C. 119, 120, 121, or 365 in an application data
sheet will be satisfied by the presentation of such priority or benefit
claim in the Patent Law Treaty Model International Request Form, and
the requirement in § 1.57(a) for a reference to the previously
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 106 

filed application in an application data sheet will be satisfied by the
presentation of such reference to the previously filed application in
the Patent Law Treaty Model International Request Form. The requirement
in § 1.46 for the presentation of the name of the applicant under
35 U.S.C. 118 in an application data sheet will be satisfied by the
presentation of the name of the applicant in the Patent Law Treaty
Model International Request Form, Patent Law Treaty Model International
Request for Recordation of Change in Name or Address Form, or Patent
Law Treaty Model International Request for Recordation of Change in
Applicant or Owner Form, as applicable.
   (g) Patent Cooperation Treaty Request Form. The requirement in
§ 1.78 for the presentation of a benefit claim under 35 U.S.C. 119,
120, 121, or 365 in an application data sheet will be satisfied in a
national stage application under 35 U.S.C. 371 by the presentation of
such benefit claim in the Patent Cooperation Treaty Request Form
contained in the international application or the presence of such
benefit claim on the front page of the publication of the international
application under PCT Article 21(2). The requirement in § 1.55 or
§ 1.78 for the presentation of a priority or benefit claim under 35
U.S.C. 119, 120, 121, or 365 in an application data sheet and the
requirement in § 1.46 for the presentation of the name of the
applicant under 35 U.S.C. 118 in an application data sheet will be
satisfied in an application under 35 U.S.C. 111 by the presentation of
such priority or benefit claim and presentation of the name of the
applicant in a Patent Cooperation Treaty Request Form. If a Patent
Cooperation Treaty Request Form is submitted in an application under 35
U.S.C. 111, the Patent Cooperation Treaty Request Form must be
accompanied by a clear indication that treatment of the application as
an application under 35 U.S.C. 111 is desired.

. 24. Section 1.78 is revised to read as follows:

§ 1.78  Claiming benefit of earlier filing date and cross-
references to other applications.

   (a) Claims under 35 U.S.C. 119(e) for the benefit of a prior-filed
provisional application. An applicant in a nonprovisional application,
other than for a design patent, or an international application
designating the United States of America may claim the benefit of one
or more prior-filed provisional applications under the conditions set
forth in 35 U.S.C. 119(e) and this section.
   (1) Except as provided in paragraph (b) of this section, the
nonprovisional application or international application designating the
United States of America must be filed not later than twelve months
after the date on which the provisional application was filed, or be
entitled to claim the benefit under 35 U.S.C. 120, 121, or 365(c) of an
application that was filed not later than twelve months after the date
on which the provisional application was filed. This twelve-month
period is subject to 35 U.S.C. 21(b) (and § 1.7(a)) and PCT Rule
80.5.
   (2) Each prior-filed provisional application must name the inventor
or a joint inventor named in the later-filed application as the
inventor or a joint inventor. 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 have been paid for
such provisional application within the time period set forth in § 1.53(g).
   (3) Any nonprovisional application or international application
designating the United States of America that claims the benefit of one
or more prior-filed provisional applications must contain, or be
amended to contain, a reference to each such prior-filed provisional
application, identifying it by the provisional application number
(consisting of series code and serial number). If the later-filed
application is a nonprovisional application, the reference required by this
paragraph must be included in an application data sheet (§ 1.76(b)(5)).
   (4) The reference required by paragraph (a)(3) of this section must
be submitted during the pendency of the later-filed application. If the
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later-filed application is an application filed under 35 U.S.C. 111(a),
this reference must also be submitted within the later of four months
from the actual filing date of the later-filed application or sixteen
months from the filing date of the prior-filed provisional application.
If the later-filed application is a national stage application under 35
U.S.C. 371, this reference must also be submitted within the later of
four months from the date on which the national stage commenced under
35 U.S.C. 371(b) or (f), four months from the date of the initial
submission under 35 U.S.C. 371 to enter the national stage, or sixteen
months from the filing date of the prior-filed provisional application.
Except as provided in paragraph (c) of this section, failure to timely
submit the reference is considered a waiver of any benefit under 35
U.S.C. 119(e) of the prior-filed provisional application.
   (5) If the prior-filed provisional application was filed in a
language other than English and both an English-language translation of
the prior-filed provisional application and a statement that the
translation is accurate were not previously filed in the prior-filed
provisional application, the applicant will be notified and given a
period of time within which to file, in the prior-filed provisional
application, the translation and the statement. If the notice is mailed
in a pending nonprovisional application, a timely reply to such a
notice must include the filing in the nonprovisional application of
either a confirmation that the translation and statement were filed in
the provisional application, or an application data sheet eliminating
the reference under paragraph (a)(3) of this section to the prior-filed
provisional application, or the nonprovisional application will be
abandoned. The translation and statement may be filed in the
provisional application, even if the provisional application has become
abandoned.
   (6) If a nonprovisional application filed on or after March 16,
2013, claims the benefit of the filing date of a provisional
application filed prior to March 16, 2013, and also contains, or
contained at any time, a claim to a claimed invention that has an
effective filing date on or after March 16, 2013, the applicant must
provide a statement to that effect within the later of four months from
the actual filing date of the nonprovisional application, four months
from the date of entry into the national stage as set forth in
§ 1.491 in an international application, sixteen months from the filing
date of the prior-filed provisional application, or the date that a
first claim to a claimed invention that has an effective filing date on
or after March 16, 2013, is presented in the nonprovisional
application. An applicant is not required to provide such a statement
if the applicant reasonably believes on the basis of information
already known to the individuals designated in § 1.56(c) that the
nonprovisional application does not, and did not at any time, contain a
claim to a claimed invention that has an effective filing date on or
after March 16, 2013.
   (b) Delayed filing of the nonprovisional application or
international application designating the United States of America. If
the nonprovisional application or international application designating
the United States of America has a filing date which is after the
expiration of the twelve-month period set forth in paragraph (a)(1) of
this section but within two months from the expiration of the period
set forth in paragraph (a)(1) of this section, the benefit of the
provisional application may be restored under PCT Rule 26bis.3 for an
international application, or upon petition pursuant to this paragraph,
if the delay in filing the nonprovisional application or international
application designating the United States of America within the period
set forth in paragraph (a)(1) of this section was unintentional.
   (1) A petition to restore the benefit of the provisional
application under this paragraph filed in the nonprovisional
application or international application designating the United States
of America must include:
   (i) The reference required by 35 U.S.C. 119(e) and paragraph (a)(3)
of this section to the prior-filed provisional application, unless
previously submitted;
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   (ii) The petition fee as set forth in § 1.17(m); and
   (iii) A statement that the delay in filing the nonprovisional
application or international application designating the United States
of America within the twelve-month period set forth in paragraph (a)(1)
of this section was unintentional. The Director may require additional
information where there is a question whether the delay was
unintentional.
   (2) The restoration of the right of priority under PCT Rule 26bis.3
to a provisional application does not affect the requirement to include
the reference required by paragraph (a)(3) of this section to the
provisional application in a national stage application under 35 U.S.C.
371 within the time period provided by paragraph (a)(4) of this section
to avoid the benefit claim being considered waived.
   (c) Delayed claims under 35 U.S.C. 119(e) for the benefit of a
prior-filed provisional application. If the reference required by 35
U.S.C. 119(e) and paragraph (a)(3) of this section is presented in an
application after the time period provided by paragraph (a)(4) of this
section, the claim under 35 U.S.C. 119(e) for the benefit of a prior-
filed provisional application may be accepted if the reference
identifying the prior-filed application by provisional application
number was unintentionally delayed. A petition to accept an
unintentionally delayed claim under 35 U.S.C. 119(e) for the benefit of
a prior-filed provisional application must be accompanied by:
   (1) The reference required by 35 U.S.C. 119(e) and paragraph (a)(3)
of this section to the prior-filed provisional application, unless
previously submitted;
   (2) The petition fee as set forth in § 1.17(m); and
   (3) A statement that the entire delay between the date the benefit
claim was due under paragraph (a)(4) of this section and the date the
benefit claim was filed was unintentional. The Director may require
additional information where there is a question whether the delay was
unintentional.
   (d) Claims under 35 U.S.C. 120, 121, or 365(c) for the benefit of a
prior-filed nonprovisional or international application. An applicant
in a nonprovisional application (including an international application
entering the national stage under 35 U.S.C. 371) or an international
application designating the United States of America may claim the
benefit of one or more prior-filed copending nonprovisional
applications or international applications designating the United
States of America under the conditions set forth in 35 U.S.C. 120, 121,
or 365(c) and this section.
   (1) Each prior-filed application must name the inventor or a joint
inventor named in the later-filed application as the inventor or a
joint inventor. In addition, each prior-filed application must either
be:
   (i) An international application entitled to a filing date in
accordance with PCT Article 11 and designating the United States of
America; or
   (ii) A nonprovisional application under 35 U.S.C. 111(a) that is
entitled to a filing date as set forth in § 1.53(b) or §
1.53(d) for which the basic filing fee set forth in § 1.16 has been
paid within the pendency of the application.
   (2) Except for a continued prosecution application filed under
§ 1.53(d), any nonprovisional application, or international
application designating the United States of America, that claims the
benefit of one or more prior-filed nonprovisional applications or
international applications designating the United States of America
must contain or be amended to contain a reference to each such prior-
filed application, identifying it by application number (consisting of
the series code and serial number) or international application number
and international filing date. If the later-filed application is a
nonprovisional application, the reference required by this paragraph
must be included in an application data sheet (§ 1.76(b)(5)). The
reference also must identify the relationship of the applications,
namely, whether the later-filed application is a continuation,
divisional, or continuation-in-part of the prior-filed nonprovisional
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 109 

