Federal Register / Vol. 86, No. 22 / Thursday, February 4, 2021 / Notices 8183 

TABLE 1—APPROVED PROVIDERS FOR FISHING YEARS 2021 AND 2022—Continued 

Provider Services * Address Phone Fax Website 

East West 

Technical 

Services, 

LLC.

ASM/EM ......... 91 Point Judith Rd., 

Unit 347, Narragansett, RI 02882.

860–910–4957 860–223–6005 https://www.ewts.com/ 

Fathom Resources, 

LLC.

ASM/EM ......... 855 Aquidneck Ave., 

Unit 9, Middletown, 

RI 02842.

508–990–0997 508–991–7372 https://fathomresources.com/ 

Flywire 

Cameras.

EM ................. PO BOX 55048, Lexington, KY 40511.888–315–7796 502–861–6568 https://www.flywirecameras.com/ 

Saltwater, 

Inc.

ASM/EM ......... 733 N St., Anchorage, 

AK 99501.

907–276–3241 907–258–5999 https://www.saltwaterinc.com/ 

Teem Fish EM ................. 90–425 Carrall St., Vancouver, BC V6B 6E3 

Canada.

778–884–2598 ................................ https://teem.fish/ 

* ASM/EM = At-sea and electronic monitoring; EM = Electronic monitoring only. 

Authority: 16 U.S.C. 1801 et seq. 

Dated: January 29, 2021. 

Jennifer M. Wallace, 

Acting Director, Office of Sustainable 

Fisheries, National Marine Fisheries Service. 

[FR Doc. 2021–02336 Filed 2–3–21; 8:45 am] 

BILLING CODE 3510–22–P 

DEPARTMENT OF COMMERCE 

Patent and Trademark Office 

[Docket No.: PTO–P–2020–0062] 

Expanded Collaborative Search Pilot 

Program Extension 

AGENCY: United States Patent and 

Trademark Office, Department of 

Commerce. 

ACTION: Notice. 

SUMMARY: The United States Patent and 

Trademark Office (USPTO) has 

extended the Expanded Collaborative 

Search Pilot (CSP) program, originally 

running from November 2017 through 

October 2020, an additional two years. 

The Expanded CSP program, conducted 

with the Japan Patent Office (JPO) and 

the Korean Intellectual Property Office 

(KIPO), builds on the success of the 

initial CSP program, taking advantage of 

improvements in patent quality and 

examination pendency. With the 

Expanded CSP, applicants may request 

that multiple partnering intellectual 

property (IP) offices exchange search 

results for their counterpart applications 

prior to formulating and issuing their 

office actions. Each designated partner 

IP office independently conducts a prior 

art search for its corresponding 

counterpart application. The search 

results are then exchanged between the 

designated partner IP office(s), 

including the USPTO, before any IP 

office issues an office action. With this 

exchange of search results, the 

examiners in all designated partner IP 

offices will have a more comprehensive 

set of prior art references to consider 

when making initial patentability 

determinations. The Expanded CSP 

allows the USPTO to study the impact 

on examination processes of exchanges 

of search results between the USPTO 

and multiple partner IP offices prior to 

formulating and issuing office actions. 

DATES: Under the Expanded CSP, the 

USPTO and partner IP offices will each 

continue to accept requests to 

participate beyond November 1, 2020, 

until October 31, 2022. Each IP office 

will not grant more than 400 requests 

per year per partner office. The offices 

may extend the pilot program (with or 

without modification) if they deem it 

appropriate. Each office reserves the 

right to withdraw from the program at 

any time. 

FOR FURTHER INFORMATION CONTACT: 

Inquiries regarding the handling of any 

specific application participating in the 

pilot may be directed to Nelson Yang, 

Senior Advisor, International Patent 

Business Solutions, Office of 

International Patent Cooperation, by 

phone at 571–272–0826. Any inquiries 

regarding this pilot program can be 

emailed to csp@uspto.gov. Inquiries 

concerning this notice may be directed 

to Anthony Smith, Attorney-Advisor, 

International Patent Legal 

Administration, by phone at 571–272– 

3298. 

