Source: http://www.uspto.gov/web/offices/pac/mpep/s711.html
Timestamp: 2014-12-22 17:07:08
Document Index: 316980686

Matched Legal Cases: ['§\n1', '§ 1', '§ 1', '§ 1308', '§\n1', '§ 1', '§ 1', '§ 1', '§ 711', '§ 201', '§\n711', '§ 706', '§ 706', '§\n706', '§\n1', '§\n1', '§\n1', '§ 1', '§\n1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 41', '§ 513', '§ 503', '§ 512', '§\n1', '§\n706', '§ 1123', '§ 1124', '§ 711', '§ 1490', '§ 1002', '§ 1214', '§ 711', '§ 2136', '§ 2136']

Abandonment of Patent Application [R-11.2013]
abandonment must be signed by a party authorized under §
1.33(b)(1), (b)(3), or
§ 1.211(a)(1)) must submit
a declaration of express abandonment by way of a petition under this section
including the fee set forth in § 1.17(h)
in sufficient time to permit the appropriate officials to recognize the
(2) by the attorney or agent
or agent acting in a representative capacity under 37 CFR
1.34 when filing a continuing application;
Express or Formal Abandonment [R-11.2013]
The applicant or the attorney/agent
of record, if any, can sign an express abandonment. It is imperative that the attorney
or agent of record exercise every precaution in ascertaining that the abandonment of the
application is in accordance with the desires and best interests of the applicant prior
to signing a letter of express abandonment of a patent application. Moreover, special
care should be taken to ensure that the appropriate application is correctly identified
in the letter of abandonment.
petition under 37 CFR 1.138(c) for express
abandonment to avoid publication of the application (see 37 CFR
1.211(a)(1)) accompanied by the petition fee set forth in
CFR 1.17(h) may be: (A) mailed to Mail Stop Express
(B) filed electronically using
Since a petition under
CFR 1.138(c) will not stop publication of the application unless
it is recognized and acted on by the Pre-Grant Publication Division in sufficient time
to avoid publication, applicants should transmit the petition electronically using
EFS-Web in all instances where the projected publication date is less than 3 months from
the date of the petition. This will increase the chance of such petition being received
by the appropriate officials in sufficient time to recognize the abandonment and remove
the application from the publication process. If the issue fee has been paid, the letter
of express abandonment should be directed to the Office of Petitions instead of the
application from issue under 37 CFR 1.313(c). See subsection “I.
After Payment of Issue Fee.”
An amendment canceling all of the
claims is not an express abandonment. The Office will not enter any amendment that would
cancel all of the claims in an application without presenting any new or substitute
claims. See Exxon Corp. v. Phillips Petroleum Co.,
265 F.3d 1249, 60 USPQ2d 1368 (Fed. Cir. 2001). Such an amendment is regarded as
nonresponsive and is not a bona fide attempt to
advance the application to final action. The practice set forth in 37 CFR
1.135(c) does not apply to such amendment. Applicant should be
1.34 except in those instances where such withdrawal would result
in abandonment of the application. In such instances the withdrawal of appeal is in fact
an express abandonment.
1.17(h). Also see MPEP § 1308. The
express abandonment may not be recognized by the Office unless it is actually
received by appropriate officials in time to withdraw the application from issue. A
petition under 37 CFR 1.313 will not be
effective to withdraw the application from issue unless it is actually received and
granted by the appropriate official before the date of issue. After the issue fee has
been paid, the application will not be withdrawn upon petition by the applicant for
any reason except those reasons listed in 37 CFR 1.313(c),
which include express abandonment of the application. An application may be withdrawn
from issue for express abandonment of the application in favor of a continuing
application. The petition under 37 CFR 1.313(c) accompanied by
the petition fee should be addressed to the Office of Petitions. If the petition and
the letter of abandonment are received by appropriate officials in sufficient time to
act on the petition and remove the application from the issue process, the letter of
abandonment will be acknowledged by the Office of Data Management after the petition
is granted. Petitions to withdraw an application from issue under 37 CFR
Petitions at (571) 272-3282 for delivery assistance; or
to either transmit by EFS-Web, or facsimile or hand-carry the petition to the Office
of Petitions to allow sufficient time to process the petition and if the petition can
be granted, withdraw the application from issue.
in time to avoid publication. Generally, a petition under 37 CFR
1.138(c) will not be granted and the application will be
to abandon an application filed under 35 U.S.C.