application or international application.
   (3) The reference required by 35 U.S.C. 120 and paragraph (d)(2) of
this section must be submitted during the pendency of the later-filed
application. If the later-filed application is an application filed
under 35 U.S.C. 111(a), this reference must also be submitted within
the later of four months from the actual filing date of the later-filed
application or sixteen months from the filing date of the prior-filed
application. If the later-filed application is a nonprovisional
application entering the national stage from an international
application under 35 U.S.C. 371, this reference must also be submitted
within the later of four months from the date on which the national
stage commenced under 35 U.S.C. 371(b) or (f) in the later-filed
international application, four months from the date of the initial
submission under 35 U.S.C. 371 to enter the national stage, or sixteen
months from the filing date of the prior-filed application. Except as
provided in paragraph (e) of this section, failure to timely submit the
reference required by 35 U.S.C. 120 and paragraph (d)(2) of this
section is considered a waiver of any benefit under 35 U.S.C. 120, 121,
or 365(c) to the prior-filed application. The time periods in this
paragraph do not apply in a design application.
   (4) The request for a continued prosecution application under § 1.53(d)
is the specific reference required by 35 U.S.C. 120 to the prior-filed
application. The identification of an application by application number
under this section is the identification of every application assigned
that application number necessary for a specific reference required by 35
U.S.C. 120 to every such application assigned that application number.
   (5) Cross-references to other related applications may be made when
appropriate (see § 1.14), but cross-references to applications for
which a benefit is not claimed under title 35, United States Code, must
not be included in an application data sheet (§ 1.76(b)(5)).
   (6) If a nonprovisional application filed on or after March 16,
2013, claims the benefit of the filing date of a nonprovisional
application or an international application designating the United
States of America filed prior to March 16, 2013, and also contains, or
contained at any time, a claim to a claimed invention that has an
effective filing date on or after March 16, 2013, the applicant must
provide a statement to that effect within the later of four months from
the actual filing date of the later-filed application, four months from
the date of entry into the national stage as set forth in § 1.491
in an international application, sixteen months from the filing date of
the prior-filed application, or the date that a first claim to a
claimed invention that has an effective filing date on or after March
16, 2013, is presented in the later-filed application. An applicant is
not required to provide such a statement if either:
   (i) The application claims the benefit of a nonprovisional
application in which a statement under § 1.55(j), paragraph (a)(6)
of this section, or this paragraph that the application contains, or
contained at any time, a claim to a claimed invention that has an
effective filing date on or after March 16, 2013 has been filed; or
   (ii) The applicant reasonably believes on the basis of information
already known to the individuals designated in § 1.56(c) that the
later filed application does not, and did not at any time, contain a
claim to a claimed invention that has an effective filing date on or
after March 16, 2013.
   (e) Delayed claims under 35 U.S.C. 120, 121, or 365(c) for the
benefit of a prior-filed nonprovisional application or international
application. If the reference required by 35 U.S.C. 120 and paragraph
(d)(2) of this section is presented after the time period provided by
paragraph (d)(3) of this section, the claim under 35 U.S.C. 120, 121,
or 365(c) for the benefit of a prior-filed copending nonprovisional
application or international application designating the United States
of America may be accepted if the reference identifying the prior-filed
application by application number or international application number
and international filing date was unintentionally delayed. A petition
to accept an unintentionally delayed claim under 35 U.S.C. 120, 121, or
365(c) for the benefit of a prior-filed application must be accompanied
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by:
   (1) The reference required by 35 U.S.C. 120 and paragraph (d)(2) of
this section to the prior-filed application, unless previously
submitted;
   (2) The petition fee as set forth in § 1.17(m); and
   (3) A statement that the entire delay between the date the benefit
claim was due under paragraph (d)(3) of this section and the date the
benefit claim was filed was unintentional. The Director may require
additional information where there is a question whether the delay was
unintentional.
   (f) Applications containing patentably indistinct claims. Where two
or more applications filed by the same applicant contain patentably
indistinct claims, elimination of such claims from all but one
application may be required in the absence of good and sufficient
reason for their retention during pendency in more than one
application.
   (g) Applications or patents under reexamination naming different
inventors and containing patentably indistinct claims. If an
application or a patent under reexamination and at least one other
application naming different inventors are owned by the same person and
contain patentably indistinct claims, and there is no statement of
record indicating that the claimed inventions were commonly owned or
subject to an obligation of assignment to the same person on the
effective filing date (as defined in § 1.109), or on the date of
the invention, as applicable, of the later claimed invention, the
Office may require the applicant to state whether the claimed
inventions were commonly owned or subject to an obligation of
assignment to the same person on such date. Even if the claimed
inventions were commonly owned, or subject to an obligation of
assignment to the same person on the effective filing date (as defined
in § 1.109), or on the date of the invention, as applicable, of the
later claimed invention, the patentably indistinct claims may be
rejected under the doctrine of double patenting in view of such
commonly owned or assigned applications or patents under reexamination.
   (h) Time periods not extendable. The time periods set forth in this
section are not extendable.

. 25. Section 1.81 is amended by revising paragraph (a) to read as
follows:

§ 1.81  Drawings required in patent application.

   (a) The applicant for a patent is required to furnish a drawing of
the invention where necessary for the understanding of the subject matter
sought to be patented. Since corrections are the responsibility of the
applicant, the original drawing(s) should be retained by the applicant
for any necessary future correction.

* * * * *

. 26. Section 1.83 is amended by revising paragraph (a) to read as
follows:

§ 1.83  Content of drawing.

   (a) The drawing in a nonprovisional application must show every
feature of the invention specified in the claims. However, conventional
features disclosed in the description and claims, where their detailed
illustration is not essential for a proper understanding of the
invention, should be illustrated in the drawing in the form of a
graphical drawing symbol or a labeled representation (e.g., a labeled
rectangular box). In addition, tables that are included in the
specification and sequences that are included in sequence listings
should not be duplicated in the drawings.

* * * * *
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. 27. Section 1.85 is amended by revising paragraph (c) to read as
follows:

§ 1.85  Corrections to drawings.

* * * * *

   (c) If a corrected drawing is required or if a drawing does not
comply with § 1.84 at or after the time an application is allowed,
the Office may notify the applicant in a notice of allowability and set
a three-month period of time from the mailing date of the notice of
allowability within which the applicant must file a corrected drawing
in compliance with § 1.84 to avoid abandonment. This time period is
not extendable under § 1.136 (see § 1.136(c)).

. 28. Section 1.131 is amended by revising paragraph (a) to read as
follows:

§ 1.131  Affidavit or declaration of prior invention or to
disqualify commonly owned patent or published application as prior art.

   (a) When any claim of an application or a patent under
reexamination is rejected, the applicant or patent owner may submit an
appropriate oath or declaration to establish invention of the subject
matter of the rejected claim prior to the effective date of the
reference or activity on which the rejection is based. The effective
date of a U.S. patent, U.S. patent application publication, or
international application publication under PCT Article 21(2) is the
earlier of its publication date or the date that it is effective as a
reference under 35 U.S.C. 102(e) as in effect on March 15, 2013. Prior
invention may not be established under this section in any country
other than the United States, a NAFTA country, or a WTO member country.
Prior invention may not be established under this section before
December 8, 1993, in a NAFTA country other than the United States, or
before January 1, 1996, in a WTO member country other than a NAFTA
country. Prior invention may not be established under this section if
either:
   (1) The rejection is based upon a U.S. patent or U.S. patent
application publication of a pending or patented application naming
another inventor which claims interfering subject matter as defined in
§ 41.203(a) of this chapter, in which case an applicant may suggest
an interference pursuant to § 41.202(a) of this chapter; or
   (2) The rejection is based upon a statutory bar.

* * * * *

. 29. Section 1.136 is amended by revising paragraphs (a)(1)(iv), (a)(2),
and (b), and by adding paragraph (d), 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 § 41.50 or § 41.52 of this chapter or to
§ 90.3 of this chapter; or

* * * * *

   (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
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 112 

an extension of time under paragraph (b) of this section when the
provisions of paragraph (a) of this section are available.

* * * * *

   (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. Any request under this paragraph must be
accompanied by the petition fee set forth in § 1.17(g).

* * * * *

   (d) See § 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 chapter for extensions of time in contested cases before the
Patent Trial and Appeal Board; § 42.5(c) of this chapter for
extensions of time in trials before the Patent Trial and Appeal Board;
and § 90.3 of this chapter for extensions of time to appeal to the
U.S. Court of Appeals for the Federal Circuit or to commence a civil
action.

. 30. Section 1.137 is revised to read as follows:

§ 1.137  Revival of abandoned application, or terminated or limited
reexamination prosecution.

   (a) Revival on the basis of unintentional delay. If the delay in
reply by applicant or patent owner was unintentional, a petition may be
filed pursuant to this section to revive an abandoned application or a
reexamination prosecution terminated under § 1.550(d) or § 1.957(b) or
limited under § 1.957(c).
   (b) Petition requirements. A grantable petition pursuant to this
section must be accompanied by:
   (1) The reply required to the outstanding Office action or notice,
unless previously filed;
   (2) The petition fee as set forth in § 1.17(m);
   (3) Any terminal disclaimer (and fee as set forth in § 1.20(d))
required pursuant to paragraph (d) of this section; and
   (4) A statement that the entire delay in filing the required reply
from the due date for the reply until the filing of a grantable
petition pursuant to this section was unintentional. The Director may
require additional information where there is a question whether the
delay was unintentional.
   (c) Reply. In an application abandoned under § 1.57(a), the
reply must include a copy of the specification and any drawings of the
previously filed application. In an application or patent abandoned for
failure to pay the issue fee or any portion thereof, the required reply
must include payment of the issue fee or any outstanding balance. In an
application abandoned for failure to pay the publication fee, the
required reply must include payment of the publication fee. In a
nonprovisional application abandoned for failure to prosecute, the
required reply may be met by the filing of a continuing application. In a
nonprovisional utility or plant application filed on or after June 8,
1995, abandoned after the close of prosecution as defined in §
1.114(b), the required reply may also be met by the filing of a request
for continued examination in compliance with § 1.114.
   (d) Terminal disclaimer. (1) Any petition to revive pursuant to
this section in a design application must be accompanied by a terminal
disclaimer and fee as set forth in § 1.321 dedicating to the public
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 113 

a terminal part of the term of any patent granted thereon equivalent to
the period of abandonment of the application. Any petition to revive
pursuant to this section in either a utility or plant application filed
before June 8, 1995, must be accompanied by a terminal disclaimer and
fee as set forth in § 1.321 dedicating to the public a terminal
part of the term of any patent granted thereon equivalent to the lesser
of:
   (i) The period of abandonment of the application; or
   (ii) The period extending beyond twenty years from the date on
which the application for the patent was filed in the United States or,
if the application contains a specific reference to an earlier filed
application(s) under 35 U.S.C. 120, 121, or 365(c), from the date on
which the earliest such application was filed.
   (2) Any terminal disclaimer pursuant to paragraph (d)(1) of this
section must also apply to any patent granted on a continuing utility
or plant application filed before June 8, 1995, or a continuing design
application, that contains a specific reference under 35 U.S.C. 120,
121, or 365(c) to the application for which revival is sought.
   (3) The provisions of paragraph (d)(1) of this section do not apply
to applications for which revival is sought solely for purposes of
copendency with a utility or plant application filed on or after June
8, 1995, to reissue applications, or to reexamination proceedings.
   (e) Request for reconsideration. Any request for reconsideration or
review of a decision refusing to revive an abandoned application, or a
terminated or limited reexamination prosecution, upon petition filed
pursuant to this section, to be considered timely, must be filed within
two months of the decision refusing to revive or within such time as
set in the decision. Unless a decision indicates otherwise, this time
period may be extended under:
   (1) The provisions of § 1.136 for an abandoned application;
   (2) The provisions of § 1.550(c) for a terminated ex parte
reexamination prosecution, where the ex parte reexamination was filed
under § 1.510; or
   (3) The provisions of § 1.956 for a terminated inter partes
reexamination prosecution or an inter partes reexamination limited as
to further prosecution, where the inter partes reexamination was filed
under § 1.913.
   (f) Abandonment for failure to notify the Office of a foreign
filing. A nonprovisional application abandoned pursuant to 35 U.S.C.
122(b)(2)(B)(iii) for failure to timely notify the Office of the filing
of an application in a foreign country or under a multinational treaty
that requires publication of applications eighteen months after filing,
may be revived pursuant to this section. The reply requirement of
paragraph (c) of this section is met by the notification of such filing
in a foreign country or under a multinational treaty, but the filing of
a petition under this section will not operate to stay any period for
reply that may be running against the application.
   (g) Provisional applications. A provisional application, abandoned
for failure to timely respond to an Office requirement, may be revived
pursuant to this section. Subject to the provisions of 35 U.S.C.
119(e)(3) and § 1.7(b), a provisional application will not be
regarded as pending after twelve months from its filing date under any
circumstances.

. 31. Section 1.138 is amended by revising paragraph (b) to read as
follows:

§ 1.138  Express abandonment.

* * * * *

   (b) A written declaration of abandonment must be signed by a party
authorized under § 1.33(b)(1) or (b)(3) to sign a paper in the
application, except as otherwise provided in this paragraph. A
registered attorney or agent, not of record, who acts in a
representative capacity under the provisions of § 1.34 when filing
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 114 

a continuing application, may expressly abandon the prior application
as of the filing date granted to the continuing application.

* * * * *

. 32. Section 1.197 is revised to read as follows:

§ 1.197  Termination of proceedings.

