[Federal Register Volume 60, Number 155 (Friday, August 11, 1995)]
[Proposed Rules]
[Pages 41035-41051]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-19488]
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DEPARTMENT OF COMMERCE
Patent and Trademark Office
37 CFR Part 1
[Docket No. 95-0720187-5187-01]
RIN 0651-AA79
Rules of Practice in Patent Cases; Reexamination Proceedings
AGENCY: Patent and Trademark Office, Commerce.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Patent and Trademark Office (Office) is proposing to amend
its rules of practice in patent cases to provide revised procedures for
the reexamination of patents. H.R. 1732 proposes to authorize the
extension of reexamination proceedings as a means for improving the
quality of United States patents. The Office intends, through this
proposed amendment of its rules, to provide patent owners and the
public with guidance on the procedures the Office would follow in
conducting reexamination proceedings.
DATES: A public hearing will be held on Wednesday, September 20, 1995,
at the Stouffer Renaissance Crystal City Hotel, 2399 Jefferson Davis
Highway, Arlington, Virginia, 22202 at 9:30 a.m. Those wishing to
present oral testimony must request an opportunity to do so no later
than September 14, 1995. Written comments must be submitted on or
before September 22, 1995.
ADDRESSES: Written comments concerning the rule changes should be
addressed to the Assistant Commissioner for Patents, Box DAC,
Washington, D.C. 20231, marked to the attention of Gerald A. Dost,
Senior Legal Advisor, Special Program Law Office, Crystal Park 1, Suite
520. In addition, written comments may also be sent by facsimile
transmission to (703) 308-6919 with a confirmation copy mailed to the
above address, or by electronic mail messages over the Internet to
reexamrule@uspto.gov.
[[Page 41036]]
Written comments concerning reexamination rule matters will be
available for public inspection on October 2, 1995, in Room 520 of
Crystal Park One, 2011 Crystal Drive, Arlington, Virginia.
FOR FURTHER INFORMATION CONTACT: Gerald A. Dost or Lawrence E. Anderson
by telephone at (703) 305-9285, by electronic mail at
landerso@uspto.gov, or by mail to Gerald A. Dost to his attention
addressed to the Assistant Commissioner for Patents, Box DAC,
Washington, D.C. 20231.
SUPPLEMENTARY INFORMATION:
Background
This proposed rulemaking sets forth distinct procedures directed
towards determining and improving the quality and reliability of United
States patents. The procedures are proposed to provide for the expanded
reexamination of patents as proposed in H.R. 1732.
Discussion of General Issues Involved
The proposals are in response to H.R. 1782 which resulted from
suggestions and comments to the Administration by the public, bar
groups, and the August 1992 Advisory Commission on Patent Law Reform
suggesting more participation in the reexamination proceeding by third
party requesters. Under the rules proposed herein, third party
requesters will have greater opportunity to participate in
reexamination proceedings in keeping with the spirit and intent of the
proposed law. At the same time, participation will be limited to
minimize the costs and other effects of reexamination requests on
patentees.
If H.R. 1732 is amended during the legislative process, the final
rules will comply with this legislation as enacted. If H.R. 1732 is not
enacted, the proposed rules for expanded reexamination of patents would
be withdrawn.
Because reexamination filed before the proposed law takes effect
will continue to be governed by 37 CFR 1.501-1.570, to avoid confusion
between the new and old rules the newly proposed reexamination rules
have been numbered 37 CFR 1.901-1.997.
Regarding the reexamination fee, 35 U.S.C. 41(d) requires the
Commissioner to set the fee for reexamination at a level which will
recover the estimated average cost to the Office. The estimated average
cost is $4,500 per patent owner requested reexamination and $11,000 for
third party requested reexaminations. The difference in price takes
into account the estimate that the examiner will spend twice the amount
of time examining a case where a third party requester is present and
additional costs incurred during the appellate stages incident to
additional processing steps required in the third party proceedings.
Discussion of the Major Specific Issues Involved
The proposed rules relating to reexamination proceedings are
directed to the procedures set forth in proposed Chapter 30 of Title 35
of the United States Code (35 U.S.C. 301-307). This proposed Chapter
provides for the citation of prior art in patents, filing of requests
for reexamination, decisions on such requests, reexamination and appeal
from reexamination decisions, and the issuance of a certificate at the
termination of the reexamination proceedings.
Section 1.4 is proposed to be amended so that paragraph (a)(2)
includes the reexamination Secs. 1.901-1.997.
Section 1.6 is proposed to be amended so that paragraph (d)(5)
includes Sec. 1.913, which related to the exception of the use of
facsimile transmission for filing the request for reexamination.
Section 1.11 is proposed to be amended so that paragraph (c), which
relates to reexaminations at the initiative of the Commissioner,
includes the reference to reexamination Sec. 1.929.
Section 1.17 is proposed to be amended so that paragraph (l)
reflects the fact that in the case of reexaminations filed after
January 1, 1996, petitions for revival of a reexamination proceeding
terminated for an unavoidable failure to respond require the fees of
$55.00 for a small entity and $110.00 for other than small entity.
Also, Sec. 1.17 is proposed to be amended so that paragraph (m)
reflects the fact that in the case of reexaminations filed after
January 1, 1996, petitions for revival of a reexamination proceeding
terminated for an unintentional failure to respond require the fees of
$605.00 for a small entity and $1,1210.00 for other than small entity.
The Office has proposed an increase in the fee set by Sec. 1.17(m). See
``Revision of Patent and Trademark Fees'' published in the Federal
Register at 60 FR 27934 (May 26, 1995) and in the Patent and Trademark
Office Official Gazette at 1174 Off. Gaz. Pat. Office 134 (May 30,
1995).
Section 1.20 is proposed to be amended so that paragraph (c)
reflects the fact that in the case of reexaminations filed after
January 1, 1996, there is a two tier fee scale in which patent owner
requesters will be charged $4,500 and third party requesters will be
charged $11,000.
Section 1.25 is proposed to be amended so that paragraph (b), which
relates to requests for reexaminations, includes the reference to
reexamination Sec. 1.913.
Section 1.26 is proposed to be amended so as to reflect that in the
case of reexaminations filed after January 1, 1996, a refund of
seventy-five percent (75%) of the fee paid for filing the request for
reexamination will be made to the requester.
Section 1.112 is proposed to be amended so that the last sentence
reflects the fact that in the case of reexamination filed after January
1, 1996, the examiner may close prosecution prior to making the action
final. Section 1.113, which provides for a final rejection or action in
a reexamination proceeding, is proposed to be amended so that its
application is limited to applicants and patent owners in
reexaminations filed before January 1, 1996. For reexaminations filed
after January 1, 1996, the new reexamination rules will apply.
Section 1.115, which provides for amendments by the patent owner in
a reexamination proceeding, is proposed to be amended so that its
application is limited to applicants and patent owners in
reexaminations filed before January 1, 1996. For reexaminations filed
after January 1, 1996, the new reexamination rules will apply.
Section 1.116, which provides for amendments after final action in
reexamination proceedings, is proposed to be amended so that its
application is permissible after an action closing prosecution for
patent owners in reexaminations filed on or after January 1, 1996.
Also, for clarity, the rule is amended to provide that for
reexaminations filed after January 1, 1996, no appeal is permitted
until a right of appeal notice has been issued.
Section 1.136, which provides for filing of timely responses with
petitions and fee for extension of time and extensions of time for
cause, is amended to make it clear that for reexamination proceedings
filed on or after January 1, 1996, Sec. 1.957 is controlling for
extensions of time.
Section 1.137, which provides for revival of abandoned applications
or lapsed patents, is proposed to be amended to change the title and
add new paragraphs (g) and (h). Paragraph (f) is proposed to be
utilized for provisional applications. Paragraph (g) is proposed to be
added to provide for revival of unavoidably terminated proceedings for
reexamination proceedings filed before January 1,
[[Page 41037]]
1996. Paragraph (h) is proposed to be added to make it clear that for
reexamination proceedings filed on or after January 1, 1996, Sec. 1.958
is controlling.
Section 1.191, which provides for appeal to the Board of Patent
Appeals and Interferences by the patent owner from any decision adverse
to patentability, is proposed to be amended so as to be applicable to
reexaminations filed before January 1, 1996. For reexamination
proceedings filed on or after January 1, 1996, Sec. 1.959 is
controlling.
Section 1.192, which provides two months from the date of the
Notice of Appeal for the patent owner to file an appeal brief in a
reexamination proceeding, is proposed to be amended so as to be
applicable to reexaminations filed before January 1, 1996. For
reexamination proceedings filed on or after January 1, 1996, Sec. 1.965
is controlling.
Section 1.193, which provides for the Examiner's answer and reply
brief, is proposed to be amended so as to be applicable to
reexaminations filed before January 1, 1996. For reexamination
proceedings filed on or after January 1, 1996, Secs. 1.969 and 1.971
are controlling.
Section 1.194, which provides for the oral hearing, is proposed to
be amended so as to be applicable to reexaminations filed before
January 1, 1996. For reexamination proceedings filed on or after
January 1, 1996, Sec. 1.973 is controlling.
Section 1.195, which provides for the affidavits or declarations
after appeal, is proposed to be amended so as to be applicable to
reexaminations filed before January 1, 1996. For reexamination
proceedings filed on or after January 1, 1996, Sec. 1.975 is
controlling.
Section 1.196, which provides for the decision of the Board of
Patent Appeals and Interferences, is proposed to be amended so as to be
applicable to reexaminations filed before January 1, 1996. For
reexamination proceedings filed on or after January 1, 1996, Sec. 1.977
is controlling.
Section 1.197, which provides for action following the decision, is
proposed to be amended so as to be applicable to reexaminations filed
before January 1, 1996. For reexamination proceedings filed on or after
January 1, 1996, Sec. 1.979 is controlling.
Section 1.198, which provides for reopening after the decision, is
proposed to be amended so as to be applicable to reexaminations filed
before January 1, 1996. For reexamination proceedings filed on or after
January 1, 1996, Sec. 1.981 is controlling.
Section 1.301, which provides for appeal by the owner of a patent
in reexamination proceedings to the U.S. Court of Appeals for the
Federal Circuit, is proposed to be amended so as to be applicable to
reexaminations filed before January 1, 1996. For reexamination
proceedings filed on or after January 1, 1996, Sec. 1.983 is
controlling.
Section 1.303, which provides for remedy by civil action under 35
U.S.C. 145 for the owner of a patent in reexamination proceedings, is
proposed to be amended so as to be applicable to reexaminations filed
before January 1, 1996. For reexamination proceedings filed on or after
January 1, 1996, Sec. 1.993 is controlling.
Section 1.304 which provides for time for appeal or civil action,
is proposed to be amended so as to refer also to Sec. 1.957.
The title to Subpart D is proposed to be amended to provide that
the reexamination rules in this part apply only to reexamination
proceedings filed before January 1, 1996.
The proposed title to Subpart H provides that the reexamination
rules in this part apply only to reexamination proceedings filed on or
after January 1, 1996.
Proposed Sec. 1.901 provides a system for citation of patents and
printed publications to the Office for placement in the patent file by
an person during the period of enforceability of the patent in
accordance with 35 U.S.C. 301. The section provides for citations
limited to patents and printed publications when the person making the
citation states the pertinency and applicability of the citation to the
patent and the bearing the citation has on the patentability of at
lease one claim of the patent. The rule provides that a citation made
by the patent owner may include an explanation of how the claims differ
from the prior art cited. Any citations which include items other than
patents and printed publications will not be entered in the patent
file. This does not, of course, limit in any manner the kinds and types
of information which can be relied upon in protests against pending
patent applications, whether such be original applications or reissue
applications. The term ``period of enforceability of a patent''
includes any period for which recovery can be had for infringement.
Under usual circumstances, this would be the term of the patent plus
the six years provided by 35 U.S.C. 286.