SUPPLEMENTARY INFORMATION: 

I. Background 

The USPTO is continually looking for 

ways to improve the quality of issued 

patents and to promote worksharing 

with other IP offices throughout the 

world. Worksharing benefits applicants 

by promoting compact prosecution, 

reducing pendency, and supporting 

patent quality by reducing the 

likelihood of inconsistencies in 

patentability determinations (not 

predicated upon differences in national 

patent laws) between IP offices. The 

USPTO has launched numerous 

worksharing pilot programs, including 

both the Initial and Expanded versions 

of CSP with the JPO and the KIPO. In 

the Initial CSP, the participating offices 

implemented administrative procedures 

to facilitate worksharing between the 

USPTO and a single designated partner 

IP office in the form of sharing search 

results of related counterpart 

applications. Feedback from the 

completed Initial CSP and the current 

Expanded CSP showed sufficiently 

positive benefits to justify extending the 

CSP an additional two years to continue 

to permit worksharing between the 

USPTO and more than one designated 

partner IP office for the corresponding 

U.S. application. 

The USPTO will continue to 

cooperate in the Expanded CSP to 

determine whether exchanging the 

results from searches independently 

performed by multiple IP offices, which 

occur substantially simultaneously, also 

increases the efficiency and quality of 

patent examination. The Expanded CSP 

is designed so that this exchange of 

search results would occur prior to the 

IP offices making initial patentability 

determinations. The current partner IP 

offices for the Expanded CSP remain the 

JPO and the KIPO. The USPTO will 

announce future partner IP offices when 

they are designated. 

Currently, applicants in the USPTO 

having U.S. applications with claims of 

foreign priority may have search results 

and prior art cited to them by the 

foreign IP office during pendency of 

their U.S. applications. Often, 

applicants submit the prior art after 

examination on the merits is already 

underway in their U.S. application. 

Upon evaluation of the search results 


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8184 Federal Register / Vol. 86, No. 22 / Thursday, February 4, 2021 / Notices 

and cited prior art, the U.S. examiner 

may determine that the prior art cited by 

the foreign office is relevant to 

patentability and merits being used in 

further examination before making a 

final determination on patentability of 

the pending claims. This delay caused 

by further examination results in 

additional costs to applicants and the 

USPTO that could have been avoided if 

the U.S. examiner was in possession of 

the foreign office’s search results before 

commencing examination of the U.S. 

application. Furthermore, in light of the 

USPTO’s various expedited examination 

programs, the possibility exists that a 

U.S. application may reach final 

disposition before the applicant is in 

receipt of a foreign office’s search 

results. The exchange of search results 

between IP offices before an initial 

determination on patentability should 

increase efficiency and promote patent 

examination quality. 

In order to study the benefits of the 

exchange of search results between 

multiple IP offices, current USPTO 

examination practice is modified for 

applications in the Expanded CSP so 

that a search will be conducted and 

search results generated without 

issuance of an Office action. The U.S. 

applications in the Expanded CSP are 

‘‘made special’’ pursuant to USPTO 

procedures to ensure that they are 

contemporaneously searched with their 

corresponding counterpart applications. 

In the original version of the CSP, the 

USPTO required the use of the First 

Action Interview Pilot Program (FAI), 

which separated the prior art search 

from the issuance of an Office action. 

The USPTO determined that it is 

unnecessary to require applicants 

participating in the Expanded CSP to 

use FAI procedures. Instead, 

applications in the Expanded CSP are 

accorded special status before the first 

action on the merits (FAOM), and prior 

art references provided through the 

exchange of search results will be 

included in the FAOM. 

In the United States, the Expanded 

CSP requires a petition to make special 

for the participating application and 

authorization to exchange information 

with the designated partner IP office(s) 

prior to an initial determination of 

patentability. As this worksharing 

program is operating under a common 

framework across all agreements 

between the USPTO and the partner 

offices, it is permissible to participate in 

the Expanded CSP with multiple 

partner offices simultaneously, and the 

program is open to adding more partner 

IP offices once appropriate agreements 

are in place. 

II. Overview of the Expanded CSP 

An application must meet all the 

requirements set forth in section III of 

this notice to be accepted into the 

Expanded CSP. Applicants must file a 

Petition to Make Special Under the 

Expanded Collaborative Search Pilot 

Program using Form PTO/SB/437 via 

EFS-web or Patent Center in a U.S. 

application. Use of the form is 

mandatory and will assist applicants in 

complying with the pilot program’s 

requirements, as well as aid the USPTO 

in quickly identifying participating 

applications. Form PTO/SB/437 is 

available at www.uspto.gov/ 

CollaborativeSearch. The collection of 

information involved in this pilot 

program has been reviewed and 

previously approved by OMB under 

control number 0651–0079, and is 

available at OMB’s Information 

Collection Review website, 

www.reginfo.gov/public/do/PRAMain. 