   (a) Proceedings on an application are considered terminated by the
dismissal of an appeal or the failure to timely file an appeal to the
court or a civil action (§ 1.304) except:
   (1) Where claims stand allowed in an application; or
   (2) Where the nature of the decision requires further action by the
examiner.
   (b) The date of termination of proceedings on an application is the
date on which the appeal is dismissed or the date on which the time for
appeal to the U.S. Court of Appeals for the Federal Circuit or review
by civil action (§ 90.3 of this chapter) expires in the absence of
further appeal or review. If an appeal to the U.S. Court of Appeals for
the Federal Circuit or a civil action has been filed, proceedings on an
application are considered terminated when the appeal or civil action
is terminated. A civil action is terminated when the time to appeal the
judgment expires. An appeal to the U.S. Court of Appeals for the
Federal Circuit, whether from a decision of the Board or a judgment in
a civil action, is terminated when the mandate is issued by the Court.

. 33. Section 1.290 is amended by revising paragraph (f) to read as
follows:

§ 1.290  Submissions by third parties in applications.

* * * * *

   (f) Any third-party submission under this section must be
accompanied by the fee set forth in § 1.17(o) for every ten items
or fraction thereof identified in the document list.

* * * * *

. 34. Section 1.311 is amended by revising paragraph (a) to read as
follows:

§ 1.311  Notice of allowance.

   (a) If, on examination, it appears that the applicant is entitled
to a patent under the law, a notice of allowance will be sent to the
applicant at the correspondence address indicated in § 1.33. The
notice of allowance shall specify a sum constituting the issue fee and
any required publication fee (§ 1.211(e)), which issue fee and any
required publication fee must both be paid within three months from the
date of mailing of the notice of allowance to avoid abandonment of the
application. This three-month period is not extendable.

* * * * *

§ 1.317  [Removed and Reserved]

. 35. Section 1.317 is removed and reserved.

. 36. Section 1.366 is amended by revising paragraphs (a) and (b) to read
as follows:

§ 1.366  Submission of maintenance fees.

   (a) The patentee may pay maintenance fees and any necessary
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 115 

surcharges, or any person or organization may pay maintenance fees and
any necessary surcharges on behalf of a patentee. A maintenance fee
transmittal letter may be signed by a juristic applicant or patent
owner. A patentee need not file authorization to enable any person or
organization to pay maintenance fees and any necessary surcharges on
behalf of the patentee.
   (b) A maintenance fee and any necessary surcharge submitted for a
patent must be submitted in the amount due on the date the maintenance
fee and any necessary surcharge are paid. A maintenance fee or
surcharge may be paid in the manner set forth in § 1.23 or by an
authorization to charge a deposit account established pursuant to
§ 1.25. Payment of a maintenance fee and any necessary surcharge or the
authorization to charge a deposit account must be submitted within the
periods set forth in § 1.362 (d), (e), or (f). Any payment or
authorization of maintenance fees and surcharges filed at any other
time will not be accepted and will not serve as a payment of the
maintenance fee except insofar as a delayed payment of the maintenance
fee is accepted by the Director in an expired patent pursuant to a
petition filed under § 1.378. Any authorization to charge a deposit
account must authorize the immediate charging of the maintenance fee
and any necessary surcharge to the deposit account. Payment of less
than the required amount, payment in a manner other than that set forth
in § 1.23, or in the filing of an authorization to charge a deposit
account having insufficient funds will not constitute payment of a
maintenance fee or surcharge on a patent. The procedures set forth in
§ 1.8 or § 1.10 may be utilized in paying maintenance fees and
any necessary surcharges.

* * * * *

. 37. Section 1.378 is revised to read as follows:

§ 1.378  Acceptance of delayed payment of maintenance fee in
expired patent to reinstate patent.

   (a) The Director may accept the payment of any maintenance fee due
on a patent after expiration of the patent if, upon petition, the delay
in payment of the maintenance fee is shown to the satisfaction of the
Director to have been unintentional. If the Director accepts payment of
the maintenance fee upon petition, the patent shall be considered as
not having expired, but will be subject to the conditions set forth in
35 U.S.C. 41(c)(2).
   (b) Any petition to accept an unintentionally delayed payment of a
maintenance fee must include:
   (1) The required maintenance fee set forth in § 1.20(e) through
(g);
   (2) The petition fee as set forth in § 1.17(m); and
   (3) A statement that the delay in payment of the maintenance fee
was unintentional. The Director may require additional information
where there is a question whether the delay was unintentional.
   (c) Any petition under this section must be signed in compliance
with § 1.33(b).
   (d) Reconsideration of a decision refusing to accept a delayed
maintenance fee may be obtained by filing a petition for
reconsideration within two months of the decision, or such other time
as set in the decision refusing to accept the delayed payment of the
maintenance fee.
   (e) If the delayed payment of the maintenance fee is not accepted,
the maintenance fee will be refunded following the decision on the
petition for reconsideration, or after the expiration of the time for
filing such a petition for reconsideration, if none is filed.

. 38. Section 1.452 is amended by removing paragraph (d) and revising
paragraph (b)(2) to read as follows:

§ 1.452  Restoration of right of priority.
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 116 


* * * * *

   (b) * * *
   (2) The petition fee as set forth in § 1.17(m); and

* * * * *

. 39. Section 1.495 is amended by revising paragraph (c)(3)(ii) to read
as follows:

§ 1.495  Entering the national stage in the United States of
America.

* * * * *

   (c) * * *
   (3) * * *
   (ii) The applicant must file each required oath or declaration in
compliance with § 1.63, or substitute statement in compliance with
§ 1.64, no later than the date on which the issue fee for the
patent is paid. If the applicant is notified in a notice of
allowability that an oath or declaration in compliance with § 1.63,
or substitute statement in compliance with § 1.64, executed by or
with respect to each named inventor has not been filed, the applicant
must file each required oath or declaration in compliance with
§ 1.63, or substitute statement in compliance with § 1.64, no later
than the date on which the issue fee is paid to avoid abandonment. This
time period is not extendable under § 1.136 (see § 1.136(c)).
The Office may dispense with the notice provided for in paragraph
(c)(1) of this section if each required oath or declaration in
compliance with § 1.63, or substitute statement in compliance with
§ 1.64, has been filed before the application is in condition for
allowance.

* * * * *

. 40. Section 1.550 is amended by revising paragraphs (c) and (e) to read
as follows:

§ 1.550  Conduct of ex parte reexamination proceedings.

* * * * *

   (c) The time for taking any action by a patent owner in an ex parte
reexamination proceeding may be extended as provided in this paragraph.
   (1) Any request for such an extension must specify the requested
period of extension and be accompanied by the petition fee set forth in
§ 1.17(g).
   (2) Any request for an extension in a third party requested ex
parte reexamination must be filed on or before the day on which action
by the patent owner is due, and the mere filing of such a request for
extension will not effect the extension. A request for an extension in
a third party requested ex parte reexamination will not be granted in
the absence of sufficient cause or for more than a reasonable time.
   (3) Any request for an extension in a patent owner requested or
Director ordered ex parte reexamination for up to two months from the
time period set in the Office action must be filed no later than two
months from the expiration of the time period set in the Office action.
A request for an extension in a patent owner requested or Director
ordered ex parte reexamination for more than two months from the time
period set in the Office action must be filed on or before the day on
which action by the patent owner is due, and the mere filing of a
request for an extension for more than two months from the time period
set in the Office action will not effect the extension. The time for
taking action in a patent owner requested or Director ordered ex parte
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 117 

reexamination will not be extended for more than two months from the
time period set in the Office action in the absence of sufficient cause
or for more than a reasonable time.
   (4) The reply or other action must in any event be filed prior to
the expiration of the period of extension, but in no situation may a
reply or other action be filed later than the maximum time period set
by statute.
   (5) See § 90.3(c) of this title for extensions of time for
filing a notice of appeal to the U.S. Court of Appeals for the Federal
Circuit or for commencing a civil action.

* * * * *

   (e) If a response by the patent owner is not timely filed in the
Office, a petition may be filed pursuant to § 1.137
to revive a reexamination prosecution terminated under paragraph (d) of
this section if the delay in response was unintentional.

* * * * *

. 41. Section 1.704 is amended by revising paragraphs (c)(11) and
(c)(12), and adding new paragraphs (c)(13) and (f) to read as follows:

§ 1.704  Reduction of period of adjustment of patent term.

* * * * *

   (c) * * *
   (11) Failure to file an appeal brief in compliance with § 41.37
of this chapter within three months from the date on which a notice of
appeal to the Patent Trial and Appeal Board was filed under 35 U.S.C.
134 and § 41.31 of this chapter, in which case the period of
adjustment set forth in § 1.703 shall be reduced by the number of
days, if any, beginning on the day after the date three months from the
date on which a notice of appeal to the Patent Trial and Appeal Board
was filed under 35 U.S.C. 134 and § 41.31 of this chapter, and
ending on the date an appeal brief in compliance with § 41.37 of
this chapter or a request for continued examination in compliance with
§ 1.114 was filed;
   (12) Failure to provide an application in condition for examination
as defined in paragraph (f) of this section within eight months from
either the date on which the application was filed under 35 U.S.C.
111(a) or the date of commencement of the national stage under 35
U.S.C. 371(b) or (f) in an international application, in which case the
period of adjustment set forth in § 1.703 shall be reduced by the
number of days, if any, beginning on the day after the date that is
eight months from either the date on which the application was filed
under 35 U.S.C. 111(a) or the date of commencement of the national
stage under 35 U.S.C. 371(b) or (f) in an international application and
ending on the date the application is in condition for examination as
defined in paragraph (f) of this section; and
   (13) Further prosecution via a continuing application, in which
case the period of adjustment set forth in § 1.703 shall not
include any period that is prior to the actual filing date of the
application that resulted in the patent.

* * * * *

   (f) An application filed under 35 U.S.C. 111(a) is in condition for
examination when the application includes a specification, including at
least one claim and an abstract (§ 1.72(b)), and has papers in
compliance with § 1.52, drawings (if any) in compliance with § 1.84, any
English translation required by § 1.52(d) or § 1.57(a), a sequence
listing in compliance with § 1.821 through § 1.825 (if applicable), the
inventor's oath or declaration or an application data sheet containing
the information specified in § 1.63(b), the basic filing fee (§ 1.16(a) or
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 118 

§ 1.16(c)), the search fee (§ 1.16(k) or § 1.16(m)), the examination fee
(§ 1.16(o) or § 1.16(q)), any certified copy of the previously filed
application required by § 1.57(a), and any application size fee required
by the Office under § 1.16(s). An international application is in condition
for examination when the application has entered the national stage as
defined in § 1.491(b), and includes a specification, including at least one
claim and an abstract (§ 1.72(b)), and has papers in compliance with
§ 1.52, drawings (if any) in compliance with § 1.84, a sequence listing in
compliance with § 1.821 through § 1.825 (if applicable), the inventor's
oath or declaration or an application data sheet containing the
information specified in § 1.63(b), the search fee (§ 1.492(b)), the
examination fee (§ 1.492(c)), and any application size fee required by the
Office under § 1.492(j). An application shall be considered as having
papers in compliance with § 1.52, drawings (if any) in compliance with
§ 1.84, and a sequence listing in compliance with § 1.821 through § 1.825
(if applicable) for purposes of this paragraph on the filing date of the
latest reply (if any) correcting the papers, drawings, or sequence listing
that is prior to 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.

. 42. Section 1.809 is amended by revising paragraph (c) to read as
follows:

§ 1.809  Examination procedures.

* * * * *

   (c) If an application for patent is otherwise in condition for
allowance except for a needed deposit and the Office has received a
written assurance that an acceptable deposit will be made, the Office
may notify the applicant in a notice of allowability and set a three-
month period of time from the mailing date of the notice of
allowability within which the deposit must be made in order to avoid
abandonment. This time period is not extendable under § 1.136 (see
§ 1.136(c)).

* * * * *

. 3. Section 1.958 is revised to read as follows:

§ 1.958  Petition to revive inter partes reexamination prosecution
terminated for lack of patent owner response.

   If a response by the patent owner is not timely filed in the
Office, a petition may be filed pursuant to § 1.137 to revive a
reexamination prosecution terminated under § 1.957(b) or limited
under § 1.957(c) if the delay in response was unintentional.