Proposed Sec. 1.902 provides for the processing of prior art
citations during a reexamination proceeding.
Proposed Sec. 1.903 provides for the service of papers on parties.
Proposed Sec. 1.904 provides that the notices published in the
Official Gazette will be considered to be constructive notice.
Proposed Sec. 1.905 provides for submission of papers by the
public.
Proposed Sec. 1.906 covers the scope of reexamination in a
reexamination proceeding. While it is not intended that the examiners
will routinely complete a new search when conducting reexamination, the
examiners will be free to, and will, very likely, conduct additional
searches and cite and apply additional prior patents and publications
when they consider it is appropriate and beneficial to do so. Insofar
as the actual reexamination is concerned, the examination is only on
the basis of patents or printed publications and on the basis of the
requirements of 35 U.S.C. 112, except for the best mode requirement.
Claims in a reexamination proceeding must not enlarge the scope of the
claims of the patent and must not introduce new matter. Paragraph (c)
provides that questions relating to matters other than those indicated
in paragraphs (a) and (b) of this section will not be resolved in a
reexamination proceeding, but will be noted by the examiner as being an
open question in the record. Patent owners could then file a reissue
application if they wish such questions to be resolved.
Proposed Sec. 1.907 sets forth when reexamination is prohibited.
Once an order to reexamine has been issued under Sec. 1.931, neither
the patent owner nor the third party requester, if any, nor privies of
either, may file a subsequent request for reexamination of the patent
until a reexamination certificate is issued under Sec. 1.997, unless
authorized by the Commissioner. Once a final decision has been entered
against a party in a civil action arising in whole or in part under 28
U.S.C. 1338 in which the party did not sustain its burden of proving
invalidity of any patent claim in suit, then neither that party nor its
privies may thereafter request reexamination of any such patent claim
on the basis of issues which that party or its privies raised or could
have raised in such civil action, and reexamination requested by that
party or its privies on the basis of such issues may not thereafter be
maintained by the Office.
Proposed Sec. 1.909 provides for estoppel of their party requesters
from previous reexamination proceedings. A third party requester, or
its privy, who,
[[Page 41038]]
during a reexamination proceeding, has filed a notice of appeal to the
Court of Appeals for the Federal Circuit, or who has participated as a
party to an appeal by the patent owner, under the provisions of 35
U.S.C. 141 to 144, is estopped from later asserting, in a subsequent
reexamination proceeding, the invalidity of any claim determined to be
patentable on appeal on any ground which the third party requester, or
its privy, raised or could have raised during the prior reexamination
proceeding. A third party requester, or its privy, is deemed not to
have participated as a party to an appeal by the patent owner unless,
within twenty days after the patent owner has filed notice of appeal,
the third party (or its privy) files notice with the Commissioner
electing to participate.
Proposed Sec. 1.911 provides factors for consideration of privies
and persons bound. For the purposes of Sec. 1.907, a determination of
whether person is a privy with respect to the patent owner shall
include consideration of whether there is: (1) a mutual, concurrent or
successive relationship to the same property rights in the patent
involved in the reexamination proceeding; or (2) representation of the
interests of the patent owner concerning the patent. For the purposes
of Secs. 1.907 and 1.909, a determination of whether a person is a
privy with respect to a third party requester shall include
consideration of whether there is: (1) a mutual, concurrent or
successive relationship to the same property rights which are or may be
affected by and/or infringe the patent involved in the reexamination
proceeding; or (2) representation of the interests of the other party
which are or may be affected by and/or potentially infringe the patent.
For the purposes of Secs. 1.907 and 1.909, a person who is not a party
to the reexamination proceeding but who controls or substantially
participates in the control of the presentation of the reexamination
proceeding on behalf of a party is bound by the determination of issues
decided as though he or she were a named party. To have control of the
presentation requires that person to have effective choice as to the
legal theories and/or grounds of rejection or defenses to be advanced
on behalf of the party to the reexamination proceeding. Under this
section a party would be precluded from hiring another law firm and
having that firm file a subsequent reexamination request in order to
avoid the prohibitions of 35 U.S.C. 307(c) or 308.
Proposed Sec. 1.913 sets forth procedures for any person to request
reexamination in accordance with 35 U.S.C. 302 and limits the period
for such request to the period of enforceability of the patent for
which the request is filed.
Proposed Sec. 1.915(a) requires payment of the fee for requesting
reexamination. Paragraph (b) of new Sec. 1.915 indicates what each
request for reexamination must include. Paragraph (c) of new Sec. 1.915
covers amendments which a patent owner can propose. Such amendments can
accompany a request for reexamination by the patent owner. Paragraph
(d) indicates that requests for reexamination may be filed by attorneys
or agents on behalf of a requester, but it is noted that the real party
in interest must be identified in accordance with Sec. 1.915(b)(10).
Proposed Sec. 1.917 indicates what will be done if the request is
incomplete.
Proposed Sec. 1.919 indicates the date on which the entire fee is
received will be considered to be the date of the request for
reexamination.
Proposed Sec. 1.921 provides that prior art submissions by the
third party requester filed after the reexamination order shall be
limited solely to prior art which is used to rebut a finding a fact by
the examiner or a response of the patent owner.
Proposed Sec. 1.923 relates to a determination as to whether the
request has presented a substantial new question of patentability under
35 U.S.C. 303 and requires that the determination be made within 3
months of the filing date of the request.
Proposed Sec. 1.925 refers to the refund provisions.
Proposed Sec. 1.927 provides for review by petition to the
Commissioner of any decision refusing reexamination.
Proposed Sec. 1.929 provides for reexamination at the initiative of
the Commissioner under the provisions of the last sentence of paragraph
(a) of 35 U.S.C. 303.
Proposed Sec. 1.931 provides for ordering reexamination where a
substantial new question of patentability has been found pursuant to
Secs. 1.923 or 1.929. Under paragraph (b), the only limitation placed
on the selection of the examiner by the Office is that the same
examiner whose decision was reversed on petition ordinarily will not
conduct the reexamination.
Proposed Sec. 1.933 covers the duty of disclosure by a patent owner
in a reexamination proceeding involving the owner's patent.
Proposed Sec. 1.935 indicates that the initial Office action
normally accompanies the reexamination order.
Proposed Sec. 1.937 provides that in accordance with 35 U.S.C.
305(c), unless otherwise provided by the Commissioner for good cause,
all reexamination proceedings will be conducted with special dispatch.
Paragraph (b) covers the basic items relating to the conduct of
reexamination proceedings.
Proposed Sec. 1.939 provides that no paper shall be filed before
the first Office action.
Proposed Sec. 1.941 provides for proposed amendments provided for
the second sentence of 35 U.S.C. 305. Amendments submitted by the
patent owner cannot enlarge the scope of a claim in the patent.
Amendments will not be effectively entered into the patent until the
certificate under Sec. 1.997 and 35 U.S.C. 307 is issued.
Proposed Sec. 1.943 provides a page limit for responses and briefs
of 50 pages. Prior art references and Appendix of claims would not be
included in this total.
Proposed Sec. 1.945 provides that a patent owner will be given at
least thirty days to respond to any Office action. Although problems
may arise in certain cases and extensions of time may be granted, it is
felt that relatively short response times are necessary in order to
process reexaminations with ``special dispatch.''
Proposed Sec. 1.9347 provides that in accordance with 35 U.S.C.
305(b)(3), if a patent owner files a response to any Office action on
the merits, the third party requester may once file written comments.
Proposed Sec. 1.949 provides when prosecution may be closed.
Proposed Sec. 1.951 provides for responses by the parties after an
Office action closing prosecution. The responses and time periods
provided for by paragraphs (a) and (b) may run concurrently.
Proposed Sec. 1.953 provides that, following the responses or
expiration of the time for response in Sec. 1.951, the examiner may
issue a right of appeal notice which shall include a final rejection or
final decision favorable to patentability in accordance with 35 U.S.C.
134. The intent of limiting the appeal rights until after the examiner
issues a ``Right of Appeal Notice'' is to specifically preclude the
possibility of one party attempting to appeal prematurely while
prosecution before the examiner is being continued by the other party.
Proposed Sec. 1.955 relates to the conduct of interviews in
reexamination proceedings. The third party requested is permitted to
attend all interviews. Interviews are permitted before the first Office
action only when initiated by the examiner.
Proposed Sec. 1.957 relates to extensions of time and termination
of
[[Page 41039]]
reexamination proceedings. In circumstances where the response by the
patent owner is not required by the examiner and is merely
discretionary, such as when all claims are allowed or their
patentability is confirmed and the patent owner is merely given the
opportunity for comment, such a failure to comment is not type of lack
of response contemplated by paragraphs (b) and (c) and, therefore, not
grounds for termination or limiting prosecution.
Proposed Sec. 1.958 relates to revival of terminated proceedings.
Proposed Sec. 1.959 relates to appeals and cross appeals to the
Board of Patent Appeals and Interferences. Both patent owners and third
party requesters are given appeal rights in accordance with 35 U.S.C.
306.
Proposed Sec. 1.961 relates to time of transfer of the jurisdiction
of the appeal over to the Board of Patent Appeals and Interferences.
Proposed Sec. 1.962 relates to the definition of appellant and
respondent.
Proposed Sec. 1.963 relates to the time periods for filing briefs.
Proposed Sec. 1.965 relates to the appellant brief.
Proposed Sec. 1.967 relates to the respondent brief.
Proposed Sec. 1.969 relates to the examiner's answer.
Proposed Sec. 1.971 relates to the reply brief.
Proposed Sec. 1.973 relates to the oral hearing.
Proposed Sec. 1.975 relates to affidavits or declarations after
appeal.
Proposed Sec. 1.977 relates to the decision by the Board of Patent
Appeals and Interferences.
Proposed Sec. 1.979 relates to the procedures following the
decision by the Board of Patent Appeals and Interferences.
Proposed Sec. 1.981 relates to the procedure for reopening
prosecution following the decision by the Board of Patent Appeals and
Interferences.
Proposed Sec. 1.983 relates to appeals to the United States Court
of Appeals for the Federal Circuit, in accordance with 35 U.S.C. 306.
Under H.R. 1732, civil actions under 35 U.S.C. 145 are not permitted in
reexamination proceedings filed on or after January 1, 1996.
Proposed Sec. 1.985 relates to notification or prior or concurrent
proceedings.
Proposed Sec. 1.987 relates to the stay of concurrent proceedings.
Decisions as to whether to delay or combine cases will be made on a
case-by-case basis to minimize delays and to protect the interests of
all parties concerned.
Proposed Sec. 1.989 relates to the merger of concurrent
proceedings.
Proposed Sec. 1.991 relates to the merger of a concurrent reissue
application and a reexamination proceeding.
Proposed Sec. 1.993 relates to the stay of a concurrent
interference and reexamination proceeding.
Proposed Sec. 1.995 relates to a third party requester's
participation rights being preserved in merged proceeding.
Proposed Sec. 1.997 concerns the issuance of the reexamination
certificate under 35 U.S.C. 307 after the conclusion of reexamination
proceedings. The certificate will cancel any patent claims determined
to be unpatentable, confirm any patent claims determined to be
patentable, and incorporate into the patent any amended or new claim
determined to be patentable. Once all of the claims have been canceled
from the patent, the patent ceases to be enforceable for any purpose.
Accordingly, any pending reissue or other Office proceeding relating to
a patent in which such a certificate has been issued will be
terminated.
This provides a degree of assurance to the public that patents with
all the claims canceled via reexamination proceedings will not again be
asserted. It is intended that copies of the certificate will continue
to be part of subsequently sold copies of the patent.
Other Considerations
The proposed rule changes are in conformity with the requirements
of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.), Executive
Order 12612, and the Paperwork Reduction Act of 1980, 44 U.S.C. 3501 et
seq. It has been determined that this rulemaking is not significant for
the purposes of Executive Order 12866.