The USPTO is not resubmitting the 

0651–0079 information collection to 

OMB for its review and approval 

because this notice does not affect the 

information collection requirements 

associated with the information 

collection. 

In addition to a petition being filed 

with the USPTO, a request must also be 

filed in the corresponding counterpart 

applications in each applicantdesignated partner IP office, in 

accordance with the requirements of 

that office. (Partner IP offices may 

require a petition or a request; therefore, 

for purposes of this notice, usage of the 

term ‘‘request’’ refers to the initial 

submission that a partner IP office 

requires to initiate participation in the 

Expanded CSP.) As each partner IP 

office’s conditions for entry may differ, 

applicants should review the 

requirements of the relevant partner IP 

offices to ensure compliance. 

No fee for a petition to make special 

under 37 CFR 1.102 is required for 

participation in the Expanded CSP. 

New patent applications are normally 

taken up for examination in the order of 

their U.S. filing date. Applications 

accepted into the Expanded CSP receive 

expedited processing by being granted 

special status and taken out of turn until 

issuance of an FAOM, but they will not 

maintain special status thereafter. 

Designated partner IP offices and the 

USPTO share search results before the 

issuance of an initial determination on 

patentability. Participants in the 

Expanded CSP should review the 

references cited in each respective 

office’s initial determination on 

patentability. The references cited in the 

initial search by any partner IP office 

will become of record in the USPTO 

application and will be listed on Form 

PTO–892, and the examiner will 

consider the references, thereby 

reducing the burden on the applicant to 

file an Information Disclosure Statement 

(IDS). If the references cited by any 

partner IP office are not already of 

record in the USPTO application and 

the applicant wants to ensure that the 

examiner considers the references, then 

the applicant should file an IDS that 

includes a copy of the initial 

determination on patentability, along 

with copies of any missing or newly 

cited references in accordance with 37 

CFR 1.97, 37 CFR 1.98, and the Manual 

of Patent Examining Procedure (MPEP) 

sec. 609.04(a)–(b). See also MPEP secs. 

609 and 2001.06(a). 

Each office may reevaluate the 

workload and resources needed to 

administer the Expanded CSP at any 

time. The USPTO will provide notice of 

any substantive changes to the program 

(including early termination of the 

program) at least 30 days prior to the 

implementation of any changes. 

III. Requirements for Participation in 

the Expanded CSP 

The following requirements must be 

satisfied for a petition under the 

Expanded CSP to be granted: 

(1) The application must be a nonreissue, non-provisional utility 

application filed under 35 U.S.C. 111(a), 

or an international application that has 

entered the national stage in compliance 

with 35 U.S.C. 371, where the effective 

filing date of any claimed invention is 

no earlier than March 16, 2013. For 

corresponding counterpart applications 

filed in accordance with the agreement 

between the USPTO and the KIPO only, 

plant applications filed under 35 U.S.C. 

161 are also eligible. The U.S. 

application and all corresponding 

counterpart applications must have a 

common earliest priority date that is no 

earlier than March 16, 2013. The 

disclosures of the U.S. application and 

all counterpart applications must 

support the claimed subject matter as of 

a common date. The U.S. application 

must be complete and eligible to receive 

a filing receipt at the time the petition 

is filed. 