PART 3-ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE

. 44. The authority citation for part 3 continues to read as follows:

   Authority: 15 U.S.C. 1123; 35 U.S.C. 2(b)(2).

. 45. Section 3.11 is amended by revising paragraph (a) to read as
follows:

§ 3.11  Documents which will be recorded.

   (a) Assignments of applications, patents, and registrations, and
other documents relating to interests in patent applications and
patents, accompanied by completed cover sheets as specified in § 3.28
and § 3.31, will be recorded in the Office. Other documents, accompanied
by completed cover sheets as specified in § 3.28 and § 3.31, affecting
title to applications, patents, or registrations, will be recorded as
provided in this part or at the discretion of the Director.
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 119 


* * * * *

. 46. Section 3.31 is amended by revising paragraph (h) to read as
follows:

§ 3.31  Cover sheet content.

* * * * *

   (h) The assignment cover sheet required by § 3.28 for a patent
application or patent will be satisfied by the Patent Law Treaty Model
International Request for Recordation of Change in Applicant or Owner
Form, Patent Law Treaty Model International Request for Recordation of
a License/Cancellation of the Recordation of a License Form, Patent Law
Treaty Model Certificate of Transfer Form or Patent Law Treaty Model
International Request for Recordation of a Security Interest/
Cancellation of the Recordation of a Security Interest Form, as
applicable, except where the assignment is also an oath or declaration
under § 1.63 of this chapter. An assignment cover sheet required by
§ 3.28 must contain a conspicuous indication of an intent to
utilize the assignment as an oath or declaration under § 1.63 of
this chapter.

PART 11-REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT
AND TRADEMARK OFFICE

. 47. 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.

. 48. Section 11.18 is amended by revising paragraph (a) to read as
follows:

§ 11.18  Signature and certificate for correspondence filed in the
Office.

   (a) For all documents filed in the Office in patent, trademark, and
other non-patent matters, and all documents filed with a hearing
officer in a disciplinary proceeding, except for correspondence that is
required to be signed by the applicant or party, each piece of
correspondence filed by a practitioner in the Office must bear a
signature, personally signed or inserted by such practitioner, in
compliance with § 1.4(d) or § 2.193(a) of this chapter.

* * * * *

October 7, 2013                                           TERESA STANEK REA
                                     Deputy Under Secretary of Commerce for
                               Intellectual Property and Deputy Director of
                              the United States Patent and Trademark Office
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 120 

Continuation of the Patent Prosecution Highway Pilot Program between the United States Patent and Trademark Office and the Colombian Superintendence of Industry and Commerce
     Continuation of the Patent Prosecution Highway Pilot Program between
              the United States Patent and Trademark Office and
            the Colombian Superintendence of Industry and Commerce

   On September 1, 2012, the United States Patent and Trademark Office
(USPTO) commenced a Patent Prosecution Highway (PPH) pilot program which
enabled an applicant whose claims have been determined allowable/patentable
in an application filed in the Colombian Superintendence of Industry and
Commerce (SIC) to have the corresponding application filed in the USPTO
advanced out of turn for examination.  See "Patent Prosecution Highway
Pilot Program between the United States Patent and Trademark Office and the
Colombian Superintendence of Industry and Commerce", 1381 Off. Gaz. Pat.
Office 212 (August 21, 2012).  The USPTO indicated that the pilot program
would last for a period of one year ending on August 31, 2013, but may be
extended thereafter.

   In order to adequately assess the feasibility of the PPH pilot program,
the USPTO and the SIC have agreed to collect more information before any
final decision on the program is made.  The pilot has been extended
indefinitely.

   Any inquiries concerning this notice may be directed to Bryan Lin,
Office of PCT Legal Administration, at 571-272-3303, or via e-mail
addressed to bryan.lin@uspto.gov.

   Specific questions about the Patent Prosecution Highway should be
directed to the Office of Petitions at 571-272-3282, or via e-mail
addressed to PPHfeedback@uspto.gov.

October 15, 2013                                          TERESA STANEK REA
           Deputy Under Secretary of Commerce for Intellectual Property and
           Deputy Director of the United States Patent and Trademark Office
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 121 

Status of Public Records Division
                       Status of Public Records Division

   The Public Records Division (PRD) processes and fills orders for both
certified and uncertified copies of Patent and Trademark Office documents
and records assignments and other documents related to title.  This is an
update of actual processing times for orders filled during the month of
October 2013:

DOCUMENT SERVICES                              Goal            Actual
                                                               Processing
                                                               Time

Certified Documents

Patent Applications-As-Filed                    7 days          6 days
Patent Related File Wrappers                   25 days         16 days
Patent Copies                                  10 days          6 days
Patent Assignments                             10 days         10 days
Trademark Applications-As-Filed                 7 days          6 days
Trademark Related File Wrappers                25 days         15 days
Trademark Assignments                          10 days         10 days
Trademark Registrations, Expedited              5 days          3 days
Trademark Registrations, Regular               14 days         12 days

Uncertified Documents

Patent Copies                                   5 days          1 day
Plant Patents                                   5 days          0 days
Patent Assignments                             10 days          1 day
Patent Related File Wrappers                   25 days          8 days
Trademark Copies                                5 days          2 days
Trademark Assignments                          10 days          1 day
Trademark Related File Wrappers                25 days         10 days

   Customers should use the above actual processing time for each product
as a guide as to when they can expect their orders to be completed.  In
cases where an urgent deadline is approaching, contact Patent and Trademark
Copy Fulfillment Branch at (571) 272-3150 or 1 (800) 972-6382 for
assistance with a particular order.

   Customers are encouraged to place orders through the Internet at
http://ebiz1.uspto.gov/oems25p

   Orders may also be faxed to the Patent and Trademark Copy Fulfillment
Branch at (571) 273-3250. Information on the status of pending orders may
be obtained by calling (571) 272-3150 or 1 (800) 972-6382 (outside the
Washington, DC Metro area), or via E-mail to dsd@uspto.gov.

ASSIGNMENT SERVICES

Submission Method                              Goal            Actual
                                                               Processing
                                                               Time

Internet (EFS, ePAS or eTAS)                    2 days          1 day
Fax                                            10 days          3 days
Paper                                          14 days          3 days

   The Assignment Services Branch is currently mailing recordation notices
for paper documents received in the Public Records Division on October 29,
2013.

   Customers should use the above actual processing times as a guide as to
when they can expect their assignment submissions to be processed.  For
fastest service customers are encouraged to file assignments via the
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 122 

Internet.

   Assignment submissions may be made via the Internet at
http://epas.uspto.gov/ for patent assignments and http://etas.uspto.gov for
trademark assignments. Patent assignment submissions may also be made by
selecting the "Electronic Filing (EFS)" option at http://www.uspto.gov/ebc.

   Assignment submissions may also be faxed to the Assignment Services
Branch at (571) 273-0140.  Trademark assignment recordations may be
reviewed online at http://assignments.uspto.gov/assignments. Information on
the status of pending assignment recordations may be obtained by calling
(571) 272-3350 or 1 (800) 972-6382 (outside the Washington, DC Metro area).

November 4, 2013                                            DONNA J. COOPER
                                           Manager, Public Records Division
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 123 

Errata
                                    Errata

   "All reference to Reexamination Certificate No. C1 7,749,024 (658th) to
Terry Chambers of Carrollton, GA (US) et al. for METHOD OF MANUFACTURING
THHN ELECTRCAL CABLE, AND RESULTING PRODUCT, WITH REDUCED REQUIRED
INSTALLATION PULLING FORCE, appearing in the Official Gazette of August
06, 2013, should be deleted, since the reexamination certificate has been
vacated."

   "All reference to Patent No. 8,572,882 to TIM MORROW, ET AL of JEFFERSON
CITY, MI for SHOOTING RESTS FOR SUPPORTING FIREARMS appearing in the
Official Gazette of November 5, 2013 should be deleted since no patent was
granted."

   "All reference to Patent No.  8,573,563 to TOMOHIRO NUMAJIRI, ET AL of
TOKYO, JAPAN for METHOD FOR HOISTING AND LOWERING DEVICE IN ROTOR HEAD OF
WIND TURBINE GENERATOR appearing in the Official Gazette of November 5,
2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,573,589 to SHINICHI ONODERA of TOKYO,
JAPAN for SHEET CONVEYANCE APPARATUS AND IMAGE FORMING APPARATUS WITH LEVER
MEMBER PROVIDED IN THE SHEET CONVEYANCE PATH appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,573,770 to SHINYA YAMAMOTO of
NAGOYA-SHI, JAPAN for RECORDING APPARATUS HAVING LIQUID SUPPLY SYSTEM
appearing in the Official Gazette of November 5, 2013 should be deleted
since no patent was granted."

   "All reference to Patent No.  8,574,081 to SATOSHI KIRA, ET AL of
KYOTO-SHI, JAPAN for STORAGE MEDIUM STORING GAME PROGRAM, GAME APPARATUS,
AND GAME CONTROLLING METHOD FOR CHANGING GAME PARAMETERS BASED ON GAME
PROGRESS appearing in the Official Gazette of November 5, 2013 should be
deleted since no patent was granted."

   "All reference to Patent No.  8,574,269 to ROBERT C. WANG, ET AL of LAS
VEGAS, NV for APPARATUS AND METHODS FOR BONE FRACTURE FIXATION appearing
in the Official Gazette of November 5, 2013 should be deleted since no
patent was granted."

   "All reference to Patent No.  8,574,352 to CURTIS J. ELWELL, ET AL of EL
CAJON, CA for RADIAL SPLIT RING SEAL FOR FILTRATION SYSTEMS appearing in
the Official Gazette of November 5, 2013 should be deleted since no patent
was granted."

   "All reference to Patent No.  8,574,499 to THOMAS BOYD GILLIGAN of
NAVASOTA, TX for CONTINUOUSLY REGULATED PRECISION PRESSURE FLUID DELIVERY
SYSTEM appearing in the Official Gazette of November 5, 2013 should be
deleted since no patent was granted."

   "All reference to Patent No.  8,574,727 to JUNJI KIDO, ET AL of
YAMAGATA, JAPAN for ORGANOSULFUR COMPOUND, PROCESS FOR PRODUCING THE SAME,
AND ORGANIC ELECTROLUMINESCENCE ELEMENT USING THE SAME appearing in the
Official Gazette of November 5, 2013 should be deleted since no patent was
granted."

   "All reference to Patent No.  8,574,755 to PHILIPP WYSER, ET AL of
APPENZELL, SWITZERLAND for BATTERY CELL CASING WITH SEAL appearing in the
Official Gazette of November 5, 2013 should be deleted since no patent was
granted."

   "All reference to Patent No.  8,574,768 to SHUNPEI YAMAZAKI, ET AL of
TOKYO, JAPAN for POWER STORAGE DEVICE appearing in the Official Gazette of
November 5, 2013 should be deleted since no patent was granted."

 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 124 

   "All reference to Patent No.  8,574,867 to DOUGLAS T. YAMANISHI, ET AL
of CARLSBAD, CA for METHODS AND COMPOSITIONS FOR SEPARATING RARE CELLS FROM
FLUID SAMPLES appearing in the Official Gazette of November 5, 2013 should
be deleted since no patent was granted."

   "All reference to Patent No.  8,575,001 to MARIAM SADAKA of AUSTIN, TX
for METHODS FOR DIRECTLY BONDING TOGETHER SEMICONDUCTOR STRUCTURES, AND
BONDED SEMICONDUCTOR STRUCTURES FORMED USING SUCH METHODS appearing in the
Official Gazette of November 5, 2013 should be deleted since no patent was
granted."

   "All reference to Patent No.  8,575,157 to MARTIN RENZ, ET AL of
INGELHEIM AM RHEIN, GERMANY for CYCLIC INHIBITORS OF 11BETA-HYDROXYSTEROID
DEHYDROGENASE 1 appearing in the Official Gazette of November 5, 2013
should be deleted since no patent was granted."

