[Federal Register Volume 83, Number 169 (Thursday, August 30, 2018)]
[Notices]
[Pages 44264-44265]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-18897]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

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


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

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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

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

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

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

[[Page 44265]]

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

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