(2) A completed petition, Form PTO/ 

SB/437, must be filed in the application 

via EFS-Web or Patent Center. Form 

PTO/SB/437 is available at 

www.uspto.gov/patents-getting-started/ 

international-protection/collaborativesearch-pilot-program-csp. Based on the 

agreements between the USPTO and the 

partner IP offices, a separate petition to 

make special must be filed in the U.S. 

application for each partner IP office 


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that the applicant designates. The 

petition (Form PTO/SB/437) includes: 

(A) An express written consent under 

35 U.S.C. 122(c) for the USPTO to 

accept and consider prior art references 

and comments from each designated 

partner IP office during the examination 

of the U.S. application; 

(B) Written authorization for the 

USPTO to provide to the designated 

partner IP office access to the 

participating U.S. application’s 

bibliographic data and search results in 

accordance with 35 U.S.C. 122(a) and 37 

CFR 1.14(c); and 

(C) A statement that the applicant 

agrees not to file a request for a refund 

of the search fee and any excess claim 

fee paid in the application after the 

mailing of the decision on the petition 

to join the Expanded CSP. (Note: Any 

petition for express abandonment under 

37 CFR 1.138(d) to obtain a refund of 

the search fee and excess claim fee filed 

after the mailing of a decision on the 

petition will be granted, but the fees 

will not be refunded.) 

(3) Petitions must be filed before 

examination has commenced. 

Examination may commence at any time 

after an application has been assigned to 

an examiner. Petitions should preferably 

be filed before the application has been 

assigned to an examiner to ensure that 

the USPTO does not examine the 

application before recognizing the 

petition. Therefore, applicants should 

check the status of the application using 

the Patent Application Information and 

Retrieval (PAIR) system or Patents 

Center to see if the application has been 

assigned to an examiner. If the 

application has been assigned to an 

examiner, the applicant should contact 

the examiner to confirm that the 

application has not been taken up for 

examination and inform the examiner 

that a petition to participate in the 

Expanded CSP is being filed. Following 

this guidance will minimize delays 

caused by remedial corrective action 

when a petition is not recognized before 

examination commences. Further, 

examination must not have commenced 

in the identified corresponding 

counterpart application(s) before each 

designated partner IP office when filing 

petitions requesting participation in the 

U.S. application. 

(4) The petition filed in the USPTO 

and any request filed in a designated 

partner IP office must be filed within 15 

days of each other. If the petition and 

request(s) are not filed within 15 days 

of each other, the applicant runs the risk 

of one of the pending applications being 

acted upon by an examiner before entry 

into the pilot program, which will result 

in the applications being denied entry 

into the Expanded CSP. The request for 

participation filed in the corresponding 

counterpart application(s) for the 

Expanded CSP must be granted by at 

least one of the designated partner IP 

offices in order to participate in the 

Expanded CSP. 

(5) The petition submission must 

include a claims correspondence table, 

which, at a minimum, must establish 

‘‘substantial corresponding scope’’ 

between all independent claims present 

in the U.S. application and the 

corresponding counterpart 

application(s) filed in the designated 

partner IP office(s). The claims 

correspondence table must individually 

list the claims of the instant U.S. 

application and correlate them to the 

claims of the corresponding counterpart 

application having a substantially 

corresponding scope. Claims are 

considered to have a ‘‘substantially 

corresponding scope’’ when, after 

accounting for differences due to claim 

format requirements, the scope of the 

corresponding claims in the 

corresponding counterpart 

application(s) would either anticipate or 

render obvious the subject matter 

recited under U.S. law. Additionally, 

claims in the U.S. application that 

introduce a new/different category of 

claims than those presented in the 

corresponding counterpart 

application(s) are not considered to 

substantially correspond. For example, 

where the corresponding counterpart 

application(s) contain only claims 

relating to a process of manufacturing a 

product, any product claims in the U.S. 

application are not considered to 

substantially correspond, even if the 

product claims are dependent on 

process claims that do substantially 

correspond to claims in the 

corresponding counterpart 

application(s). Applicants may file a 

preliminary amendment, in compliance 

with 37 CFR 1.121, to amend the claims 

of the U.S. application to satisfy this 

requirement when attempting to make 

the U.S. application eligible for the 

program. A translated copy of the claims 

in English for each counterpart 

application is required if the application 

in the designated partner IP office(s) is 

not publicly available in English. A 

machine translation is sufficient. Noncorresponding claims need not be listed. 

(6) The U.S. application must contain 

3 or fewer independent claims and 20 

or fewer total claims. The U.S. 

application must not contain any 

multiple dependent claims; the 

corresponding counterpart application 

may contain multiple dependent claims, 

in accordance with the national practice 

of the partner IP office where it is filed. 

For a U.S. application that contains 

more than 3 independent claims or 20 

total claims, or any multiple dependent 

claims, applicants may file a 

preliminary amendment, in compliance 

with 37 CFR 1.121, to cancel the excess 

claims and/or the multiple dependent 

claims to make the application eligible 

for the Expanded CSP. 