   "All reference to Patent No.  8,575,220 to TERRY CHOW, ET AL of AUJOU,
CANADA for INHIBITORS OF ENDO-EXONUCLEASE ACTIVITY FOR TREATING CANCER
appearing in the Official Gazette of November 5, 2013 should be deleted
since no patent was granted."

   "All reference to Patent No.  8,575,623 to VINCENT GROLIER, ET AL of
MUNCHEN, GERMANY for METHOD FOR PRODUCING AN OPTOELECTRONIC SEMICONDUCTOR
CHIP AND OPTOELECTRONIC SEMICONDUCTOR CHIP appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,575,864 to TIESHENG YAN, ET AL of
CHENGDU, CHINA for CIRCUITS AND METHODS FOR DRIVING LIGHT SOURCES appearing
in the Official Gazette of November 5, 2013 should be deleted since no
patent was granted."

   "All reference to Patent No.  8,575,914 to MASAYOSHI TODOROKIHARA of
SHIMOSUWA-MACHI, JAPAN for FREQUENCY MEASURING APPARATUS appearing in the
Official Gazette of November 5, 2013 should be deleted since no patent was
granted."

   "All reference to Patent No.  8,576,128 to ROBERT J. HILL, ET AL of
SALINAS, CA for ANTENNAS FOR HANDHELD ELECTRONIC DEVICES WITH CONDUCTIVE
BEZELS appearing in the Official Gazette of November 5, 2013 should be
deleted since no patent was granted."

   "All reference to Patent No.  8,576,148 to GANG XU of CUPERTINO, CA for
INTERFEROMETRIC OPTICAL MODULATOR WITH BROADBAND REFLECTION CHARACTERISTICS
appearing in the Official Gazette of November 5, 2013 should be deleted
since no patent was granted."

   "All reference to Patent No.  8,576,151 to SHUNPEI YAMAZAKI, ET AL of
TOKYO, JAPAN for LIQUID CRYSTAL DISPLAY DEVICE appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,576,391 to KAZUAKI OHKUBO, ET AL of
KUSATSU-SHI, JAPAN for OPTICAL CHARACTERISTIC MEASURING APPARATUS appearing
in the Official Gazette of November 5, 2013 should be deleted since no
patent was granted."

   "All reference to Patent No.  8,576,513 to RADEK LOPUSNIK, ET AL of
BLOOMINGTON, MN for ACTIVELY SYNCHRONIZING MAGNETIC RESPONSES OF A SHIELD
AND A WRITE POLE appearing in the Official Gazette of November 5, 2013
should be deleted since no patent was granted."

   "All reference to Patent No.  8,576,539 to MAKOTO OGAWA, ET AL of
NAGAOKAKYO-SHI, JAPAN for ELECTRONIC COMPONENT appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,576,749 to YONG YANG, ET AL of SHENZHEN
CITY, CHINA for MULTI-POINT VIDEO CONFERENCE SYSTEM AND MEDIA PROCESSING
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 125 

METHOD THEREOF appearing in the Official Gazette of November 5, 2013 should
be deleted since no patent was granted."

   "All reference to Patent No.  8,576,938 to LAWRENCE W. YONGE III, ET AL
of OCALA, FL for CHANNEL ESTIMATION FOR LOW-OVERHEAD COMMUNICATION IN A
NETWORK appearing in the Official Gazette of November 5, 2013 should be
deleted since no patent was granted."

   "All reference to Patent No.  8,577,078 to JONG-CHEOL KIM, ET AL of
SEOUL KOREA, REPUBLIC OF for METHOD OF ADJUSTING BRIGHTNESS OF ILLUMINATION
DEVICE AND BIO DISK DRIVE USING THE METHOD appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,577,097 to STEFAN PETRESCU, ET AL of
BUCHAREST, ROMANIA for METHODS AND APPARATUSES FOR HALF-FACE DETECTION
appearing in the Official Gazette of November 5, 2013 should be deleted
since no patent was granted."

   "All reference to Patent No.  8,577,228 to YASUFUMI TAKAHASHI, ET AL of
TOKYO, JAPAN for APPARATUS AND METHOD FOR PREVENTING AN INFORMATION STORAGE
DEVICE FROM FALLING FROM A REMOVABLE DEVICE appearing in the Official
Gazette of November 5, 2013 should be deleted since no patent was granted."

   "All reference to Patent No.  8,577,232 to SATOSHI UENO, ET AL of TOKYO,
JAPAN for THERMAL FIXING DEVICE AND IMAGE FORMING APPARATUS INCLUDING SAME
WHICH DETECTS THE SPEED OF A BELT ON THE OUTER SURFACE OF A FIXING MEMBER
appearing in the Official Gazette of November 5, 2013 should be deleted
since no patent was granted."

   "All reference to Patent No.  8,577,383 to YOUNG-DAE LEE, ET AL of
GYEONGGI-DO KOREA, REPUBLIC OF for METHOD FOR TRANSMITTING AND RECEIVING
SYSTEM INFORMATION VIA A BROADCAST CHANNEL (BCH) AND A DOWNLINK SHARED
CHANNEL (DL_SCH) appearing in the Official Gazette of November 5, 2013
should be deleted since no patent was granted."

   "All reference to Patent No.  8,577,384 to YOUNG-DAE LEE, ET AL of
GYEONGGI-DO KOREA, REPUBLIC OF for METHOD FOR TRANSMITTING AND RECEIVING
SYSTEM INFORMATION VIA A BROADCAST CHANNEL (BCH) AND A DOWNLINK SHARED
CHANNEL (DL_SCH) appearing in the Official Gazette of November 5, 2013
should be deleted since no patent was granted."

   "All reference to Patent No.  8,577,618 to TETSUHIRO HARAKAWA, ET AL of
KUMAMOTO-KEN, JAPAN for METHOD FOR QUANTIFICATION OF NEUROTOXIN appearing
in the Official Gazette of November 5, 2013 should be deleted since no
patent was granted."

   "All reference to Patent No.  8,577,978 to BARRY APPLEMAN of McLEAN, VA
for AUTOMATICALLY ENABLING THE FORWARDING OF INSTANT MESSAGES appearing in
the Official Gazette of November 5, 2013 should be deleted since no patent
was granted."

   "All reference to Patent No.  8,578,207 to HIROKI TASHIMA of KAWASAKI,
JAPAN for RAID DEVICE, ABNORMAL DEVICE DETECTING APPARATUS, AND ABNORMAL
DEVICE DETECTING METHOD appearing in the Official Gazette of November 5,
2013 should be deleted since no patent was granted."
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 126 

Erratum
                                    Erratum

   In the notice of Certificate of Correction appearing in October 29,
2013, delete all reference to Patent No. 8,426,475, issue of October 8,
2013. Request for certificate of correction treated as a petition under 37
CFR 1.78(c), seeking to incorporate by reference the prior-filed
application, was dismissed by the Office of Petitions. The certificate of
correction was published in error and should not have been issued for this
patent.

                                    Erratum

   In the notice of Certificate of Correction appearing in October 15,
2013, delete all reference to Patent No. 8,129,650, issue of November 5,
2013. The errors appearing on the certificate of correction does not
correspond to text in the printed patent.  The patent number was
erroneously mentioned and certificate of correction should not have been
issued.
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 127 

Certificates of Correction
                          Certificates of Correction
                            for November 12, 2013

6,703,037             8,417,966             8,493,074            8,518,499
6,795,921             8,422,652             8,493,129            8,518,941
6,814,794             8,422,958             8,493,281            8,519,334
6,953,760             8,426,855             8,493,565            8,519,489
7,033,445             8,427,857             8,493,890            8,519,806
7,316,753             8,428,101             8,493,913            8,519,814
7,468,893             8,428,988             8,494,287            8,519,849
7,526,538             8,431,097             8,494,451            8,520,203
7,633,419             8,432,094             8,494,470            8,520,303
7,681,232             8,432,254             8,494,519            8,520,307
7,797,302             8,432,436             8,494,592            8,520,393
7,903,343             8,433,135             8,495,009            8,520,556
7,910,131             8,435,083             8,495,028            8,520,984
7,915,211             8,435,726             8,495,104            8,521,196
7,939,527             8,437,166             8,495,114            8,521,610
7,952,366             8,437,395             8,495,282            8,521,663
7,955,334             8,439,896             8,495,312            8,521,772
7,960,980             8,439,997             8,495,662            8,522,021
7,964,231             8,440,084             8,495,703            8,522,283
7,968,009             8,440,408             8,495,715            8,523,010
7,988,713             8,440,529             8,495,721            8,523,263
7,997,962             8,440,635             8,495,886            8,523,951
7,998,959             8,442,356             8,496,573            8,524,213
8,009,710             8,443,183             8,496,762            8,524,249
8,017,120             8,443,804             8,496,950            8,524,348
8,020,812             8,445,176             8,496,962            8,524,708
8,044,061             8,445,970             8,497,291            8,524,856
8,046,086             8,447,708             8,497,439            8,524,970
8,051,292             8,448,120             8,497,710            8,524,981
8,053,411             8,448,845             8,498,043            8,525,794
8,059,866             8,449,671             8,498,248            8,526,180
8,066,708             8,449,979             8,498,302            8,526,218
8,068,906             8,451,732             8,498,447            8,526,475
8,071,624             8,452,797             8,498,956            8,526,561
8,075,442             8,453,456             8,498,959            8,526,669
8,075,566             8,454,622             8,499,289            8,526,731
8,090,349             8,454,988             8,499,333            8,526,739
8,113,135             8,455,399             8,500,020            8,526,859
8,125,746             8,456,620             8,501,197            8,527,249
8,127,877             8,456,721             8,501,375            8,527,398
8,130,706             8,457,141             8,501,678            8,527,488
8,135,341             8,457,145             8,501,740            8,527,556
8,139,650             8,458,836             8,502,143            8,527,895
8,148,504             8,460,231             8,502,266            8,528,078
8,155,105             8,460,391             8,502,267            8,528,298
8,167,148             8,460,865             8,502,593            8,528,338
8,168,848             8,461,474             8,502,660            8,528,371
8,173,963             8,461,584             8,502,670            8,528,461
8,189,906             8,461,737             8,502,978            8,528,666
8,211,462             8,462,042             8,503,382            8,528,825
8,216,961             8,462,105             8,503,431            8,529,312
8,217,949             8,462,637             8,503,470            8,529,489
8,229,995             8,463,655             8,503,506            8,530,423
8,236,429             8,464,015             8,503,889            8,530,815
8,241,949             8,467,200             8,504,100            8,530,866
8,243,393             8,468,340             8,504,501            8,531,164
8,244,687             8,469,520             8,504,879            8,531,179
8,257,489             8,470,931             8,505,067            8,531,389
8,263,787             8,471,043             8,505,724            8,531,664
8,277,874             8,471,278             8,505,810            8,532,612
8,278,609             8,473,666             8,506,114            8,532,675
8,290,910             8,474,431             8,506,388            8,532,696
 December 3, 2013 US PATENT AND TRADEMARK OFFICE 1397 OG 128 