The Assistant General Counsel for Legislation and Regulation of the
Department of Commerce has certified to the Chief Counsel for Advocacy,
Small Business Administration, that these proposed rule changes will
not have a significant economic impact on a substantial number of small
entities (Regulatory Flexibility Act, 5 U.S.C. 605(b)). The principal
impacts of these proposed changes are to expand the grounds for
requesting a reexamination and to permit the third party to participate
more extensively during the reexamination proceeding as well as having
appeal rights.
The Office has also determined that this notice has no Federalism
implications affecting the relationship between the National Government
and the States as outlined in Executive Order 12612.
These rule changes contain collection of information requirements
subject to the Paperwork Reduction Act of 1980, 44 U.S.C. 3501 et seq.,
which is currently approved by the Office of Management and Budget
under Control No. 0651-0033. The public reporting burden for the
collection of information for requests for reexamination is estimated
to average 2.0 hours each including the time for reviewing
instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the
collection of information. Send comments regarding this burden estimate
or any other aspect of this collection of information, including
suggestions for reducing this burden to the Office of System Quality
and Enhancement, Patent and Trademark Office, Washington, D.C. 20231,
and to the Office of Information and Regulatory Affairs, Office of
Management and Budget, Washington, DC 20503 (ATTN: Paperwork Reduction
Act Project 0651-0033).
Notice is hereby given that pursuant to the authority granted to
the Commissioner of Patents and Trademarks by 35 U.S.C. 6, the Patent
and Trademark Office proposed to amend Title 37 of the Code of Federal
Regulations as set forth below.
List of Subjects in 37 CFR Part 1
Administrative practice and procedure, Courts, Freedom of
Information, Inventions and patents, Reporting and record keeping
requirements, Small Businesses.
For the reasons set out in the preamble and under the authority
given to the Commissioner of Patents and Trademarks by 35 U.S.C. 6,
Part I of Title 37 CFR is proposed to be amended as set forth below.
PART 1--RULES OF PRACTICE IN PATENT CASES
1. The authority citation for 37 CFR Part 1 would continue to read
as follows:
Authority: 35 U.S.C. 6, unless otherwise noted.
2. Section 1.4(a)(2) is proposed to be revised to read as follows:
Sec. 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, Secs. 1.31 to 1.378; of international applications in
Subpart C, Secs. 1.401 to 1.499; or reexamination of patents filed
before January 1, 1996, in Subpart D,
[[Page 41040]]
1.501 to 1.570, and of reexaminations filed on or after January 1,
1996, in Subpart H, Secs. 1.901-1.997; of interferences in Subpart E;
Secs. 1.601 to 1.690; of extension of patent term in Subpart F,
Secs. 1.710 to 1.785; and of trademark applications Secs. 2.11 to
2.189.
* * * * *
3. Section 1.6(d)(5) is proposed to be revised to read as follows:
Sec. 1.6 Receipt of correspondence.
* * * * *
(d) (5) A request for reexamination under Sec. 1.510 or Sec. 1.913.
* * * * *
4. Section 1.11(c) is proposed to be revised to read as follows:
Sec. 1.11 Files open to the public.
* * * * *
(c) All requests for reexamination for which the fee under 1.20(c)
has been paid, will be announced in the Official Gazette. Any
reexaminations at the initiative of the Commissioner pursuant to 1.520
or 1.929 will also be announced in the Official Gazette. The
announcement shall include at least the date of the request, if any,
the reexamination request control number of the Commissioner initiated
order control number, patent number, title, class and subclass, name of
the inventor, name of the patent owner of record, and the examining
group to which the reexamination is assigned.
* * * * *
5. Section 1.17 (l) and (m) are proposed to be revised to read as
follows:
Sec. 1.17 Patent application processing fees.
* * * * *
(l) For filing a petition:
(1) For the revival of an unavoidably abandoned application under
35 U.S.C. 111, 133, 364, or 371,
(2) For delayed payment of the issue fee under 35 U.S.C. 151, or,
(3) For the revival of an unavoidably terminated reexamination
proceeding:
By a small entity (Sec. 1.9(f))
55.00
By other than a small entity
110.00
(m) For filing a petition:
(1) For revival of an unintentionally abandoned application,
(2) For the unintentionally delayed payment of the fee for issuing
a patent, or
(3) For reexamination proceedings filed on or after January 1,
1996, for the revival of an unintentionally terminated reexamination
proceeding:
By a small entity (Sec. 1.9(f))
605.00
By other than a small entity
1,210.00
* * * * *
6. Section 1.20(c) is proposed to be revised to read as follows:
Sec. 1.20 Post issuance fees.
* * * * *
(c) For filing a request for reexamination (Sec. 1.915(a)):
By a patent owner
$4,500.00
By a third party requester
$11,000.00
* * * * *
7. Section 1.25(b) is proposed to be revised to read as follows:
Sec. 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 Secs. 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
respect to a particular paper filed. An authorization charge to a
deposit account the fee for a request for reexamination pursuant to
Sec. 1.510 or Sec. 1.915 and any other fees required in a reexamination
proceeding in a patent may also be filed with the request for
reexamination. 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 as to the particular fee to be charged
unless sufficient funds are present in the account to cover the fee.
8. Section 1.26(c) is proposed to be revised to read as follows:
Sec. 1.26 Refunds.
* * * * *
(c) If the Commissioner decides not to institute a reexamination
proceeding, for reexaminations filed on or after January 1, 1996, a
refund of seventy-five percent (75%) of the fee paid for filing the
request for reexamination will be made to the requester. Reexamination
requesters should indicate whether any refund should be made by check
or by credit to a deposit account.
9. Section 1.112 is proposed to be revised to read as follows:
Sec. 1.112 Reconsideration.
After response by applicant or patent owner (Sec. 1.111), the
application or patent under reexamination will be reconsidered and
again examined. The applicant or patent owner will be notified if
claims are rejected, or objections or requirements made, in the same
manner as after the first examination. Applicant or patent owner may
respond to such Office action in the same manner provided in
Sec. 1.111, with or without amendment. Any amendments after the second
Office action must ordinarily be restricted to the rejection or to the
objections or requirements made. The application or patent under
reexamination will be again considered, and so on repeatedly, unless
the examiner has indicated that the action is final or is an action
closing prosecution.
10. Section 1.113(a) is proposed to be revised to read as follows:
Sec. 1.113 Final rejection or action.
(a) On the second or any subsequent examination or consideration
the rejection or other action may be made final, whereupon applicant's
or (for reexaminations filed before January 1, 1996) patent owner's
response is limited to appeal in the case of rejection of any claim
(Sec. 1.191), or to amendment as specified in Sec. 1.116. Petition may
be taken to the Commissioner in the case of objections or requirements
not involved in the rejection of any claim (Sec. 1.181). Response to a
final rejection or action must include cancellation of, or appeal from
the rejection of, each rejected claim. If any claim stands allowed, the
response to a final rejection or action must comply with any
requirements or objection as to form.
* * * * *
11. Section 1.115 is proposed to be revised to read as follows:
Sec. 1.115 Amendment.
The applicant may amend before or after the first examination and
action and also after the second or subsequent examination or
reconsideration as specified in Sec. 1.112 or when and as specifically
required by the examiner. For reexaminations filed before January 1,
1996, the patent owner may amend in accordance with Secs. 1.510(e) and
1.530(b) prior to reexamination, and during reexamination proceedings
in accordance with Secs. 1.112 and 1.116. For reexaminations filed on
or after January 1, 1996, the patent owner may amend in accordance with
Sec. 1.915(c) prior to reexamination, and during reexamination
proceedings in accordance with Secs. 1.941 and 1.945.
12. Section 1.116(a) is proposed to be revised to read as follows:
Sec. 1.116 Amendments after final action.
(a) After final rejection or action (Sec. 1.113) or action closing
prosecution (Sec. 1.949) for reexaminations filed on or after January
1, 1996, amendments may be made cancelling claims or complying with any
requirement of form which has been made. Amendments presenting
[[Page 41041]]
rejected claims in better form for consideration on appeal may be
admitted. The admission of, or refusal to admit, any amendment after
final rejection, and any proceedings relative thereto, shall not
operate to relieve the application or patent under reexamination from
its condition as subject to appeal or to save the application from
abandonment under Sec. 1.135. Notwithstanding the above, for
reexamination proceedings filed on or after January 1, 1996, no appeal
may be had until a right of appeal notice has been issued pursuant to
Sec. 1.953.
* * * * *
13. Section 1.136(a)(2) and (b) are proposed to be revised to read
as follows:
Sec. 1.136 Filing of timely responses with petition and fee for
extension of time and extensions of time for cause.
(a) * * *
(2) The date on which the response, the petition, and the fee have
been filed is the date of the response and also 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. In no case may an applicant respond later than the
maximum time period set by statute, or be granted an extension of time
under paragraph (b) of this section when the provisions of this
paragraph are available. See Sec. 1.136(b) for extensions of time
relating to proceedings pursuant to Sec. 1.193(b), 1.194, 1.196 or
1.197. See Sec. 1.304 for extension of time to appeal to the U.S. Court
of Appeals for the Federal Circuit or to commence a civil action. See
Sec. 1.550(c) for extension of time in reexamination proceedings filed
before January 1, 1996, Sec. 1.957 for extension of time in
reexamination proceedings filed on or after January 1, 1996, and
Sec. 1.645 for extension of time in interference proceedings.
(b) When a response with petition and fee for extension of time
cannot be filed pursuant to paragraph (a) of this section, the time for
response will be extended only for sufficient cause and for a
reasonable time specified. Any request for such extension must be filed
on or before the day on which action by the applicant is due, but in no
case will the mere filing of the request effect any extension. In no
case can any extension carry the date on which response to an Office
action is due beyond the maximum time period set by statute or be
granted when the provisions of paragraph (a) of this section are
available. See Sec. 1.304 for extension of time to appeal to the U.S.
Court of Appeals for the Federal Circuit or to commence a civil action,
Sec. 1.645 for extension of time in interference proceedings,
Sec. 1.550(c) for extension of time in reexamination proceedings filed
before January 1, 1996, and Sec. 1.957 for extension of time in
reexamination proceedings filed on or after January 1, 1996.
14. Section 1.137 (g) and (h) are proposed to be added and the
Section heading revised to read as follows:
Sec. 1.137 Revival of abandoned application, lapsed patent or
terminated reexamination.
* * * * *
(g) A reexamination proceeding filed before January 1, 1996, which
is terminated for failure to prosecute may be revised as a pending
proceeding if it is shown to the satisfaction of the Commissioner that
the delay was unavoidable. A petition to revive an unavoidably
terminated reexamination proceeding must be promptly filed after the
patent owner is notified of, or otherwise becomes aware of, the
termination of the proceeding, and must be accompanied by:
(1) a proposed response to continue prosecution of that proceeding
unless it has been previously filed;
(2) the petition fee as set forth in Sec. 1.17(1); and
(3) a showing that the delay was unavoidable. The showing must be a
verified showing if made by a person not registered to practice before
the Patent and Trademark Office.
(h) For reexamination proceedings filed on or after January 1,
1996, see Sec. 1.958.
15. Section 1.191(a) is proposed to be revised to read as follows:
Sec. 1.191 Appeal to Board of Patent Appeals and Interferences.
(a) Every applicant for a patent or for reissue of a patent, or
every owner of a patent under reexamination (for reexaminations filed
before January 1, 1996), any of the claims of which have been twice
rejected or who has been given a final rejection (Sec. 1.113), may,
upon the payment of the fee set forth in Sec. 1.17(e), appeal from the
decision of the examiner to the Board of Patent Appeals and
Interferences within the time allowed for response. Notwithstanding the
above, for reexamination proceedings filed on or after January 1, 1996,
Sec. 1.959 et seq., is controlling.