IV. Treatment of a Petition 

As discussed in section III, the 

number of petitions to make special 

filed in the U.S. application must equal 

the number of designated partner IP 

offices where a corresponding 

counterpart application has been filed. 

At least one designated partner office 

must grant the request in order for that 

application and the counterpart U.S. 

application to participate in the 

Expanded CSP. 

If examination commences in either 

the U.S. application or a given 

designated corresponding counterpart 

application before either the petition or 

request is filed, then that combination of 

U.S. application and designated 

corresponding counterpart application 

cannot participate in the Expanded CSP. 

Applicants are advised that, even if they 

timely file a request with a designated 

partner office, if the USPTO is not 

informed by the designated partner 

office of the filing of the request in the 

corresponding counterpart application 

within 20 days of a petition filing with 

the USPTO, then the USPTO may 

initially dismiss the petition. In such a 

situation, the applicant may request 

reconsideration, as discussed in item B, 

below. 

A. Petition Grant by the USPTO: Once 

a determination is made that all the 

requirements of section III of this notice 

are satisfied, the USPTO petition will be 

granted and the application will be 

placed on the examiner’s special docket 

until an FAOM is issued. The USPTO 

and the designated partner IP office(s) 

will then have four months to provide 

search results. As a result, once the 

USPTO grants the petition, the 

applicant will no longer have a right to 

file a preliminary amendment that 

amends the claims. Any preliminary 

amendment filed after the petition is 

granted and before issuance of an 

FAOM amending the claims will not be 

entered unless approved by the 

examiner. After the petition is granted 

and before issuance of the FAOM, the 

applicant may still submit preliminary 

amendments to the specification that do 

not affect the claims. All such 

submissions for the participating U.S. 

application must be filed via EFS-Web 

or Patent Center. 


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B. Petition Dismissal by the USPTO: If 

the applicant files an incomplete Form 

PTO/SB/437, or if an application 

accompanied by Form PTO/SB/437 does 

not comply with the requirements set 

forth in this notice, the USPTO will 

notify the applicant of the deficiencies 

by dismissing the petition, and the 

applicant will be given a single 

opportunity to correct the deficiencies. 

If the applicant still wishes to 

participate in the pilot program, the 

applicant must make appropriate 

corrections within 1 month or 30 days 

of the mailing date of the dismissal 

decision, whichever is longer. The time 

period for reply is not extendable under 

37 CFR 1.136(a). If the applicant timely 

files a response to the dismissal 

decision correcting all the noted 

deficiencies without introducing any 

new deficiencies, the USPTO will grant 

the petition if a grantable request has 

been filed in a corresponding 

counterpart application. If the applicant 

fails to correct the noted deficiencies 

within the time period set forth, the 

USPTO may dismiss the petition and 

notify the designated partner IP 

office(s). The U.S. application will then 

be taken up for examination in 

accordance with standard examination 

procedures, unless designated special in 

accordance with another established 

procedure (e.g., Request for Prioritized 

Examination, Petition to Make Special 

Based on Applicant’s Age). 

C. Withdrawal of a Petition: An 

application can be withdrawn from the 

pilot program only by filing a request to 

withdraw the petition to participate in 

the pilot program prior to the issuance 

of a decision granting the petition. Once 

the petition for participation in the pilot 

program has been granted, withdrawal 

from the pilot program is not permitted. 

V. Requirement for Restriction 

The claims must be directed to a 

single invention. If the examiner 

determines that not all the claims 

presented are directed to a single 

invention, the telephone restriction 

practice set forth in MPEP sec. 812.01 

will be followed. The applicant must 

make an election without traverse 

during the telephonic interview. If the 

applicant refuses to make an election 

without traverse, or if the examiner 

cannot reach the applicant after a 

reasonable effort (i.e., three business 

days), the examiner will treat the first 

claimed invention (the group of claim 1) 

as constructively elected without 

traverse for examination and include a 

basis for the restriction or lack of unity 

requirement in the FAOM. When a 

telephonic election is made, the 

examiner will provide a complete 

record of the telephonic interview, 

including the restriction or lack of unity 

requirement and the applicant’s 

election, in the FAOM. Applicants are 

strongly encouraged to ensure that 

applications submitted for the 

Expanded CSP are written in such a way 

that they claim a single, independent, 

and distinct invention. The applicant is 

responsible for ensuring that the same 

invention is elected in both the United 

States and all corresponding counterpart 

applications for concurrent treatment in 

the Expanded CSP. 