111(a) and §
1.53(b) on or after December 8, 2004, to obtain a
transmission under § 1.8 will not be
taken into account in determining whether a petition under
§ 1.138(d) was filed
before an examination has been made of the application. If a request for
refund of the search fee and excess claims fee paid in the application is
not filed with the declaration of express abandonment under this
paragraph or within two months from the date on which the declaration of
express abandonment under this paragraph was filed, the Office may retain
the entire search fee and excess claims fee paid in the application. This
two-month period is not extendable. If a petition and declaration of
express abandonment under this paragraph are not filed before an
examination has been made of the application, the Office will not refund
any part of the search fee and excess claims fee paid in the application
except as provided in § 1.26.
in an application filed under 35 U.S.C. 111(a) and 37 CFR
1.53(b) on or after December 8, 2004 may be obtained by
1.138(d) will be granted if it was filed before an examination
has been made of the application and will be denied if it was not filed before an
examination has been made of the application. This averts the situation in which an
applicant files a declaration of express abandonment to obtain a refund of the search
fee and excess claims fee, the request for a refund is not granted because the
declaration of express abandonment was not filed before an examination has been made
of the application, the applicant then wishes to rescind the declaration of express
abandonment upon learning that the declaration of express abandonment was not filed
before an examination has been made of the application, and the Office cannot revive
the application (once the declaration of express abandonment is recognized) because
the application was expressly and intentionally abandoned by the
the application” for purposes of 37 CFR 1.138(d) once an action
(e.g., restriction or election of species requirement, requirement for information
under 37 CFR 1.105, first Office action
on the merits, notice of allowability or notice of allowance, or action under
Ex parte Quayle, 1935 Dec. Comm’r Pat. 11
(1935)) is shown in the Patent Application Locating and Monitoring (PALM) system as
having been counted. For purposes of 37 CFR 1.138(d),
“before” means occurring earlier in time, in that if a petition under
37 CFR 1.138(d) is filed and an action is counted on the same
day, the petition under 37 CFR 1.138(d) was not filed
before an examination has been made of the application. In addition, the date
indicated on any certificate of mailing or transmission under 37 CFR
1.8 is not taken into account in determining whether a petition
under 37 CFR 1.138(d) was filed before
an examination has been made of the application.
before or on the day that the petition under 37 CFR 1.138(d)
was filed, the petition under 37 CFR 1.138(d) will be denied
and the search fee and excess claims fee will not be refunded except as provided in
37 CFR 1.26.
application unless the petition under 37 CFR 1.138(d)
is granted and the abandonment processed before technical preparations for
publication of the application has begun. Technical preparations for publication of
an application generally begin four months prior to the projected date of
EFS-Web. The use of form PTO/SB/24B (or PTO/AIA/24B), reproduced
MPEP § 711.01, subsection V., is
An express abandonment pursuant 37 CFR 1.138
of an application involved in an interference under pre-AIA 35 U.S.C. 135 is
considered an abandonment of the contest and it is construed as a request for entry
of an adverse judgment against the applicant. See 37 CFR
41.127(b)(4).
Form PTO/AIA/24 (or PTO/SB/24 for
applications filed before September 16, 2012) may be used for filing a letter of
express abandonment or a letter of express abandonment in favor of a continuing
application. Form PTO/AIA/24A (or PTO/SB/24A for applications filed before September
16, 2012) may be used for filing a petition for express abandonment under
1.138(c) to avoid publication of the application. Form
PTO/AIA/24B (or PTO/SB/24B for applications filed before September 16, 2012) may be
used for filing a petition for express abandonment under 37 CFR 1.138(d)
to obtain a refund of the search fee and excess claims fee.