* * * * *
16. Section 1.192(a) is proposed to be revised to read as follows:
Sec. 1.192 Applicant's brief.
(a) The appellant shall, within 2 months from the date of the
notice of appeal under Sec. 1.191 in an application, reissue
application, or patent under reexamination (for reexaminations filed
before January 1, 1996), or within the time allowed for response to the
action appealed from, if such time is later, file a brief in
triplicate. The brief must be accompanied by the requisite fee set
forth in Sec. 1.17(f) and must set forth the authorities and arguments
on which the appellant will rely to maintain the appeal. Any arguments
or authorities not included in the brief may be refused consideration
by the Board of Patent Appeals and Interferences. Notwithstanding the
above, for reexamination proceedings filed on or after January 1, 1996,
Sec. 1.965 is controlling.
* * * * *
17. Section 1.193 is proposed to be amended by adding a paragraph
(c) to read as follows:
Sec. 1.193 Examiner's answer.
* * * * *
(c) Notwithstanding the above, for reexamination proceedings filed
on or after January 1, 1996, Secs. 1.969 and 1.971 are controlling.
18. Section 1.194 is proposed to be amended by adding a paragraph
(d) to read as follows:
Sec. 1.194 Oral hearing.
* * * * *
(d) Notwithstanding the above, for reexamination proceedings filed
on or after January 1, 1996, Sec. 1.973 is controlling.
19. Section 1.195 is proposed to be revised to read as follows:
Sec. 1.195 Affidavits or declarations after appeal.
Affidavits, declarations, or exhibits submitted after the case has
been appealed will not be admitted without a showing of good and
sufficient reasons why they were not earlier presented. Notwithstanding
the above, for reexamination proceedings filed on or after January 1,
1996, Sec. 1.975 is controlling.
20. Section 1.196 is proposed to be amended by adding a paragraph
(g) to read as follows:
Sec. 1.196 Decision by the Board of Patent Appeals and Interferences.
* * * * *
(g) Notwithstanding the above, for reexamination proceedings filed
on or after January 1, 1996, Sec. 1.977 is controlling.
21. Section 1.197 is proposed to be amended by adding a paragraph
(d) to read as follows:
[[Page 41042]]
Sec. 1.197 Action following decision.
* * * * *
(d) Notwithstanding the above, for reexamination proceedings filed
on or after January 1, 1996, Sec. 1.979 is controlling.
22. Section 1.198 is proposed to be revised to read as follows:
Sec. 1.198 Reopening after decision.
Cases which have been decided by the Board of Patent Appeals and
Interferences will not be reopened or reconsidered by the primary
examiner except under the provisions of Sec. 1.196 without the written
authority of the Commissioner, and then only for the consideration of
matters not already adjudicated, sufficient cause being shown.
Notwithstanding the above, for reexamination proceedings filed on or
after January 1, 1996, Sec. 1.981 is controlling.
23. Section 1.301 is proposed to be revised to read as follows:
Sec. 1.301 Appeal to U.S. Court of Appeals for the Federal Circuit.
Any applicant or any owner of a patent involved in a reexamination
proceeding (filed before January 1, 1996) dissatisfied with the
decision of the Board of Patent Appeals and Interferences, and any
party to an interference dissatisfied with the decision of the Board of
Patent Appeals and Interferences, may appeal to the U.S. Court of
Appeals for the Federal Circuit. The appellant must take the following
steps in such an appeal: In the Patent and Trademark Office file a
written notice of appeal directed to the Commissioner (see Secs. 1.302
and 1.304); and in the Court, file a copy of the notice of appeal and
pay the fee for appeal as provided by the rules of the Court.
Notwithstanding the above, for reexamination proceedings filed on or
after January 1, 1996, Sec. 1.983 is controlling.
24. Section 1.303 is proposed to be amended by revising paragraphs
(a) and (b) and adding a new paragraph (d) to read as follows:
Sec. 1.303 Civil action under 35 U.S.C. 145, 146, 306.
(a) Any applicant or any owner of a patent involved in a
reexamination proceeding (filed before January 1, 1996) dissatisfied
with the decision of the Board of Patent Appeals and Interferences, and
any party dissatisfied with the decision of the Board of Patent Appeals
and Interferences may, instead of appealing to the U.S. Court of
Appeals for the Federal Circuit (Sec. 1.301), have remedy by civil
action under 35 U.S.C. 145 or 146, as appropriate. Such civil action
must be commenced within the time specified in Sec. 1.304.
(b) If an applicant in an ex parte case or an owner of a patent
involved in a reexamination proceeding (filed before January 1, 1996)
has taken an appeal to the U.S. Court of Appeals for the Federal
Circuit, he or she thereby waives his or her right to proceed under 35
U.S.C. 145.
* * * * *
(d) For reexamination proceedings filed on or after January 1,
1996, no remedy by civil action under 35 U.S.C. 145 is available.
25. Section 1.304(a)(2) is proposed to be revised to read as
follows:
Sec. 1.304 Time for appeal or civil action.
(a) * * *
(2) The time periods set forth in this section are not subject to
the provisions of Secs. 1.136, 1.550(c), 1.957 or 1.645 (a) or (b).
* * * * *
26. The heading for Subpart D is proposed to be revised to read as
follows:
Subpart D--Reexamination of Patents for Proceedings Filed Before
January 1, 1996 (For Proceeding beginning on or after January 1,
1996, see Subpart H)
27. Subpart H is proposed to be added to read as follows:
Subpart H--Reexamination of Patents for Proceedings Filed On or
After January 1, 1996 (For Proceedings beginning Before January 1,
1996, see Subpart D)
Sec.
1.901 Citation of prior art in patents file.
1.902 Processing of prior art citations in patent files during a
reexamination proceeding.
Reexamination Proceedings
1.903 Service of papers on parties.
1.904 Notice of reexamination in Official Gazette.
1.905 Submission of papers by public.
1.906 Scope of reexamination in reexamination proceeding.
1.907 Reexamination prohibited.
1.909 Estoppel of third party requester from previous reexamination
proceedings.
1.911 Privies and persons bound.
Determining if Reexamination Will Be Ordered
1.913 Persons eligible.
1.915 Content of request.
1.917 Omission of a requirement in the request for reexamination.
1.919 Filing date for request for reexamination.
1.921 Submission of prior art by third party following the order
for reexamination.
1.923 Examiner's consideration of the request for reexamination.
1.925 Partial refund if request is denied.
1.927 Petition to review denial of the request for reexamination.
Reexamination of Patients
1.929 Reexamination at the initiative of the Commissioner.
1.931 Order to reexamine.
Information Disclosure
1.933 Information material to patentability in reexamination
proceedings.
Office Actions and Responses (Before the Examiner)
1.935 Initial Office action normally accompanies order to
reexamine.
1.937 Conduct of Reexamination.
1.939 Unauthorized papers.
1.941 Amendments by patent owner and their effective date.
1.943 Length of responses and briefs.
1.945 Response by patent owner.
1.947 Response by third party requester to patent owner's response.
1.949 Examiner's Office action closing prosecution.
1.951 Responses after Office action closing prosecution.
1.953 Examiner's Right of Appeal Notice.
Interviews
1.955 Interviews in reexamination proceedings.
Extensions of Time and Revival of Proceedings
1.957 Extensions of time and cause for termination in reexamination
proceedings.
1.958 Revival of terminated proceedings.
Appeal to the Board of Patent Appeals and Interferences
1.959 Notice of appeal and cross appeal to Board of Patent Appeals
and Interferences.
1.961 Jurisdiction over appeal.
1.962 Appellant and respondent defined.
1.963 Time for filing briefs.
1.965 Appellant brief.
1.967 Respondent brief.
1.969 Examiner's answer.
1.971 Reply brief.
1.973 Oral hearing.
1.975 Affidavits or declarations after appeal.
1.977 Decision by the Board of Patent Appeals and Interferences.
1.979 Action following decision.
1.981 Reopening after decision.
Appeal to the United States Court of Appeals for the Federal Circuit
1.983 Appeal to the United States Court of Appeals for the Federal
Circuit.
Proceedings Including Same Patient as in Reexamination
1.985 Notification of prior or concurrent proceedings.
1.987 Stay of concurrent proceeding.
1.989 Merger of concurrent reexamination proceedings.
[[Page 41043]]
1.991 Merger of concurrent reissue application and reexamination
proceeding.
1.993 Stay of concurrent interference and reexamination proceeding.
1.995 Third party requester's participation rights preserved in
merged proceedings.
Certificate
1.997 Issuance of reexamination certificate after reexamination
proceedings.
Sec. 1.901 Citation of prior art in patent files.
(a) At any time during the period of enforceability of a patent,
any person may cite to the Patent and Trademark Office in writing prior
art consisting of patents or printed publications which that person
states to be pertinent and applicable to the patent and believes to
have a bearing on the patentability of any claim of a particular
patent. If the citation is made by the patent owner, the explanation of
pertinency and applicability may include an expansion of how the claims
differ from the prior art.
(b) If the person making the citation wishes his or her identity to
be excluded from the patent file and kept confidential, the citation
papers must be submitted without any identification of the person
making the submission.
(c) Citations of patent or printed publications by the public in
patent files should either:
(1) reflect that a copy of the same has been mailed to the patent
owner at the address as provided in Sec. 1.33(c); or in the event
service is not possible,
(2) be filed with the Office in duplicate.
(d) Except as provided in Sec. 1.902, citations submitted in
accordance with this section will be placed and made of record in the
patent file.
Sec. 1.902 Processing of prior art citations in patent files during a
reexamination proceeding.
Citations by the patent owner in accordance with Sec. 1.933 and by
a reexamination third party requester under Sec. 1.915 will be entered
in the patent file. The entry in the patent file of other citations
submitted after the date of an order to reexamine pursuant to
Sec. 1.931 will be delayed until the reexamination proceeding has been
terminated.
Reexamination Proceedings
Sec. 1.903 Service of papers on parties.
The patent owner and any third party requester will be sent copies
of Office actions issued during the reexamination proceeding. After
filing of a request for reexamination by a third party requester, any
document filed by either the patent owner or the third party requester
must be served on every other party in the reexamination proceeding in
the manner provided in Sec. 1.248. Any document must reflect service or
the document may be refused consideration by the Office. The failure of
the third party requester, if any, to timely file or serve documents
may result in their being refused consideration.
Sec. 1.904 Notice of reexamination in Official Gazette.
A notice of the filing of a reexamination request or initiation of
a Commissioner-ordered reexamination will be published in the Official
Gazette. The notice in the Official Gazette under Sec. 1.11(c) will be
considered to be constructive notice of the reexamination proceeding
and reexamination will proceed.
Sec. 1.905 Submission of papers by public.
Unless specifically provided for, no submissions on behalf of any
third parties other than third party requesters as defined in 35 U.S.C.
100(e) will be considered unless such submissions are in accordance
with Sec. 1.915 or entered in the patent file prior to the date of the
order to reexamine pursuant to Sec. 1.931. Submissions by third
parties, other than third party requesters, filed after the date of the
order to reexamine pursuant to Sec. 1.931, must meet the requirements
of Sec. 1.901 (a) through (c) and will be treated in accordance with
Sec. 1.902.
Sec. 1.906 Scope of reexamination in reexamination proceeding.
(a) Claims in a reexamination proceeding will be examined on the
basis of patents or printed publications and on the basis of the
requirements of 35 U.S.C. 112 except for the best mode requirement.
(b) Claims in a reexamination proceeding must not enlarge the scope
of the claims of the patent.
(c) Questions other than those indicated in paragraphs (a) and (b)
of this section will not be resolved in a reexamination proceeding. If
such questions are raised by the patent owner or third party requester
during a reexamination proceeding, the existence of such questions will
be noted by the examiner in the next Office action, in which case the
patent owner may desire to consider the advisability of filing a
reissue application to have such questions considered and resolved.