VI. First Action on the Merits (FAOM) 

During examination, the USPTO 

examiner will consider all exchanged 

search results and all references 

submitted by the applicant in 

accordance with 37 CFR 1.97 and 1.98. 

Search results that are not received by 

the USPTO within four months from the 

date the petition was granted may not be 

included in the FAOM. The examiner 

will prepare and issue an Office action 

and notify the applicant if any 

designated partner IP office did not 

provide search results prior to the 

issuance of the Office action. Once an 

FAOM issues, the application will no 

longer be treated as special under the 

Expanded CSP. 

Andrew Hirshfeld, 

Performing the Functions and Duties of the 

Under Secretary of Commerce for Intellectual 

Property and Director of the United States 

Patent and Trademark Office. 

[FR Doc. 2021–02342 Filed 2–3–21; 8:45 am] 

BILLING CODE 3510–16–P 

COUNCIL OF THE INSPECTORS 

GENERAL ON INTEGRITY AND 

EFFICIENCY 

Privacy Act of 1974; System of 

Records; Correction; Extension of 

Comment Period 

AGENCY: Council of the Inspectors 

General on Integrity and Efficiency 

(CIGIE). 

ACTION: Notice; correction; extension of 

comment period. 

SUMMARY: CIGIE published a notice in 

the Federal Register on January 27, 

2021, proposing to establish a system of 

records that is subject to the Privacy Act 

of 1974 entitled, ‘‘PRAC Data 

Warehouse System (PDWS)—CIGIE–5’’ 

(CIGIE–5). In that document, CIGIE 

erroneously stated that comments could 

be made through the Federal 

Rulemaking Portal: http://

www.regulations.gov. This notice 

corrects that error and extends the 

comment period associated with the 

notice. 

DATES: The system of records, CIGIE–5, 

appearing in the Federal Register of 

January 27, 2021, in FR Doc. 2021– 

01429, will become effective without 

further notice on March 8, 2021 unless 

comments are received that would 

result in a contrary determination. 

FOR FURTHER INFORMATION CONTACT: 

Virginia Grebasch, Senior Counsel, 

Pandemic Response Accountability 

Committee, Council of the Inspectors 

General on Integrity and Efficiency, 

(202) 292–2600 or comments@cigie.gov. 

SUPPLEMENTARY INFORMATION: 

Correction 

In the Federal Register of January 27, 

2021, in FR Doc. 2021–01429, on page 

7280, in the third column, correct the 

ADDRESSES caption to read: 

ADDRESSES: Submit comments 

identified by ‘‘CIGIE–5’’ by any of the 

following methods: 

1. Mail: Council of Inspectors General 

on Integrity and Efficiency, 1717 H 

Street NW, Suite 825, Washington, DC 

20006. Attn: Virginia Grebasch/CIGIE–5, 

Notice of New System of Records. 

2. Email: comments@cigie.gov. 

Dated: February 1, 2021. 

Allison C. Lerner, 

Chairperson of the Council of the Inspectors 

General on Integrity and Efficiency. 

[FR Doc. 2021–02338 Filed 2–3–21; 8:45 am] 

BILLING CODE P 

DEPARTMENT OF EDUCATION 

Applications for New Awards; 

Fulbright-Hays Doctoral Dissertation 

Research Abroad Program 

AGENCY: Office of Postsecondary 

Education, Department of Education. 

ACTION: Notice. 

SUMMARY: The Department of Education 

is issuing a notice inviting applications 

for fiscal year (FY) 2021 for the 

Fulbright-Hays Doctoral Dissertation 

Research Abroad (DDRA) Program, 

Assistance Listing Number 84.022A. 

This notice relates to the approved 

information collection under OMB 

control number 1840–0005. 

DATES: 

Applications Available: February 4, 

2021. 

Deadline for Transmittal of 

Applications: April 5, 2021. 

Pre-Application Webinar information: 

The Department will hold a preapplication meeting via webinar for 

prospective applicants. Detailed 


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