8,292,812             8,474,892             8,506,709            8,533,791
8,296,398             8,474,938             8,506,962            8,533,828
8,300,105             8,476,039             8,507,205            8,533,860
8,319,557             8,476,438             8,507,240            8,533,886
8,323,773             8,476,809             8,507,394            8,534,073
8,323,927             8,477,435             8,507,428            8,534,643
8,326,758             8,478,888             8,507,776            8,534,946
8,331,903             8,479,658             8,507,866            8,535,478
8,332,213             8,481,062             8,508,199            8,535,540
8,334,037             8,481,118             8,508,275            8,537,103
8,334,570             8,481,157             8,508,622            8,537,505
8,341,015             8,481,485             8,508,941            8,537,708
8,343,099             8,481,735             8,509,021            8,537,787
8,343,633             8,481,822             8,509,037            8,537,949
8,344,168             8,481,901             8,509,386            8,538,439
8,346,263             8,481,987             8,509,762            8,539,136
8,351,214             8,482,201             8,510,021            8,542,462
8,351,405             8,482,547             8,510,179            8,542,646
8,352,174             8,482,948             8,510,270            8,542,975
8,353,328             8,482,967             8,510,349            8,543,505
8,361,282             8,483,097             8,510,596            8,544,499
8,361,626             8,483,416             8,510,659            8,544,831
8,364,249             8,484,473             8,510,766            8,545,040
8,366,700             8,485,523             8,510,773            8,545,682
8,367,079             8,485,672             8,510,796            8,546,144
8,369,407             8,485,897             8,511,273            8,547,641
8,374,136             8,486,252             8,511,839            8,547,864
8,374,726             8,486,545             8,511,983            8,547,928
8,379,292             8,486,648             8,512,313            8,548,059
8,380,459             8,486,892             8,512,587            8,548,588
8,381,535             8,486,942             8,512,664            8,548,683
8,384,711             8,487,023             8,512,710            8,548,993
8,386,876             8,487,139             8,512,846            8,549,098
8,390,323             8,487,194             8,513,019            8,551,753
8,390,718             8,487,293             8,513,559            8,551,766
8,391,656             8,487,306             8,513,584            8,552,114
8,394,012             8,487,610             8,513,824            8,552,522
8,398,995             8,487,835             8,514,023            8,556,184
8,400,490             8,488,552             8,514,248            8,557,146
8,404,538             8,488,567             8,514,278            D. 657,076
8,404,933             8,488,792             8,514,372            D. 660,600
8,406,317             8,488,819             8,514,619            D. 673,398
8,409,127             8,488,820             8,514,873            D. 679,178
8,410,742             8,489,096             8,514,908            D. 682,272
8,411,120             8,489,106             8,515,062            D. 682,593
8,412,202             8,489,347             8,515,216            D. 683,219
8,413,115             8,489,572             8,515,470            D. 684,171
8,413,322             8,489,614             8,515,553            D. 684,976
8,413,740             8,489,781             8,515,617            D. 686,553
8,414,374             8,489,893             8,515,766            D. 690,162
8,414,660             8,489,951             8,515,839            D. 690,273
8,414,672             8,489,999             8,515,916            PP. 22,244
8,414,774             8,490,027             8,516,777            RE. 41,317
8,414,999             8,490,086             8,516,837            RE. 43,169
8,415,001             8,491,202             8,516,916            RE. 43,317
8,415,140             8,491,767             8,518,080            RE. 43,328
8,415,509             8,491,905             8,518,157            RE. 44,337
8,417,312             8,492,753             8,518,198
Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print This Notice 1397 OG 129 

Summary of Final Decisions Issued by the Trademark Trial and Appeal Board

SUMMARY OF FINAL DECISIONS ISSUED BY THE TRADEMARK TRIAL AND APPEAL BOARD
October 28, 2013 - November 1, 2013
 

Date Issued Type of Case(1) Proceeding or Appn. Number Party or Parties TTAB Panel (2) Issue(s) TTAB Decision Opposer’s or Petitioner’s mark and goods or services Applicant’s or Respondent’s mark and goods or services Mark and goods or services cited by Examining Attorney Issued as Precedent of TTAB
10-28 EX 85492623 Marlena International, LLC Seeherman
Mermelstein
Wolfson*
2(d) Refusal Affirmed for the class refused   SHAPZME BY MARENA [various items of men’s or women’s athletic wear, active wear, shape wear, and compression garments, including, pants, leggings, capris (Class 25)] SHAPEME [bottoms; jeans; lounge pants; slacks] No
10-29 EX 85490234 MWR Holdings, LLC Mermelstein
Ritchie
Masiello*
2(d) Refusal Affirmed based on first of cited registrations   BONGO BEAR [plush toys] BONGO CATS [Plush toys, stuffed toy animals, musical toy
Instruments] BONGO BI-LINGO BUDDY [Plush toys, hand puppets, board games, card
games, stuffed toy animals, musical toy instruments, namely, drums, brass and percussion]
No
 
10-29 EX 77885449 Sounds Good Broadcast Consultants, Inc. Grendel
Bergsman*
Masiello(D)
23 Refusal Affirmed   NEIGHBORHOOD RADIO [radio broadcasting of information and other programs]   No
10-30 CANC
(SJ)
92055910 Software Development Solutions, Inc.
v.
Aircast Mobile, Inc.
Bucher
Ritchie
Adlin
[Opinion "By the Board" (English)]
2(d) Petition to Cancel Granted (motion for summary judgment granted) JAMCAST [Computer application software for electronic devices, namely, software for sending and receiving music, pictures and video across a computer network] JAMCAST [Computer application software for mobile phones, namely, software for recording, streaming, distributing, and listening to music and live concerts]   No
10-31 EX 85274689 Aalto Scientific, Ltd. Bucher*
Kuhlke
Wolfson
2(d) Refusal Affirmed based on first of cited registrations   AALTO SCIENTIFIC [various scientific research and development, analysis, testing, design and consultation services] AALTO UNIVERSITY; A? AALTO UNIVERSITY; A! AALTO UNIVERSITY; and A" AALTO UNIVERSITY [scientific research services; technological research and design , and industrial analysis and research, both in a wide range of fields; design and development of computer hardware and software] No
10-31 EX
(R)
77217638 HTC Sweden AB Kuhlke*
Shaw
Hightower
2(d) Refusal Affirmed (Reconsideration Denied)   TWISTER (and design) [Accessories for floor polishing machines, namely, polishing pads with microscopic diamond pieces which pads are used with a power cleaning and polishing machine, for commercial and industrial use on hard surfaces such as terrazzo, polished concrete, marble, stone, and tile, not for use with liquid or chemical cleaners] TWISTER [janitorial supplies, namely, industrial cleaner sold for commercial cleaning] No
10-31 EX 85554445
85555607
All-Ways Forwarding Int’l Inc.
 
Bucher
Bergsman*
Gorowitz
2(d) Refusal Affirmed as to each application   ALL-WAYS and ALL-WAYS FORWARDING INT’L INC (and design) [various freight handling and shipping services, including storage, transportation and delivery; global transportation of freight by all available means] ALL WAYS MOVING & STORAGE [moving company services] No
10-31 EX 85470562 Main Line Urgent Care Centers, LLC Lykos
Gorowitz*
Masiello
2(d) Refusal Affirmed   CARESTAT [medical services, namely, non-emergency and urgent out-patient health care services and occupational medicine services] STAT CARE P.L.L.C. (and design) [physician services; health services] No
10-31 EX 85072009 Truth Hardware Corp. Quinn
Cataldo*
Gorowitz
2(d) Refusal Affirmed based on second of cited registrations   SENTRY [door handle set kits comprising metal handles, hinges, locks, and latches; door hardware, namely, metal handles, hinges, locks, and latches sold exclusively to window manufacturers and door manufacturers] SENTRY SECURITY FASTENERS INC. [metal door frames, keys for locks, cylinders for locks, locks not including combination locks, door closers and door kick plates; metal locking mechanisms and their structural components; and metal window frames, for wholesale and institutional construction distribution]; and SENTRY (and design) [metal door frames and keys for locks, cylinders for locks, hinges, locks, hinge plates, door closers and door kick plates; metal locking mechanisms and their locks, keys, and
accessories, electrical connectors; and metal
window frames, all for wholesale and institutional construction distribution]
No
11-1 EX 85388353 Sunmarks, LLC Bucher
Lykos*
Masiello
2(d) Refusal Affirmed   260 GTX [race fuels] GTX and GTX HIGH MILEAGE [lubricants for vehicles] No

(1) EX=Ex Parte Appeal; OPP=Opposition; CANC=Cancellation; CU=Concurrent Use; (SJ)=Summary Judgment; (MD)=Motion to Dismiss; (R)=Request for Reconsideration; (REM)=Decision on Remand (2) *=Opinion Writer; (D)=Dissenting Panel Member
 
 



Top of Notices Top of Notices December 3, 2013 US PATENT AND TRADEMARK OFFICE Print Appendix 1397 OG 

Mailing and Hand Carry Addresses for Mail to the United States Patent and Trademark Office
                     MAILING AND HAND CARRY ADDRESSES FOR
             MAIL TO THE UNITED STATES PATENT AND TRADEMARK OFFICE

              MAIL TO BE DIRECTED TO THE COMMISSIONER FOR PATENTS

   For most correspondence (e.g., new patent applications) no mail stop
is required because the processing of the correspondence is routine.
If NO mail stop is included on the list below, no mail stop is required
for the correspondence. See the listing under "Mail to be Directed to the
Director of the Patent And Trademark Office" for additional mail stops
for patent-related correspondence. Only the specified type of document
should be placed in an envelope addressed to one of these special mail
stops. If any documents other than the specified type identified for each
special mail stop are addressed to that mail stop, they will be
significantly delayed in reaching the appropriate area for which they are
intended. The mail stop should generally appear as the first line in
the address.

   Most correspondence may be submitted electronically. See the USPTO's
Electronic Filing System (EFS-Web) internet page
http://www.uspto.gov/patents/process/file/efs/index.jsp for additional
information.

   Please address mail to be delivered by the United States Postal Service
(USPS) as follows:

        Mail Stop _____
        Commissioner for Patents
        P.O. Box 1450
        Alexandria, VA 22313-1450

   If no Mail Stop is indicated below, the line beginning Mail Stop should
be omitted from the address.

   NEW: Effective September 16, 2012, the Mail Stop description for Mail
Stop Ex Parte Reexam is being revised and a new Mail Stop for supplemental
examination requests is being added as Mail Stop Supplemental Examination.

   Except correspondence for Maintenance Fee payments, Deposit Account
Replenishments (see 37 CFR 1.25(c)(4)), and Licensing and Review (see 37 CFR
5.1(c) and 5.2(c)), please address patent-related correspondence to be
delivered by other delivery services (Federal Express (Fed Ex), UPS, DHL,
Laser, Action, Purolator, etc.) as follows:

        United States Patent and Trademark Office
        Customer Service Window, Mail Stop _____
        Randolph Building
        401 Dulany Street
        Alexandria, VA 22314


Mail Stop
Designations            Explanation

Mail Stop 12            Contributions to the Examiner Education Program.

Mail Stop 313(c)        Petitions under 37 CFR 1.313(c) to withdraw a
                        patent application from issue after payment of
                        the issue fee and any papers associated with the
                        petition, including papers necessary for a
                        continuing application or a request for
                        continued examination (RCE).

Mail Stop AF            Amendments and other responses after final
                        rejection (e.g., a notice of appeal (and any
                        request for pre-appeal brief conference)),
                        other than an appeal brief.

Mail Stop Amendment     Information disclosure statements, drawings, and
                        replies to Office actions in patent applications
                        with or without an amendment to the application or
                        a terminal disclaimer. (Use Mail Stop AF for
                        replies after final rejection.)

Mail Stop Appeal        For appeal briefs or other briefs under
 Brief-Patents          part 41 of title 37 of the Code of Federal
                        Regulations (e.g., former 37 CFR 1.192).

Mail Stop               Public comments regarding patent-related
 Comments-Patent        regulations and procedures.


Mail Stop Conversion    Requests under 37 CFR 1.53(c)(2) to convert a
                        nonprovisional application to a provisional
                        application and requests under 37 CFR 1.53(c)(3)
                        to convert a provisional application to a
                        nonprovisional application.

Mail Stop EBC           Mail for the Electronic Business Center including:
                        Certificate Action Forms, Request for Customer
                        Number, and Requests for Customer Number Data
                        Change (USPTO Forms PTO-2042, PTO/SB/124A and 125A,
                        respectively) and Customer Number Upload
                        Spreadsheets and Cover Letters.