Failure To Take Required Action During Statutory Period [R-08.2012]
amendment and the Office action completed. The late amendment is placed in the file
wrapper but not formally entered. See MPEP
¶ 7.98.02
To pass on questions of abandonment,
Patent Trial and Appeal Board. See MPEP
against the application. See MPEP Chapter
(E) Where a continued
prosecution application (CPA) under 37 CFR
1.53(d) is filed. See MPEP
§ 201.06(d) and §
711.01. (F) Prior to a decision by
the Board, an application on appeal that has no allowed claims may become
abandoned when a Request for Continued Examination (RCE) is improperly filed
without the appropriate fee or a submission (37 CFR
1.114(d)) in the application. The filing of an RCE
will be treated as a withdrawal of the appeal by the applicant. See
MPEP § 706.07(h), paragraph
(G) When a reply to a final
Office action is outstanding, an application may become abandoned if an RCE
is filed without a timely submission that meets the reply requirements of
37 CFR 1.111. The filing
of an improper RCE will not operate to toll the running of any time period
set in the previous Office action for reply to avoid abandonment of the
application. See MPEP § 706.07(h), paragraph
(H) Prior to payment of the
issue fee, an allowed application may become abandoned if an RCE is
improperly filed without the appropriate fee or a submission in the
application. The improper RCE will not operate to toll the running of the
time period for payment of the issue fee. See MPEP §
706.07(h), paragraph IX.
terminated in an application after decision by the Patent Trial and Appeal
Board as explained in MPEP §
Reconsideration of Holding of Abandonment; Revival [R-08.2012]
reexamination prosecution terminated under §§
1.550(d) or 1.957(b) or limited under §
1.957(c), or a lapsed patent. A grantable petition
as set forth in §
1.17(l);
disclaimer (and fee as set forth in § 1.20(d)) required pursuant to paragraph
1.17(m);
for continued examination in compliance with §
1.114. In an application or patent, abandoned or
accompanied by a terminal disclaimer and fee as set forth in
120, 121, or
application, that contains a specific reference under
of § 1.550(c) for
a terminated ex parte
parte reexamination was filed under § 1.510; or
partes reexamination was filed under § 1.913.
122(b)(2)(B)(iii) for failure to timely notify the
multinational treaty that requires publication of applications eighteen
months after filing, may be revived only pursuant to paragraph (b) of
this section. The reply requirement of paragraph (c) of this section is
met by the notification of such filing in a foreign country or under a
multinational treaty, but the filing of a petition under this section
will not operate to stay any period for reply that may be running against
the provisions of 35 U.S.C. 119(e)(3)
and § 1.7(b), a
provisional application will not be regarded as pending after twelve
months from its filing date under any circumstances.
proceeding which is not subject to appeal to the Patent Trial and
Appeal Board or to the court; (2) In cases in
For petitions involving action of the Patent Trial and Appeal
Board, see § 41.3 of this
Two procedures are available
for reviving an application that has become abandoned due to a failure to reply to
an Office Action: (1) a petition under 37 CFR
The showing required to
1.10(c) through 1.10(e) and
an appropriate petition under 37 CFR 1.10(c), (d), (e), or
(g) (see MPEP § 513).