Sec. 1.907 Reexamination prohibited.
(a) Once an order to reexamine has been issued under Sec. 1.931,
neither the patent owner nor the third party requester, if any, nor
privies of either, may file a subsequent request for reexamination of
the patent until a reexamination certificate is issued under
Sec. 1.997, unless authorized by the Commissioner.
(b) Once a final decision has been entered against a party in a
civil action arising in whole or in part under 28 U.S.C. 1338 that the
party has not sustained its burden of proving invalidity of any patent
claim in suit, then neither that party nor its privies may thereafter
request reexamination of any such patent claim on the basis of issues
which that party or its privies raised or could have raised in such
civil action, and a reexamination requested by that party, or its
privies, on the basis of such issues may not thereafter be maintained
by the Office.
Sec. 1.909 Estoppel of third party requester from previous
reexamination proceedings.
A third party requester, or its privy, who, during a reexamination
proceeding, has filed a notice of appeal to the Court of Appeals for
the Federal Circuit, or who has participated as a party to an appeal by
the patent owner, under the provisions of 35 U.S.C. 141 to 144, is
estopped from later serving, in a subsequent reexamination proceeding,
the invalidity of any claim determined to be patentable on appeal on
any ground which the third party requester, or its privy, raised or
could have raised during the prior reexamination proceeding. A third
party requester, or its privy, is deemed not to have participated as a
party to an appeal by the patent owner unless, within twenty days after
the patent owner has filed notice of appeal, the third party, or its
privy, files notice with the Commissioner's electing to participate.
Sec. 1.911 Privies and persons bound.
(a) For the purposes of Sec. 1.907, a determination of whether a
person is a privy with respect to the patent owner shall include
consideration of whether there is:
(1) a mutual, concurrent or successive relationship to the same
property rights in the patent involved in the reexamination proceeding;
or
(2) representation of the interests of the patent owner concerning
the patent.
(b) For the purposes of Secs. 1.907 and 1.909, a determination of
whether a person is a privy with respect to a third party requester
shall include consideration of whether there is:
(1) a mutual, concurrent or successive relationship to the same
property rights which are or may be affected by and/or infringe the
patent involved in the reexamination proceeding; or
(2) representation of the interests of the other party which are or
may be
[[Page 41044]]
affected by and/or potentially infringe the patent.
(c) For the purposes of Secs. 1.907 and 1.909, a person who is not
a party to the reexamination proceeding but who controls or
substantially participates in the control of the presentation of the
reexamination proceeding on behalf of a party is bound by the
determination of issues decided as though he or she were a named party.
To have control of the presentation requires that person to have
effective choice as to the legal theories and/or grounds of rejection
or defenses to be advanced on behalf of the party to the reexamination
proceeding.
Determining if Reexamination Will Be Ordered
Sec. 1.913 Persons eligible.
Except as otherwise provided, any person may, at any time during
the period of enforceability of a patent, file a request for
reexamination by the Patent and Trademark Office of any claim of the
patent on the basis of prior art patents or printed publications cited
under Sec. 1.901 or on the basis of the requirements of 35 U.S.C. 112
except for the best mode requirement.
Sec. 1.915 Content of request.
(a) The request must be accompanied by the fee for requesting
reexamination set in Sec. 1.20(c).
(b) Any request for reexamination must include the following parts:
(1) A statement pointing out each substantial new question of
patentability based on prior patents and printed publications or based
on the manner in which the patent specification or claims fail to
comply with the requirements of 35 U.S.C. 112 except for the best mode
requirement.
(2) An identification of every claim for which reexamination is
requested.
(3) A detailed explanation of the pertinency and manner of applying
the cited prior art to every claim for which reexamination is requested
or a detailed explanation of the manner in which the specification or
claim(s) fail to comply with 35 U.S.C. 112 except for the best mode
requirement. If appropriate, the party requesting reexamination may
also point out how claims distinguish over cited prior art or how 35
U.S.C. 112 requirements are complied with except for the best mode
requirement.
(4) A copy of every patent or printed publication relied upon or
referred to in paragraphs (b) (1) and (3) of this section accompanied
by an English language translation of all the necessary and pertinent
parts of any non-English language document.
(5) The entire patent for which reexamination is requested must be
furnished in the form of cut-up copies of the original patent with only
a single column of the printed patent securely mounted or reproduced in
permanent form on one side of a separate paper. A copy of any
disclaimer, certificate of correction, or reexamination certificate
issued in the patent must also be included.
(6) A certification that a copy of the request filed by a person
other than the patent owner has been served in its entirety on the
patent owner at the address as provided for in Sec. 1.33(c). The name
and address of the party served must be indicated. If service was not
possible, a duplicate copy must be supplied to the Office.
(7) If the patent is currently involved in a reexamination
proceeding for which a reexamination certificate has not been issued, a
certification that the person making the request is not a privy of the
patent owner or third party requester, unless otherwise authorized by
the Commissioner.
(8) In a request filed by a third party requester, a certification
that
(i) no final decision has been entered against that party or its
privies in a civil action arising in whole or in part under 28 U.S.C.
1338 in which that party or its privies did not sustain its burden of
proving the invalidity of any patent claim in suit, and
(ii) neither that party nor its privies are requesting
reexamination of any such patent claim on the basis of issues which
that party or its privies raised or could have raised in such civil
action.
(9) In a request filed by a third party requester, a certification
that the request does not assert the invalidity of any claim determined
to be patentable on appeal on any ground which the third party
requester or its privy raised or could have raised during a prior
reexamination proceeding in which that party or its privies filed a
notice of appeal to the Court of Appeals for the Federal Circuit and/or
participated as a party to an appeal by the patent owner, under the
provisions of 35 U.S.C. 141 to 144.
(10) A statement identifying the real party in interest to the
extent necessary for a subsequent person filing a reexamination request
to determine whether that person is a privy.
(c) A request filed by the patent owner may include a proposed
amendment in accordance with Sec. 1.121(f).
(d) If a request is filed by an attorney or agent identifying
another party on whose behalf the request is being filed, the attorney
or agent must have a power of attorney from that party or be acting in
a representative capacity pursuant to Sec. 1.34(a).
Sec. 1.917 Omission of a requirement in the request for reexamination.
If the request is not accompanied by the fee for requesting
reexamination or all of the other parts required by Sec. 1.915, the
person identified as requesting reexamination will be so notified and
given an opportunity to complete the request within a specified time.
If the fee for requesting reexamination has been paid but the defect in
the request is not corrected within the specified time, the
determination whether or not to institute reexamination will be made on
the request as it then exists. If the fee for requesting reexamination
has not been paid, no determination will be made and the request will
be placed in the patent file as a citation if it complies with the
requirements of Sec. 1.901 and/or Sec. 1.902.
Sec. 1.919 Filing date for request for reexamination.
The filing date of the request is the date on which the request
including the entire fee for requesting reexamination is received; or,
if the request is not initially accompanied by the entire fee, the date
on which the last portion of the fee is received in the Patent and
Trademark Office.
Sec. 1.921 Submission of prior art by third party following the order
for reexamination.
Prior art submissions by the third party requester filed after the
reexamination order shall be limited solely to prior art which is used
to rebut a finding of fact by the examiner or a response of the patent
owner.
Sec. 1.923 Examiner's consideration of the request for reexamination.
Within three months following the filing date of a request for
reexamination, an examiner will consider the request and determine
whether or not a substantial new question of patentability affecting
any claim of the patent is raised by the request and the prior art
cited therein, with or without consideration of other patents or
printed publications, or by the failure of the patent specification or
claim(s) to comply with the requirements of 35 U.S.C. 112 except for
the best mode requirement. The examiner's determination will be used on
the claims in effect at the time of the determination and will become a
part of the official file of the patent and will be mailed to the
patent owner at the address as provided for in Sec. 1.33(c) and to the
person requesting reexamination.
Sec. 1.925 Partial refund if request is denied.
Where no substantial new question of patentability has been found,
a refund of a portion of the fee for requesting
[[Page 41045]]
reexamination will be made to the requester in accordance with
Sec. 1.26(c).
Sec. 1.927 Petition to review denial of the request for reexamination.
The requester may seek review by a petition to the Commissioner
under Sec. 1.181 within one month of the mailing date of the examiner's
determination refusing reexamination. Any such petition must comply
with Sec. 1.181(b). If no petition is timely filed or if the decision
on petition affirms that no substantial new question of patentability
has been raised, the determination shall be final and nonappealable.
Reexamination of Patents
Sec. 1.929 Reexamination at the initiative of the Commissioner.
The Commissioner, at any time during the period of enforceability
of a patent, may determine whether or not a substantial new question of
patentability is raised by patents or printed publications which have
been discovered by the Commissioner or which have been brought to the
Commissioner's attention or by the failure of the patent specification
or claim(s) to comply with the requirements of 35 U.S.C. 112 except for
the best mode requirement. The Commissioner may order reexamination
even though no request for reexamination has been filed in accordance
with Sec. 1.915. Normally requests from outside the Patent and
Trademark Office that the Commissioner undertake reexamination on his
or her own initiative will not be considered. Any determination to
initiate reexamination under this section will become a part of the
official file of the patent and will be given or mailed to the patent
owner at the address as provided for in Sec. 1.33(c).
Sec. 1.931 Order to reexamine.
(a) If a substantial new question of patentability is found, the
determination will include an order for reexamination of the patent for
resolution of the question.
(b) If the order for reexamination resulted from a petition
pursuant to Sec. 1.927, the reexamination will ordinarily be conducted
by an examiner other than the examiner responsible for the initial
determination under Sec. 1.923.
Information Disclosure
Sec. 1.933 Information material to patentability in reexamination
proceedings.
(a) A patent by its very nature is affected with a public interest.
The public interest is best served, and the most effective
reexamination occurs when, at the time a reexamination proceeding is
being conducted, the Office is aware of and evaluates the teachings of
all information material to patentability in a reexamination
proceeding. Each individual associated with the patent owner in a
reexamination proceeding has a duty of candor and good faith in dealing
with the Office, which includes a duty to disclose to the Office all
information known to that individual to be material to patentability in
a reexamination proceeding. The individuals who have a duty to disclose
to the Office all information known to them to be material to
patentability in a reexamination proceeding are the patent owner, each
attorney or agent who represents the patent owner, and every other
individual who is substantively involved on behalf of the patent owner
in a reexamination proceeding. The duty to disclose the information
exists with respect to each claim pending in the reexamination
proceeding until the claim is cancelled. Information material to the
patentability of a cancelled claim need not be submitted if the
information is not material to patentability of any claim remaining
under consideration in the reexamination proceeding. The duty to
disclose all information known to be material to patentability in a
reexamination proceeding is deemed to be satisfied if all information
known to be material to patentability of any claim in the patent after
issuance of the reexamination certificate was cited by the Office or
submitted to the Office in an information disclosure statement.
However, the duties of candor, good faith, and disclosure have not been
complied with if any fraud on the Office was practiced or attempted or
the duty of disclosure was violated through bad faith or intentional
misconduct by, or on behalf of, the patent owner in the reexamination
proceeding. Any information disclosure statement must be filed with the
items listed in Sec. 1.98(a) as applied to individuals associated with
the patent owner in a reexamination proceeding, and should be filed
within two months of the date of the order for reexamination, or as
sooner thereafter as possible.
(b) Under this section, information is material to patentability in
a reexamination proceeding when it is not cumulative to information of
record or being made of record in the reexamination proceeding, and
(1) It is a patent or printed publication that establishes, by
itself or in combination with other patents or printed publications, a
prima facie case of unpatentability of a claim; or
(2) It refutes, or is inconsistent with, a position the patent
owner takes in:
(i) Opposing an argument of unpatentability relied on by the
Office, or
(ii) Asserting an argument of patentability.