Mail Stop Expedited     Only to be used for the initial filing of
 Design                 design applications accompanied by a
                        request for expedited examination under
                        37 CFR 1.155.

Mail Stop Express       Requests for abandonment of a patent
 Abandonment            application pursuant to 37 CFR 1.138,
                        including any petitions under 37 CFR
                        1.138(c) to expressly abandon an
                        application to avoid publication of the
                        application.

Mail Stop               Applications under 35 U.S.C. 156 for patent term
 Hatch-Waxman PTE       extension based on regulatory review of a product
                        subject to pre-market review by a regulating
                        agency. This mail stop is also to be used for
                        additional correspondence regarding the
                        application for patent term extension under
                        35 U.S.C. 156. It is preferred that such initial
                        requests be hand-carried to:

                        Office of Patent Legal Administration
                        Room MDW 7D55
                        600 Dulany Street (Madison Building)
                        Alexandria, VA 22314

Mail Stop ILS           Correspondence relating to international patent
                        classification, exchanges and standards.

Mail Stop Issue Fee     All communications following the receipt of a
                        PTOL-85, "Notice of Allowance and Fee(s)
                        Due," and prior to the issuance of a patent
                        should be addressed to Mail Stop Issue Fee,
                        unless advised to the contrary.

                        Assignments are the exception. Assignments
                        (with cover sheets) should be faxed to
                        571-273-0140, electronically submitted
                        (http://epas.uspto.gov), or submitted in a
                        separate envelope and sent to Mail Stop
                        Assignment Recordation Services,
                        Director - U.S. Patent and Trademark Office
                        as shown below.

Mail Stop L&R           All documents pertaining to applications subject
                        to secrecy order pursuant to 35 U.S.C. 181, or
                        national-security classified and required to be
                        processed accordingly. Such papers, petitions for
                        foreign filing license pursuant to 37 CFR 5.12(b)
                        for which expedited handling is requested, and
                        petitions for retroactive license under 37 CFR
                        5.25 may also be hand carried to Licensing and
                        Review:

                        Technology Center 3600, Office of the Director
                        Room 4B41
                        501 Dulany Street (Knox Building)
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Mail Stop Missing       Requests for a corrected filing receipt and
 Parts                  replies to OPAP notices such as the Notice
                        of Omitted Items, Notice to File Corrected
                        Application Papers, Notice of Incomplete
                        Application, Notice to Comply with Nucleotide
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                        Parts of Application, and associated papers and
                        fees.

Mail Stop MPEP          Submissions concerning the Manual of Patent
                        Examining Procedure.

Mail Stop Patent Ext.   Applications for patent term extension or
                        adjustment under 35 U.S.C. 154 and any
                        communications relating thereto. This mail stop
                        is limited to petitions for patent term extension
                        under 35 U.S.C. 154 for applications filed
                        between June 8, 1995 and May 29, 2000, and patent
                        term adjustment (PTA) under 35 U.S.C. 154 for
                        applications filed on or after May 29, 2000.
                        For applications for patent term extension under
                        35 U.S.C. 156, use Mail Stop Hatch-Waxman PTE.
                        For applications for patent term extension or
                        adjustment under 35 U.S.C. 154 that are mailed
                        together with the payment of the issue fee, use
                        Mail Stop Issue Fee.

Mail Stop Patent        Submission of comments regarding search templates.
 Search Template
 Comments

Mail Stop PCT           Mail related to international applications filed
                        under the Patent Cooperation Treaty in the
                        international phase and in the national phase
                        under 35 U.S.C. 371 prior to mailing of a
                        Notification of Acceptance of Application Under
                        35 U.S.C. 371 and 37 CFR 1.495 (Form
                        PCT/DO/EO/903).

Mail Stop Petition      Petitions to be decided by the Office of Petitions,
                        including petitions to revive and petitions to
                        accept late payment of issue fees or maintenance
                        fees.

Mail Stop PGPUB         Correspondence regarding publication of patent
                        applications not otherwise provided, including:
                        requests for early publication made after filing,
                        rescission of a non-publication request, corrected
                        patent application publication, and refund of
                        publication fee.

Mail Stop Post          In patented files: requests for changes of
 Issue                  correspondence address, powers of attorney,
                        revocations of powers of attorney, withdrawal as
                        attorney or agent and submissions under 37
                        CFR 1.501. Designation of, or changes to, a fee
                        address should be addressed to Mail Stop M
                        Correspondence. Requests for Certificate of
                        Correction need no special mail stop, but
                        should be mailed to the attention of Certificate
                        of Correction Branch.

Mail Stop RCE           Requests for continued examination under
                        37 CFR 1.114.

Mail Stop               Correspondence pertaining to the reconstruction
 Reconstruction         of lost patent files.

Mail Stop Ex Parte      Original requests for Ex Parte Reexamination
 Reexam                 and all subsequent correspondence other
                        than correspondence to the Office of the Solicitor
                        (see 37 CFR 1.1(a)(3) and 1.302(c)). Effective
                        September 16, 2012, this mail stop is also to be
                        used for any papers to be filed in an ex parte
                        reexamination proceeding ordered as a result of
                        a supplemental examination proceeding.

Mail Stop Inter         Original requests for Inter Partes Reexamination
 Partes Reexam          and all subsequent correspondence other than
                        correspondence to the Office of the Solicitor
                        (see 37 CFR 1.1(a)(3) and 1.302(c)).

Mail Stop Reissue       All new and continuing reissue application filings.

Mail Stop Sequence      Submission of the computer readable form (CRF) for
                        applications with sequence listings, when the CRF
                        is not being filed with the patent application.

Mail Stop Supplemental  (Effective September 16, 2012). Requests for
 Examination            Supplemental Examination, including original
                        request papers and any other correspondence, other
                        than correspondence to the Office of the
                        Solicitor (see 37 CFR Secs. 1.1(a)(3) AND 1.302(c)).
                        This mail stop is limited to original request papers
                        and any other papers that are to be filed in a
                        supplemental examination proceeding. For any papers
                        to be filed in an ex parte reexamination proceeding
                        ordered as a result of a supplemental examination
                        proceeding, use "Mail Stop Ex Parte Reexam".

Information for addressing patent-related correspondence may also be found
on the USPTO's web site at http://www.uspto.gov/patents/mail.jsp.


            MAIL TO BE DIRECTED TO THE COMMISSIONER FOR TRADEMARKS

   Please address trademark-related correspondence to be delivered by the
United States Postal Service (USPS), except documents sent to the Assignment
Services Division for recordation, requests for copies of trademark
documents, and documents directed to the Madrid Processing Unit, as follows:

        Commissioner for Trademarks
        P.O. Box 1451
        Alexandria, VA 22313-1451

   Mail to be delivered by the USPS to the Office's Madrid Processing Unit,
must be mailed to:

        Madrid Processing Unit
        600 Dulany Street
        MDE-7B87
        Alexandria, VA 22314-5796

   Mail to be delivered by the USPS to the Office's Deputy Commissioner for
Trademark Policy regarding Letters of Protest must be mailed to:

        Letter of Protest
        ATTN: Deputy Commissioner for Trademark Policy
        600 Dulany Street
        Alexandria, VA 22314-5796

   Mail to be delivered by the USPS to the Director regarding the Fastener
Quality Act (FQA) must be mailed to:

        Director, USPTO
        ATTN: FQA
        600 Dulany Street, MDE-10A71
        Alexandria, VA 22314-5793

   Mail to be delivered by the USPS to the Commissioner regarding the
recordal of a Native American Tribal Insignia (NATI) must be mailed to:

        Native American Tribal Insignia
        ATTN: Commissioner for Trademarks
        600 Dulany Street
        MDE-10A71
        Alexandria, VA 22314-5793

Do NOT send any of the following via USPS certified mail or with a
"signature required" option: submissions to the Madrid Processing Unit,
Letters of Protest, applications for recordal of insignia under the
Fastener Quality Act, notifications of Native American Tribal Insignia.

   Trademark-related mail to be delivered by hand or other private courier
or delivery service (e.g., UPS, Federal Express) to the Trademark Operation,
the Trademark Trial and Appeal Board, or the Office's Madrid Processing Unit,
must be delivered to:

        Trademark Assistance Center
        Madison East, Concourse Level Room C 55
        600 Dulany Street
        Alexandria, VA 22314

Information for addressing trademark-related correspondence may also be found
on the USPTO's web site at http://www.uspto.gov/trademarks/mail.jsp.


           MAIL TO BE DIRECTED TO THE DIRECTOR OF THE UNITED STATES
                          PATENT AND TRADEMARK OFFICE

   Please address correspondence to be directed to a mail stop identified
below to be delivered by the United States Postal Service (USPS) as follows
(unless otherwise instructed):

        Mail Stop _____
        Director of the U.S. Patent and Trademark Office
        P.O. Box 1450
        Alexandria, VA 22313-1450

Mail Stop
Designations            Explanation

Mail Stop 3             Mail for the Office of Personnel from NFC.

Mail Stop 6             Mail for the Office of Procurement.

Mail Stop 8             All papers for the Office of the Solicitor except
                        communications relating to pending litigation and
                        disciplinary proceedings; papers relating to pending
                        litigation in court cases shall be mailed only to
                        Office of the Solicitor, P.O. Box 15667, Arlington,
                        VA 22215 and papers related to pending disciplinary
                        proceedings before the Administrative Law Judge or
                        the Director shall be mailed only to the Office of
                        the Solicitor, P.O. Box 16116, Arlington, VA 22215.

Mail Stop 11            Mail for the Electronic Ordering Service (EOS).

Mail Stop 13            Mail for the Employee and Labor Relations Division.

Mail Stop 16            Mail related to refund requests, other than
                        requests for refund of a patent application
                        publication fee. Such requests should be directed
                        to Mail Stop PGPub.

Mail Stop 17            Invoices directed to the Office of Finance.

Mail Stop 24            Mail for the Inventor's Assistance Program,
                        including complaints about Invention Promoters.

Mail Stop 171           Vacancy Announcement Applications.

Mail Stop Assignment    All assignment documents, security interests,
 Recordation Services   and other documents to be recorded in the
                        Assignment records. Note that documents with
                        cover sheets that are faxed to 571-273-0140 or
                        submitted electronically (http://epas.uspto.gov)
                        are processed much more quickly than those
                        submitted by mail.

Mail Stop Document      All requests for certified or uncertified
 Services               copies of patent or trademark documents.

Mail Stop EEO           Mail for the Office of Civil Rights.

Mail Stop External      Mail for the Office of External Affairs.
 Affairs

Mail Stop Interference  Communications relating to interferences and
                        applications and patents involved in interference.

Mail Stop M             Mail to designate or change a fee
 Correspondence         address, or other correspondence related to
                        maintenance fees, except payments of
                        maintenance fees in patents. See below for
                        the address for maintenance fee payments.

Mail Stop OED           Mail for the Office of Enrollment and Discipline.


                           Maintenance Fee Payments

   Unless submitted electronically over the Internet at www.uspto.gov,
payments of maintenance fees in patents should be mailed through the
United States Postal Service to:

        United States Patent and Trademark Office
        P.O. Box 979070
        St. Louis, MO 63197-9000

   Alternatively, payment of maintenance fees in patents (Attn: Maintenance
Fee) using hand-delivery and delivery by private courier may be made to:

        Director of the U.S. Patent and Trademark Office
        Attn: Maintenance Fee
        2051 Jamieson Avenue, Suite 300
        Alexandria, Virginia 22314


                        Deposit Account Replenishments

   To send payment to replenish deposit accounts, send the payments through
the United States Postal Service to:

        United States Patent and Trademark Office
        P.O. Box 979065
        St. Louis, MO 63197-9000

   Alternatively, deposit account replenishments (Attn: Deposit Accounts)
using hand-delivery and delivery by private courier (e.g., FedEx, UPS, etc.)
may be delivered to:

        Director of the U.S. Patent and Trademark Office
        Attn: Deposit Accounts
        2051 Jamieson Avenue, Suite 300
        Alexandria, VA 22314

   Information abount deposit account replenishments may also be found on
the USPTO's web site at
http://www.uspto.gov/about/offices/cfo/finance/Deposit_Account_
Replenishments.jsp
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Reference Collections of U.S. Patents Available for Public Use in Patent and Trademark Resource Centers
             Reference Collections of U.S. Patents Available for
             Public Use in Patent and Trademark Resource Centers

The following libraries, designated as Patent and Trademark Resource Centers
(PTRCs), provide public access to patent and trademark information received
from the United States Patent and Trademark Office (USPTO). This
information includes all issued patents, all registered trademarks, the
Official Gazette of the U.S. Patent and Trademark Office, search tools such
as the Cassis CD-ROM suite of products and supplemental information in a
variety of formats including online, optical disc, microfilm and paper.
Each PTRC also offers access to USPTO resources on the Internet and to
PubWEST (Web based examiner search tool), a system used by patent examiners
that is not available on the Internet.