A prima facie case of unpatentability of a claim pending in a
reexamination proceeding is established when the information compels a
conclusion that a claim is unpatentable under the preponderance of
evidence, burden-of-proof standard, giving each term in the claim its
broadest reasonable construction consistent with the specification, and
before any consideration is given to evidence which may be submitted in
an attempt to establish a contrary conclusion of patentability.
(c) The responsibility for compliance with this section rests upon
the individuals designated in paragraph (a) of this section, and no
evaluation will be made by the Office in the reexamination proceeding
as to compliance with this section. If questions of compliance with
this section are discovered during a reexamination proceeding, they
will be noted as unresolved questions in accordance with Sec. 1.906(c).
Office Actions and Responses (Before the Examiner)
Sec. 1.935 Initial Office action normally accompanies order to
reexamine.
The order for reexamination will normally be accompanied by the
initial Office action on the merits of the reexamination.
Sec. 1.937 Conduct of Reexamination.
(a) All reexamination proceedings, including any appeals to the
Board of Patent Appeals and Interference, will be conducted with
special dispatch within the Office, unless the Commissioner makes a
determination that there is good cause for suspending the reexamination
proceding. A final determination that good cause exists shall not be
made until the patent owner and third party requesters (if any) have
had a reasonable opportunity to comment on or oppose any suspension.
(b) Except as otherwise provided, the reexamination proceeding will
be conducted in accordance with the sections governing the application
examination process; Secs. 1.104 through 1.119, and will result in the
issuance of a reexamination certificate under Sec. 1.997.
Sec. 1.939 Unauthorized papers.
Unless authorized by the reexamination regulations (Secs. 1.901-
[[Page 41046]]
1.997), no paper shall be filed prior to the first Office action. If an
unauthorized paper is filed by the patent owner or third party
requester, it will not be considered in making the determination under
Sec. 1.923 and will be returned.
Sec. 1.941 Amendments by patent owner and their effective date.
(a) Any proposed amendment to the description and claims must be
made in accordance with Sec. 1.121(f) and be accompanied by an
explanation of the support for the proposed amendment in the disclosure
of the patent. No amendment may enlarge the scope of the claims of the
patent or introduce new matter. No amendment may be proposed for entry
in an expired patent. Moreover, no amendment will be incorporated into
the patent by certificate issued after the expiration of the patent.
(b) Amendments made to a patent during a reexamination proceeding
will not be effective until a reexamination certificate is issued.
Sec. 1.943 Length of responses and briefs.
Responses and appellant briefs by the patent owner (including
amendments) and third party requester, if any, shall not exceed 50
pages in length, excluding Appendix of claims and reference materials
such as prior art references. All further briefs by any party shall not
exceed 35 pages in length.
Sec. 1.945 Response by patent owner.
The patent owner will be given at least thirty (30) days to respond
to any Office action. Such response may include arguments in response
to any rejections and/or proposed amendments or new claims to place the
patent in condition where all claims, if amended as proposed, would be
patentable.
Sec. 1.947 Response by third party requester to patent owner's
response.
If the patent owner files a response to an Office action, any third
party requester may once file written comments within a period of one
month from the date of service of the patent owner's response. These
comments shall be limited to issues covered by the action or the patent
owner's response.
Sec. 1.949 Examiner's Office action closing prosecution.
Upon consideration of the issues and/or grounds of rejection a
second or subsequent time, or upon allowance of all claims, the
examiner shall issue an Office action treating all claims present in
the reexamination proceeding, which may be an action closing
prosecution. An action will not normally close prosecution if it
includes a new ground of rejection which was not previously addressed
by the patent owner, unless the new ground was necessitated by an
amendment.
Sec. 1.951 Responses after Office action closing prosecution.
After any action closing prosecution issued by the examiner, the
third party requester may once file written comments limited to the
issues raised in the Office action closing prosecution. Such comments
must be filed within the time set for response in the action closing
prosecution. When the third party requester does file such comments,
the patent owner may file comments responding to the third party
requester's comments within one month from the date of service of the
third party requester's comments on the patent owner.
(b) After any action closing prosecution issued by the examiner,
the patent owner may once file written comments limited to the issues
raised in the reexamination proceeding and/or present a proposed
amendment to the claims which amendment will be subject to the criteria
of Sec. 1.116 as to whether it shall be entered and/or considered. Such
comments and/or proposed amendments must be filed within the time set
for response in the action closing prosecution. Where the patent owner
does file such comments and/or proposed amendment, the third party
requester may file comments responding to such comments and/or proposed
amendments by the patent owner within one month from the date of
service of patent owner's comments and/or proposed amendment on the
third party requester.
Sec. 1.953 Examiner's Right of Appeal Notice.
Upon considering the responses of the patent owner and any third
party requester subsequent to the Office action closing prosecution, or
upon expiration of the time for submitting such responses, the examiner
shall issue a ``Right of Appeal Notice,'' unless the examiner reopens
prosecution. The ``Right of Appeal Notice'' shall include a final
rejection and/or final decision favorable to patentability which shall
identify the status of each claim and reasons for patentability or
grounds of rejection for each claim. It shall set a 30-day or one month
time period, whichever is longer, for either party to appeal. If no
appeal follows, the reexamination proceeding will be terminated and the
Commissioner will proceed to issue a certificate under Sec. 1.997 in
accordance with the last action of the Office.
Interviews
Sec. 1.955 Interviews in reexamination proceedings.
(a) Interviews in reexamination proceedings pending before the
Office between examiners and the owners of such patents or their
attorneys or agents of record must be had in the Office at such times,
within Office hours, as the respective examiners may designate.
Interviews will not be permitted at any other time or place without the
authority of the Commissioner. Interviews should be arranged for in
advance. A third party requester may not initiate an interview. A third
party requester has a right to participate in an interview initiated by
the patent owner or the examiner and must be given adequate notice and
opportunity to participate. A senior level Office official will be
present when the interview is attended by a third party requester.
(b) Interviews for the discussion of the patentability of claims in
patents involved in reexamination proceedings will not be initiated by
the patent owner prior to the first Office action thereon.
(c) In every instance of an interview with an examiner, each party
must present a statement of the issues which were discussed. An
interview does not remove the necessity for response to Office actions
as specified in Sec. 1.111.
Extensions of Time and Revival of Proceedings
Sec. 1.957 Extensions of time and cause for termination in
reexamination proceedings.
(a) The time for taking any action by a patent owner or third party
requester in a reexamination proceeding will be extended only for
sufficient cause, and for a reasonable time specified. Any request for
such extension must be filed on or before the day on which action by
the patent owner or third party requester is due, but in no case will
the mere filing of a request effect any extension. See Sec. 1.304(a)
for extensions of time for filing a notice of appeal to the U.S. Court
of Appeals for the Federal Circuit.
(b) If the patent owner fails to file a timely and appropriate
response to any Office action in a reexamination proceeding, the
reexamination proceeding will be terminated and the Commissioner will
proceed to issue a certificate under Sec. 1.997 in accordance with the
last action of the Office, unless there is a third party requester and
claims are found patentable.
(c) If there is a third party requester and claims are found
patentable, and the patent owner fails to file a timely and appropriate
response to any action in a reexamination proceeding,
[[Page 41047]]
prosecution will be limited to claims found patentable at the time of
the failure to respond and to claims which do not enlarge the scope of
the claims found patentable at that time.
Sec. 1.958 Revival of terminated proceedings.
(a) A reexamination proceeding terminated for failure to prosecute
may be revived as a pending proceeding if it is shown to the
satisfaction of the Commissioner that the delay was unavoidable. A
petition to revive an unavoidably terminated reexamination proceeding
must be promptly filed after the patent owner is notified of, or
otherwise becomes aware of, the termination of the proceeding, and must
be accompanied by:
(1) a proposed response to continue prosecution of that proceeding
unless it has been previously filed;
(2) the petition fee as set forth in Sec. 1.17(l); and
(3) a showing that the delay was unavoidable. The showing must be a
verified showing if made by a person not registered to practice before
the Patent and Trademark Office.
(b) A reexamination proceeding terminated for failure of the patent
owner to prosecute may be revived as a pending proceeding if the delay
in prosecution was unintentional. A petition to revive an
unintentionally terminated reexamination proceeding must be:
(1) accompanied by a proposed response to continue prosecution of
that proceeding unless it has been previously filed;
(2) accompanied by the petition fee as set forth in Sec. 1.17(m);
(3) accompanied by a statement that the delay was unintentional.
The statement must be a verified statement if made by a person not
registered to practice before the Patent and Trademark Office. The
Commissioner may require additional information where there is a
question whether the delay was unintentional; and
(4) filed either:
(i) within two months of the date of the first Office notification
that the proceeding has been terminated; or
(ii) within two months of the date of the first decision on a
petition to revive under paragraph (a) of this section which was timely
filed within the time period set forth in paragraph (b)(4)(i) of this
section.
(c) Any request for reconsideration or review of a decision
refusing to revive a proceeding upon petition filed pursuant to
paragraph (a) or (b) of 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.
(d) The time periods set forth in this section cannot be extended,
except that the time period set forth in paragraph (c) of this section
may be extended under the provisions of Sec. 1.957(a).
Appeal to the Board of Patent Appeals and Interferences
Sec. 1.959 Notice of appeal and cross appeal to Board of Patent
Appeals and Interferences.
(a) (1) Once a ``Right of Appeal Notice'' has been issued, by
filing a notice of appeal within the time provided in Sec. 1.953 and
paying the fee set forth in Sec. 1.17(e), the patent owner may appeal
to the Board of Patent Appeals and Interferences with respect to any
decision adverse to the patentability of any original or proposed
amended or new claim of the patent.
(2) Once a ``Right of Appeal Notice'' has been issued, by filing a
notice of appeal within the time provided in Sec. 1.953 and paying the
fee set forth in Sec. 1.17(e), a third party requester involved in a
reexamination proceeding may appeal to the Board of Patent Appeals and
Interferences with respect to any final decision favorable to the
patentability of any original or proposed amended or new claim of the
patent.
(b) (1) Within fourteen days of service of a third party
requester's notice of appeal, and upon payment of the fee set forth in
Sec. 1.17(e), a patent owner who has not filed a notice of appeal may
file a notice of cross appeal with respect to any decision adverse to
the patentability of any original or proposed amended or new claim of
the patent.
(2) Within fourteen days of service of a patent owner's notice of
appeal, and upon payment of the fee set forth in Sec. 1.17(e), a third
party requester who has not filed a notice of appeal may file a notice
of cross appeal with respect to any final decision favorable to the
patentability of any original or proposed amended or new claim of the
patent.
(c) The appeal in a reexamination proceeding must identify the
claim(s) appealed, and must be signed by the patent owner or third
party requester, or their duly authorized attorney or agent.
(d) An appeal when taken must be taken from the rejection of all
claims under rejection in a Right of Appeal Notice which the patent
owner proposes to contest, or from the determination of patentability
of all claims indicated as patentable in a Right of Appeal Notice which
the third party requester proposes to contest. Questions relating to
matters not affecting the merits of the invention may be required to be
settled before an appeal can be considered.
(e) The time periods set forth in Secs. 1.959 through 1.969 are
subject to the provisions of Sec. 1.957(a) for reexamination
proceedings. See Sec. 1.304(a) for extensions of time for filing a
notice of appeal of the U.S. Court of Appeals for the Federal Circuit.
Sec. 1.961 Jurisdiction over appeal.
Jurisdiction over the patent under reexamination passes to the
Board of Patent Appeals and Interferences upon transmittal of the file,
including all briefs and examiner's answers, to the Board. Prior to the
entry of a decision on the appeal, the Commissioner may sua sponte
order the patent remanded to the examiner, for action consistent with
the Commissioner's order.
Sec. 1.962 Appellant and respondent defined.
For the purposes of reexamination, appellant is any party filing a
notice of appeal. A respondent is any opposing party responding to the
appeal of the appellant. If more than one party appeals, each is an
appellant with respect to the claims to which his or her appeal is
directed and, to the extent each responds, each is a respondent with
respect to the claims to which his or her opponent's appeal is
directed.
Sec. 1.963 Time for filing briefs.
(a) If a party files a notice of appeal or cross appeal, the party
must file an appellant brief within two months of the date of filing of
their notice of appeal or cross appeal. However, if another party files
a notice of appeal or cross appeal subsequent to that of the party,
then the party must file an appeal brief within two months of the date
of filing of the subsequent notice of appeal or cross appeal, so that
the appellant briefs of all parties filing a notice of appeal or cross
appeal will be due no later than two months after the last-filed
notice.
(b) Once an appellant brief has been properly filed, an opposing
party may file a respondent brief within one month from the date of
service of the appellant brief. The examiner will consider both the
appellant and respondent briefs and prepare an examiner's answer.
(c) The third party requester and the patent owner may each file a
reply brief within one month of the date of the examiner's answer. No
further brief will be acknowledged or considered.
Sec. 1.965 Applellant brief.
(a) Appellant(s) shall, within time limits for filing set forth in
Sec. 1.963, file a brief in triplicate and serve the brief on all
parties in accordance with Sec. 1.903. The brief must be accompanied by
the requisite fee set forth in Sec. 1.17(f) and must set forth the
authorities and
[[Page 41048]]
arguments on which appellant will rely to maintain the appeal. Any
arguments or authorities not included in the brief will be refused
consideration by the Board of Patent Appeals and Interferences, unless
good cause is shown.
(b) On failure of a party to file the brief, accompanied by the
requisite fee, within the time allowed, the appeal shall stand
dismissed with respect to the claims appealed by that party.
(c) The brief shall contain the following items under appropriate
headings and in the order indicated below unless the brief is filed by
a party who is not represented by a registered practitioner:
(1) Real Party in Interest. A statement identifying the real party
in interest, if the party named in the caption of the brief is not the
real party in interest.
(2) Related Appeals and Interferences. A statement identifying by
number and filing date all other appeals or interferences known to the
appellant, the appellant's legal representative, or assignee which will
directly affect or be directly affected by or have a bearing on the
Board's decision in the pending appeal.
(3) Status of Claims. A statement of the status of all the claims,
pending or cancelled, and identifying the claims appealed.
(4) Status of Amendments. A statement of the status of any
amendment filed subsequent to final rejection.
(5) Summary of Invention. A concise explanation of the invention or
subject matter defined in the claims involved in the appeal, which
shall refer the specification by column and line number, and to the
drawing(s), if any, by reference characters.
(6) Issues. A concise statement of the issues presented for review.
(7) Grouping of Claims. For each ground of rejection, or, in the
case where the appeal is by a third party requester, each determination
of patentability or determination of inapplicability of a proposed
rejection, which appellant contests and which applies to a group of two
or more claims, the Board shall select a single claim from the group
and shall decide the appeal as to the ground of rejection on the basis
of that claim alone unless a statement is included that the claims of
the group do not stand or fall together and, in the argument under
paragraph (c)(8) of this section, appellant explains why the claims of
this group are believed to be separately patentable or unpatentable.
Merely pointing out differences in what the claims cover is not an
argument as to why the claims are separately patentable.
(8) Argument. The contentions of appellant with respect to each of
the issues presented for review in paragraph (c)(6) of this section,
and the basis therefor, with citations of the authorities, statues, and
parts of the record relief on. Each issue should be treated under a
separate heading.
(i) For each rejection or, in the case where the appeal is by a
third party requester, any other determination under 35 U.S.C. 112,
first paragraph, the argument shall specify the errors in the rejection
or other determination and how the first paragraph of 35 U.S.C. 112 is
or is not complied with, including, as appropriate, how the
specification and drawings, if any,
(A) describe or fail to describe the subject matter defined by each
of the appealed claims, and
(B) enable or fail to enable any person skilled in the art to make
and use the subject matter defined by each of the appealed claims, and
(ii) For each rejection, or in the case where the appeal is filed
by a third party requester, any determination, under 35 U.S.C. 112,
second paragraph, the argument shall specify the errors in the
rejection or other determination and how the claims do or do not
particularly point out and distinctly claim the subject matter which
appellant regards as the invention.
(iii) For each rejection or, in the case where the appeal is by a
third party requester, each determination of patentability, under 35
U.S.C. 102, the argument shall specify the errors in the rejection or
determination and why the appealed claims are or are not patentable
under 35 U.S.C. 102, including any specific limitations in the appealed
claims which are not described in the prior art.
(iv) For each rejection or, in the case where the appeal is by a
third party requester, each determination of patentability under 35
U.S.C. 103, the argument shall specify the errors in the rejection or
determination and, if appropriate, the specific limitations in the
appealed claims which are or are not described in the prior art, and
shall explain how such limitations render the claimed subject matter
obvious or unobvious over the prior art. If the rejection or
determination is based upon a combination of references, the argument
shall explain why the references, taken as a whole, do or do not
suggest the claimed subject matter, and shall include, as may be
appropriate, an explanation of why features disclosed in one reference
may or may not properly be combined with features disclosed in another
reference. A general argument that all the limitations are or are not
described in a single reference does not satisfy the requirements of
this paragraph.
(v) For any rejection or, in the case where the appeal is by a
third party requester, any determination of patentability, other than
those referred to in paragraphs (c)(8)(i) to (iv) of this section, the
argument shall specify the errors in the rejection or other
determination and the specific limitations in the appealed claims, if
appropriate, or other reasons, which cause the rejection or other
determination to be in error.
(9) Appendix. An appendix containing a copy of the claims involved
in the appeal.
(d) If a brief is filed which does not comply with all the
requirements of paragraph (c) of this section, appellant will be
notified of the reasons for non-compliance and provided with a period
of one month within which to file an amended brief. If the appellant
does not file an amended brief during the one-month period, or files an
amended brief which does not overcome all the reasons for non-
compliance stated in the notification, the appeal will stand dismissed
as to that party.
Sec. 1.967 Respondent brief.
(a) The brief(s) if the respondent(s) specified in Sec. 1.963 must
be filed in triplicate, served on all other parties in accordance with
Sec. 1.903 and be accompanied by the requisite fee set forth in
Sec. 1.17(f). Any arguments or authorities not included in the brief
will be refused consideration by the Board of Patent Appeals and
Interferences, unless good cause is shown. The respondent brief shall
be limited to issues raised in the appellant brief to which the
respondent brief is directed.
(b) The respondent brief shall contain the following items under
appropriate headings and in the order here indicated, and may include
an appendix containing portions of the record on which reliance is
made:
(1) Real party in Interest. A statement identifying the real party
in interest, if the party named as the respondent in the brief is not
the real party in interest.
(2) Related Appeals and Interferences. A statement identifying by
number and filing date all other appeals or interferences known to the
respondent, the respondent's legal representative, or assignee (if any)
which will directly affect or be directly affected by or have a bearing
on the Board's decision in the pending appeal.
(3) Status of claims. A statement accepting or disputing
appellant's
[[Page 41049]]
statement of the status of claims. If appellant's statement of the
status of claims is disputed, the errors in appellant's statement must
be specified with particularity.
(4) Status of amendments. A statement accepting or disputing
appellant's statement of the status of amendments. If appellant's
statement of the status of amendments is disputed, the errors in
appellant's statement must be specified with particularity.
(5) Summary of invention. A statement accepting or disputing
appellant's summary of the invention or subject matter defined in the
claims involved in the appeal. If appellant's summary of the invention
or subject matter defined in the claims involved in the appeal is
disputed, the errors in appellant's summary must be specified with
particularity. A counter explanation of the invention may be made.
(6) Issues. A statement accepting or disputing appellant's
statement of the issues presented for review and identifying any
examiner's determination not to make a rejection proposed by the third
party requester. If appellant's statement of the issues presented for
review is disputed, the errors in appellant's statement must be
specified with particularity. A counter statement of the issues for
review may be made.
(7) Grouping of claims. A statement accepting or disputing any
statement by appellant that allowed or rejected claims stand or fall
together. If appellant's statement is disputed, the errors in
appellant's statement must be specified with particularity. A counter
statement may be made.
(8) Argument. A statement accepting or disputing the contentions of
the appellant with respect to each of the issues. If a contention of
the appellant or a determination of the examiner not to make a
rejection proposed by the requester is disputed, the errors in
appellant's argument or examiner's determination must be specified with
particularity, stating the basis therefor, with citations of the
authorities, statutes and parts of the record relied on. Each issue
should be treated under a separate heading. An argument may be made
with respect to each of the issues stated in the counter statement of
the issues, with each counter stated issue being treated under a
separate heading. The provisions of Secs. 1.965(c)(8)(iii) and (iv) of
these regulations shall apply to any argument raised under 35 U.S.C.
102 or 103.
(c) If a respondent brief is filed which does not comply with all
the requirements of paragraph (b) of this section, respondent will be
notified of the reasons for non-compliance and provided with a period
of one month within which to file an amended brief. If the respondent
does not file an amended brief during the one-month period, or files an
amended brief which does not overcome all the reasons for non-
compliance stated in the notification, the respondent brief will not be
received into the record and will not be considered.
Sec. 1.969 Examiner's answer.
The primary examiner may, within such time as may be directed by
the Commissioner, furnish a written statement in answer to the patent
owner's and/or third party requester's appellant brief or respondent
brief including such explanation of the invention claimed and of the
references and grounds of rejection or reasons for patentability as may
be necessary, supplying a copy to the patent owner and each third party
requester, if any. If the primary examiner shall find that the appeal
is not regular in form or does not relate to an appealable action, he
or she shall so state and a petition from such decision may be taken to
the Commissioner as provided in Sec. 1.181.
Sec. 1.971 Reply brief.
(A) The patent owner and any third party requester may each file a
reply brief directed only to such new points of argument as may be
raised in the examiner's answer, within one month from the date of such
answer. The new points of argument shall be specifically identified in
the reply brief. If the examiner determines that the reply brief is not
directly only to new points of argument raised in the examiner's
answer, the examiner may refuse entry of the reply brief and will so
notify the appellant.
(b) If the examiner's answer expressly states that it includes a
new ground of rejection or allowance of claims not previously allowed,
the party adversely affected must file a reply thereto within one month
from the date of such answer to avoid dismissal of the appeal as to the
claims subject to the new ground of rejection or allowance; such reply
may be accompanied by any amendment (in the case of the patent owner)
or material appropriate to the new ground. See Sec. 1.957 for
extensions of time for filing a reply brief.
Sec. 1.973 Oral hearing.
(a) An oral hearing should be requested only in those circumstances
in which the appellant, or a respondent who has filed a respondent
brief under Sec. 1.967, considers such a hearing necessary or desirable
for a proper presentation of the appeal. An appeal decided without an
oral hearing will receive the same consideration by the Board of Patent
Appeals and Interferences as an appeal decided after oral hearing.
(b) If appellant, or a respondent who has filed a respondent brief
under Sec. 1.967, desires an oral hearing, he or she must file a
written request for such hearing accompanied by the fee set forth in
Sec. 1.17(g) within one month after the date of the examiner's answer.
If appellant, or a respondent who has filed a respondent brief under
Sec. 1.967, requests an oral hearing and submits therewith the fee set
forth in Sec. 1.17(g), an oral argument may be presented by, or on
behalf of, the primary examiner if considered desirable by either the
primary examiner or the Board. See Sec. 1.957 for extensions of time in
a reexamination proceeding.
(c) If no request and fee for oral hearing have been timely filed
by an appellant or a respondent who has filed a respondent brief under
Sec. 1.967, the appeal will be assigned for consideration and decision.