Staff assistance and training is provided in the use of this information.
All information is available free of charge. However, there may be charges
associated with the use of photocopying and related services. Hours of
service to the public vary, and anyone contemplating use of these
collections at a particular library is urged to contact that library in
advance about its services and hours to avoid inconvenience.

State                   Name of Library                  Telephone Contact

Alabama                 Auburn University Libraries         (334) 844-1737
                        Birmingham Public Library           (205) 226-3620
Alaska                  Fairbanks: Keith B. Mather Library,
                        Geophysical Institute,
                        University of Alaska, Fairbanks     (907) 474-2636
Arizona                 Phoenix, Arizona
                        State Library of Arizona
                        Arizona State Library Archives
                        and Public Records                  (602) 926-3870
Arkansas                Little Rock: Arkansas State
                        Library                             (501) 682-2053
California              Los Angeles Public Library          (213) 228-7220
                        Riverside: University of
                        California, Riverside, Orbach
                        Science Library                     (951) 827-3316
                        Sacramento: California State
                        Library                             (916) 654-0261
                        San Diego Public Library            (619) 236-5800
                        San Francisco Public Library        (415) 557-4500
                        Sunnyvale Public Library            (408) 730-7300
Colorado                Denver Public Library               (720) 865-1711
Connecticut             Fairfield: Ryan-Matura Library
                        Sacred Heart University             (203) 371-7726
Delaware                Newark: University of Delaware
                        Library                             (302) 831-2965
Dist. of Columbia       Washington: Howard University
                        Libraries                           (202) 806-7252
Florida                 Fort Lauderdale: Broward County
                        Main Library                        (954) 357-7444
                        Miami-Dade Public Library           (305) 375-2665
                        Orlando: University of Central
                        Florida Libraries                   (407) 823-2562
Georgia                 Atlanta: Library and Information
                        Center, Georgia Institute of
                        Technology                          (404) 385-7185
Hawaii                  Honolulu: Hawaii State Library      (808) 586-3477
Illinois                Chicago Public Library              (312) 747-4450
                        Macomb:  Western Illinois
                        University Libraries                (309) 298-2722
Indiana                 Indianapolis-Marion County Public
                        Library                             (317) 269-1741
                        West Lafayette Siegesmund
                        Engineering Library,
                        Purdue University                   (765) 494-2872
Iowa                    Davenport: Davenport Public Library (563) 326-7832
Kansas                  Wichita: Ablah Library, Wichita
                        State University                  1 (800) 572-8368
Kentucky                Louisville Free Public Library      (502) 574-1611
                        W. Frank Steely Library
                        Northern Kentucky University
                        Highland Heights, Kentucky          (859) 572-5457
Louisiana               Baton Rouge: Troy H. Middleton
                        Library, Louisiana State University (225) 388-8875
Maine                   Orono: Raymond H. Fogler Library,
                        University of Maine                 (207) 581-1678
Maryland                Baltimore: University of Baltimore
                        Law Library                         (410) 837-4554
                        College Park: Engineering and
                        Physical Sciences Library,
                        University of Maryland              (301) 405-9157
Massachusetts           Amherst: Physical Sciences Library,
                        University of Massachusetts         (413) 545-2765
                        Boston Public Library               (617) 536-5400
                                                                 Ext. 4256
Michigan                Ann Arbor: Art, Architecture &
                        Engineering Library,
                        University of Michigan              (734) 647-5735
                        Big Rapids: Ferris Library for
                        Information, Technology &
                        Education, Ferris State
                        University                          (231) 592-3602
                        Detroit: Public Library             (313) 481-1391
                        Michigan Technological
                        University, Van Pelt and
                        Opie Library, Houghton              (906) 487-2500
Minnesota               Hennepin County Library
                        Minneapolis Central Library         (612) 543-8000
Mississippi             Jackson: Mississippi Library
                        Commission                          (601) 961-4111
Missouri                Kansas City: Linda Hall Library     (816) 363-4600
                                                                  Ext. 724
                        St. Louis Public Library            (314) 352-2900
Montana                 Butte: Montana Tech Library of
                        the University of Montana           (406) 496-4281
Nebraska                Lincoln: Engineering Library,
                        University of Nebraska-Lincoln      (402) 472-3411
New Hampshire           Concord: University of New
                        Hampshire School of Law             (603) 513-5130
Nevada                  Reno: University of Nevada, Reno,
                        Mathewson-IGT Knowledge Center      (775) 784-6500
                                                                  Ext. 257
New Jersey              Newark Public Library               (973) 733-7779
                        Piscataway: Library of Science and
                        Medicine, Rutgers University        (732) 445-2895
New York                Albany: New York State Library      (518) 474-5355
                        Buffalo and Erie County Public
                        Library                             (716) 858-7101
                        Rochester Public Library            (716) 428-8110
                        New York: New York Public Library,
                        Science Industry & Business Library (212) 592-7000
North Carolina          Charlotte: J. Murrey Atkins
                        Library,                            (704) 687-2241
                        University of North Carolina at
                        Charlotte                           (919) 515-2935
North Dakota            Grand Forks: Chester Fritz Library,
                        University of North Dakota          (701) 777-4888
Ohio                    Akron - Summit County Public        (330) 643-9075
                        Library
                        Cincinnati and Hamilton County,
                        Public Library of                   (513) 369-6932
                        Cleveland Public Library            (216) 623-2870
                        Dayton: Paul Laurence Dunbar
                        Library, Wright State University    (937) 775-3521
                        Toledo/Lucas County Public Library  (419) 259-5209
Oklahoma                Stillwater: Oklahoma State
                        University Edmon Low Library        (405) 744-6546
Pennsylvania            Philadelphia, The Free Library of   (215) 686-5394
                        Pittsburgh, Carnegie Library of     (412) 622-3138
                        University Park: PAMS Library,
                        Pennsylvania State University       (814) 865-7617
Puerto Rico             Bayamon: Learning Resources Center,
                        University of Puerto Rico           (787) 993-0000
                                                                 Ext. 3222
                        Mayaquez General Library,
                        University of Puerto Rico           (787) 832-4040
                                                                 Ext. 2023
                        Bayamon, Learning Resources Center,
                        University of Puerto Rico           (787) 786-5225
Rhode Island            Providence Public Library           (401) 455-8027
South Carolina          Clemson University Libraries        (864) 656-3024
South Dakota            Rapid City: Devereaux Library,
                        South Dakota School of Mines and
                        Technology                          (605) 394-1275
Tennessee               Nashville: Stevenson Science and
                        Engineering Library, Vanderbilt
                        University                          (615) 322-2717
Texas                   Austin: McKinney Engineering
                        Library, University of Texas at
                        Austin                              (512) 495-4511
                        College Station: West Campus
                        Library, Texas A & M University     (979) 845-2111
                        Dallas Public Library               (214) 670-1468
                        Houston: The Fondren Library, Rice
                        University                          (713) 348-5483
                        Lubbock: Texas Tech University      (806) 742-2282
                        San Antonio Public Library          (210) 207-2500
Utah                    Salt Lake City: Marriott Library,
                        University of Utah                  (801) 581-8394
Vermont                 Burlington: Bailey/Howe Library,
                        University of Vermont               (802) 656-2542
Washington              Seattle: Engineering Library,
                        University of Washington            (206) 543-0740
West Virginia           Morgantown: Evansdale Library,
                        West Virginia University            (304) 293-4695
Wisconsin               Wendt Commons Library,
                        University of Wisconsin-Madison     (608) 262-0696
                        Milwaukee Public Library            (414) 286-3051
Wyoming                 Cheyenne: Wyoming State Library     (307) 777-7281
Top of Notices Top of Notices
Patent Technology Centers
PATENT TECHNOLOGY CENTERS
AVERAGE FILING DATE OF APPLICATIONS RECEIVING A FIRST OFFICE ACTION IN THE LAST 3 MONTHS1
Technology
Center
GAU Avg Filing Date
1600 BIOTECHNOLOGY, AND ORGANIC CHEMISTRY
  1610 11/24/2012
  1620 09/30/2012
  1630 08/03/2012
  1640 10/15/2012
  1650 10/09/2012
  1660 06/25/2012
  TOTAL 09/30/2012
     
1700 CHEMICAL AND MATERIALS ENGINEERING AND DESIGNS
  1710 01/28/2012
  1720 05/22/2012
  1730 07/13/2012
  1740 05/25/2012
  1750 02/24/2012
  1760 08/12/2012
  1770 03/26/2012
  1780 05/13/2012
  1790 08/15/2012
  TOTAL 05/13/2012
     
2100 COMPUTER ARCHITECTURE AND SOFTWARE
  2110 04/04/2012
  2120 01/16/2012
  2140 01/31/2012
  2150 07/22/2012
  2160 07/10/2012
  2170 01/13/2012
  2180 03/13/2012
  2190 12/19/2011
  TOTAL 03/16/2012
     
2400 NETWORKING, MULTIPLEXING, CABLE AND SECURITY
  2410 04/25/2012
  2420 09/24/2012
  2430 08/06/2012
  2440 03/29/2012
  2450 04/19/2012
  2460 03/01/2012
  2470 03/01/2012
  2480 12/01/2011
  2490 06/28/2012
  TOTAL 04/16/2012
     
2600 COMMUNICATIONS
  2610 12/10/2011
  2620 12/16/2011
  2630 05/19/2012
  2640 06/07/2012
  2650 03/22/2012
  2660 04/25/2012
  2670 02/27/2012
  2680 04/07/2012
  2690 12/22/2011
  TOTAL 03/22/2012
     
2800   SEMICONDUCTORS/MEMORY, CIRCUITS/MEASURING AND TESTING, OPTICS/PHOTOCOPYING
  2810 08/22/2012
  2820 09/12/2012
  2830 04/07/2012
  2840 04/16/2012
  2850 04/10/2012
  2860 10/13/2011
  2870 05/07/2012
  2880 05/31/2012
  2890 08/25/2012
  TOTAL 05/16/2012
     
2900    
  2910 12/09/2012
  TOTAL 12/09/2012
     
3600     TRANSPORTATION, CONSTRUCTION, ELECTRONIC COMMERCE, AGRICULTURE, NATIONAL SECURITY AND LICENSE AND REVIEW
  3610 07/31/2012
  3620 04/19/2012
  3630 08/12/2012
  3640 03/29/2012
  3650 03/22/2012
  3660 06/03/2012
  3670 06/03/2012
  3680 05/25/2012
  3690 10/21/2012
  TOTAL 06/07/2012
     
3700   MECHANICAL ENGINEERING, MANUFACTURING AND PRODUCTS
  3710 06/28/2012
  3720 02/06/2012
  3730 04/19/2012
  3740 08/29/2011
  3750 02/03/2012
  3760 06/13/2012
  3770 05/07/2012
  3780 05/25/2012
  TOTAL 02/24/2012
     
  1 Report last updated on 10-31-2013.
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