If an appellant or respondent who has filed a respondent brief under
Sec. 1.967 has requested an oral hearing and has submitted the fee set
forth in Sec. 1.17(g), a hearing date will be set, and notice thereof
given to each appellant, to the primary examiner and to each respondent
who has filed a respondent brief under Sec. 1.967. The notice shall set
a period within which all requests for oral hearing shall be submitted.
Hearing will be held as stated in the notice, and oral argument will be
limited to twenty minutes for each appellant and respondent, and
fifteen minutes for the primary examiner unless otherwise ordered
before the hearing begins.
Sec. 1.975 Affidavits or declarations after appeal.
Affidavits, declarations, or exhibits submitted after the case has
been appealed will not be admitted without a showing of good and
sufficient reasons why they were not earlier presented.
Sec. 1.977 Decision by the Board of Patent Appeals and Interferences.
(a) The Board of Patent Appeals and Interferences, in its decision,
may affirm or reverse the decision of the examiner in whole or in part
on the grounds and on the claims specified by the examiner, or on the
grounds presented by a third party requester, or remand the
reexamination proceeding to the examiner for further consideration. The
affirmance of the rejection or allowance of a claim on any of the
grounds
[[Page 41050]]
specified constitutes a general affirmance of the decision of the
examiner on that claim, except as to any ground specifically reversed
or otherwise stated. A rejection of claims by the examiner may also be
affirmed on the basis of the arguments presented by the third party
requester.
(b) Should the Board of Patent Appeals and Interferences have
knowledge of any grounds for rejecting any appealed claim not raised in
the appeal, it may include in the decision a statement to that effect
with its reasons for so holding, which statement shall constitute a new
rejection of the claims. A new rejection shall not be considered final
for purposes of judicial review. When the Board of Patent Appeals and
Interferences makes a new rejection of an appealed claim, the patent
owner may exercise one of the following two options with respect to the
new ground:
(1) The patent owner may submit an appropriate amendment of the
claims so rejected or a showing of facts, or both, and have the matter
reconsidered by the examiner, in which event the patent will be
remanded to the examiner. The statement of the Board of Patent Appeals
and Interferences shall be binding upon the examiner unless an
amendment or showing of facts not previously of record be made which,
in the opinion of the examiner, overcomes the new ground for rejection
stated in the decision. Should the examiner again reject the claims,
the patent owner may again appeal to the Board of Patent Appeals and
Interferences.
(2) The patent owner may have the case reconsidered under
Sec. 1.979(b) by the Board of Patent Appeals and Interferences upon the
same record. The request for reconsideration shall address the new
ground for rejection and state with particularity the points believed
to have been misapprehended or overlooked in rendering the decision and
also state all other grounds upon which reconsideration is sought.
Where request for such reconsideration is made, the Board of Patent
Appeals and Interferences shall reconsider the new ground for rejection
and, if necessary, rendered a new decision which shall include all
grounds upon which a patent is refused. The decision on reconsideration
is deemed to incorporate the earlier decision, except for those
portions specifically withdrawn on reconsideration, and is final for
the purpose of judicial review.
(c) Should the decision of the Board of Patent Appeals and
Interferences include an explicit statement that a claim may be allowed
in amended form, patent owner shall have the right to amend in
conformity with such statement which shall be binding on the examiner
in the absence of new references or grounds of rejection.
(d) Although the Board of Patent Appeals and Interferences normally
will confine its decision to a review of rejections and allowances made
by the examiner and/or arguments of the third party requester, should
it have knowledge of any grounds for rejecting any allowed claim not
advanced by the examiner or third party requester, it may recommend a
rejection of the claim in its decision and remand the case to the
examiner. In such event, the Board shall set a period, not less than
one month, within which the patent owner may submit to the examiner an
appropriate amendment, a showing of facts or reasons, or both, in order
to avoid any grounds for rejection set forth in the recommendation of
the Board of Patent Appeals and Interferences. The examiner shall be
bound by any such recommended rejection and shall enter and maintain
the recommended rejection unless an amendment or showing of facts not
previously of record is filed which, in the opinion of the examiner,
overcomes the recommended rejection. Should the examiner make the
recommended rejection final the patent owner may again appeal to the
Board of Patent Appeals and Interferences.
(e) Whenever a decision of the Board of Patent Appeals and
Interferences includes a remand, that decision shall not be considered
a final decision. When appropriate, upon conclusion of proceedings on
remand before the examiner, the Board of Patent Appeals and
Interferences may enter an order otherwise making its decision final.
(f) See Sec. 1.957(a) for extensions of time to take action under
this section.
Sec. 1.979 Action following decision.
(a) After decision by the Board of Patent Appeals and
Interferences, the case shall be returned to the examiner, subject to a
right of appeal or other review by the appellant or respondent, for
such further action by the patent owner or by the examiner, as the
condition of the case may require, to carry into effect the decision.
(b) Each party may file a single request for reconsideration or
modification of the decision if filed within one month from the date of
the original decision, unless that decision is so modified by the
decision on reconsideration as to become, the effect, a new decision,
and the Board of Patent Appeals and Interferences so states. The
request for reconsideration shall state with particularity the points
believed to have been misapprehended or overlooked in rendering the
decision and also state all other grounds upon which reconsideration is
sought. See Sec. 1.957(a) for extensions of time for seeking
reconsideration.
(c) The appeal proceedings are considered terminated by the
dismissal of an appeal or the failure to timely file an appeal to the
U.S. Court of Appeals for the Federal Circuit. The date of termination
of proceedings is the date on which the appeal is dismissed or the date
on which the time for appeal to the Federal Circuit expires. If an
appeal to the Federal Circuit has been filed, proceedings are
considered terminated when the appeal is terminated. An appeal to the
Federal Circuit is terminated when the mandate is received by the
Office. Upon termination of the reexamination proceeding, the
Commission will issue a certificate under Sec. 1.997.
Sec. 1.981 Reopening after decision.
(a) Cases which have been decided by the Board of Patent Appeals
and Interferences will not be reopened or reconsidered by the primary
examiner except under the provisions of Sec. 1.979 without the written
authority of the Commissioner, and then only for the reconsideration of
matters not already adjudicated, sufficient cause being shown.
(b) In the event prosecution is reopened or the case is
reconsidered by the primary examiner after decision by the Board of
Patent Appeals and Interferences or by the U.S. Court of Appeals for
the Federal Circuit, any third party requester who appealed or
responded under Sec. 1.967 may again present comments pursuant to
Sec. 1.947 and may appeal or participate in an appeal by the patent
owner pursuant to Sec. 1.959.
Appeal to the United States Court of Appeals for the Federal Circuit
Sec. 1.983 Appeal to the United States Court of Appeals for the
Federal Circuit.
Any third party requester or patent owner involved in a
reexamination proceeding who is a party to any appeal to the Board of
Patent Appeals and Interferences and who is dissatisfied with the
decision of the Board of Patent Appeals and Interferences may appeal to
the U.S. Court of Appeals for the Federal Circuit and may be a party to
any appeal thereto taken from a reexamination decision of the Board of
Patent Appeals and Interferences. The appellant must take the following
steps in such an appeal:
(a) in the Patent and Trademark Office file a written notice of
appeal directed
[[Page 41051]]
to the Commissioner (see Secs. 1.302 and 1.304); and
(b) in the Court, file a copy of the notice of appeal and pay the
fee, as provided for in the rules of the Court. A third party requester
is deemed not to have participated as a party to an appeal by the
patent owner, and thereby not subject to Sec. 1.909, unless within
twenty days after the patent owner has filed notice of appeal pursuant
to Sec. 1.983(a), the third party requester files notice with the
Commissioner electing to participate.
Proceedings Involving Same Patent as in Reexamination
Sec. 1.985 Notification of prior or concurrent proceedings.
Any person at any time may file a paper in a reexamination
proceeding notifying the Office of a prior or concurrent proceeding in
which the same patent is or was involved, such as interferences,
reissues, reexaminations, or litigation and the results of such
proceedings. Such paper must be limited to merely providing notice of
the other proceeding without discussion of issues of the current
reexamination proceeding.
Sec. 1.987 Stay of concurrent proceeding.
If a patent in the process of reexamination is or becomes involved
in litigation or a reissue application for the patent is filed or
pending, the Commissioner shall determine whether or not to stay the
reexamination or reissue proceeding.
Sec. 1.989 Merger of concurrent reexamination proceedings.
(a) If reexamination is ordered while a prior reexamination
proceeding is pending for the same patent, the reexamination
proceedings will be merged and result in the issuance of a single
certificate under Sec. 1.997.
(b) A reexamination proceeding filed under Sec. 1.915 which is
merged with a reexamination proceeding filed under Sec. 1.510 will
result in the merged proceeding being governed by Secs. 1.901-1.997.
Sec. 1.991 Merger of concurrent reissue application and reexamination
proceeding.
If a reissue application and a reexamination proceeding on which an
order pursuant to Sec. 1.931 has been mailed are pending on a patent, a
decision may be made to merge the two proceedings or to stay one of the
two proceedings. Where merger is a reissue application and a
reexamination proceeding is ordered, the merged examination will be
conducted in accordance with Secs. 1.171 through 1.179 and the patent
owner will be required to place and maintain the same claims in the
reissue application and the reexamination proceeding during the
pendency of the merged proceeding. In a merged proceeding,
participation by the third party requester shall be limited to issues
within the scope of reexamination. The examiner's actions and any
responses by the patent owner or third party requester in a merged
proceeding will apply to both the reissue application and the
reexamination proceeding and be physically entered into both files. Any
reexamination proceeding merged with a reissue application shall be
terminated by the grant of the reissue patent.
Sec. 1.993 Stay of concurrent interference and reexamination
proceeding.
If a patent in the process of reexamination is or becomes involved
in an interference, the Commissioner may stay reexamination or the
interference. The Commissioner will not consider a request to stay an
interference unless a motion (Sec. 1.635) to stay the interference has
been presented to and denied by an administrative patent judge and the
request is filed within ten (10) days of a decision by an
administrative patent judge denying the motion for a stay or such other
time as the administrative patent judge may set.
Sec. 1.995 Third party requester's participation rights preserved in
merged proceeding.
When a third party requester is involved in one or more proceedings
including a reexamination proceeding, the merger of such proceedings
will be accomplished so as to preserve the third party requester's
right to participate to the extent specifically provided for in these
regulations. In merged proceedings involving different requesters, any
paper filed by one party in the merged proceeding shall be served on
all other parties of the merged proceeding.
Certificate
Sec. 1.997 Issuance of reexamination certificate after reexamination
proceedings.
(a) Upon the conclusion of a reexamination proceeding, the
Commissioner will issue a certificate in accordance with 35 U.S.C. 307
setting forth the results of the reexamination proceeding and the
content of the patent following the reexamination proceeding.
(b) A certificate will be issued in each patent in which a
reexamination proceeding has been ordered under Sec. 1.931. Any
statutory disclaimer filed by the patent owner will be made part of the
certificate.
(c) The certificate will be mailed on the day of its date to the
patent owner at the address as provided for in Sec. 1.33(c). A copy of
the certificate will also be mailed to the requester of the
reexamination proceeding.
(d) If a certificate has been issued which cancels all of the
claims of the patent, no further Office proceedings will be conducted
with regard to that patent or any reissue applications or reexamination
requests relating thereto.
(e) If the reexamination proceeding is terminated by the grant of a
reissued patent as provided in Sec. 1.965(d), the reissued patent will
constitute the reexamination certificate required by this section and
35 U.S.C. 307.
(f) A notice of the issuance of each certificate under this section
will be published in the Official Gazette on its date of issuance.
Dated: August 1, 1995.
Bruce A. Lehman,
Assistant Secretary of Commerce and Commissioner of Patents and
Trademarks.
[FR Doc. 95-19488 Filed 8-10-95; 8:45 am]
BILLING CODE 3510-16-M