When a paper is shown to have been mailed to the Office using the “Express
Mail” procedures, the paper must be entered in PALM with the “Express Mail”
facie evidence that the reply was timely filed. See
MPEP § 503. For example, if
the application has been held abandoned for failure to file a reply to a first
mailing under 37 CFR 1.8, but not a
postcard receipt, is relied upon in a petition to withdraw the holding of
abandonment, see 37 CFR 1.8(b) and
MPEP § 512. As stated in
37 CFR 1.8(b)(3) the
statement that attests to the previous timely mailing or transmission of the
the statement under 37 CFR
1.8(b) also permits applicant to notify the Office of a
37 CFR 1.8(b)(3)
accompanied by a duplicate copy of the correspondence when a reasonable amount
of time (e.g., more than one month) has elapsed from the time of mailing or
transmitting of the correspondence. Applicant does not have to wait until the
application becomes abandoned before notifying the Office of the previous
mailing or transmission of the correspondence. Applicant should check the
private Patent Application Information Retrieval (PAIR) system for the status
of the correspondence before notifying the Office. See MPEP §
1.181(f) provides that, inter
any petition (under 37 CFR 1.181) to withdraw
the holding of abandonment not filed within 2 months of the mail date of a
notice of abandonment (the action complained of) may be dismissed as untimely.
37 CFR 1.181(f). Rather than dismiss an
untimely petition to withdraw the holding of abandonment under
37 CFR 1.181(f), the Office
may require a terminal disclaimer as a condition of granting an untimely
petition to withdraw the holding of abandonment. Where the record indicates
that the applicant intentionally delayed the filing of a petition to withdraw
the holding of abandonment, the Office may simply dismiss the petition as
untimely (37 CFR 1.181(f)) solely on
the basis of such intentional delay in taking action in the application without
further addressing the merits of the petition. Obviously, intentional delay in
seeking the revival of an abandoned application precludes relief under
37 CFR 1.137(a) or (b)
1. Design Applications, Utility Applications Filed
under 37 CFR 1.321(a), and
the required fee set forth in 37 CFR
1.20(d). The period to be disclaimed is the
terminal part of the term of any patent granted on the application, or of
any patent granted on any utility or plant application that claims the
benefit of the filing date of the application under 35
U.S.C. 120, 121,
or 365(c), equivalent to
711.03(c), subsection II.G.
terminal disclaimer under 37 CFR
1.321(a), and the required fee set forth in
37 CFR 1.20(d). The
period to be disclaimed is the terminal part of the term of any patent
granted thereon, or of any patent granted on any utility or plant
application that claims the benefit of the filing date of the application
under 35 U.S.C. 120,
period during: (A) appellate review by the Patent Trial and Appeal Board;
(B) an interference or derivation proceeding under 35 U.S.C.
135, including any suspension due to an interference
or derivation proceeding; or (C) which the application was in a sealed
condition or prosecution was suspended due to a secrecy order under
35 U.S.C. 181. This is
because it is necessary to effect (if appropriate) a reduction of patent
term extension under the “due diligence” provisions of 37 CFR
1.701(d)(2).
of 37 CFR 1.704(a) by a
period equal to the period of time during which the applicant “failed to
engage in reasonable efforts to conclude prosecution” (processing or
examination) of the application. II.
issue fee for a utility or plant application; (E) to timely pay any
outstanding balance of the issue fee (lapsed patents);
(F) to provide copendency between
the abandoned application and a subsequently filed
extension of time under 37 CFR 1.136 and a fee for
such an extension of time are not required to be included with the
37 CFR 1.137(c) applies to
the reply requirement for petitions under 37 CFR 1.137(a) and
(b). In a nonprovisional application abandoned for
failure to prosecute, the required reply may be met by the filing of a
continuing application. In a nonprovisional utility or plant application filed
on or after June 8, 1995, and abandoned for failure to prosecute, the required
reply may also be met by the filing of a request for continued examination
(RCE) in compliance with 37 CFR 1.114. In an
application or patent, abandoned or lapsed for failure to pay the issue fee or
any portion thereof, the required reply must include payment of the issue fee
or any outstanding balance. In an application, abandoned for failure to pay the
37 CFR 1.137 must
include payment of the publication fee.
or an amendment under 37 CFR
1.111; (B) the filing of
a continuing application under 37 CFR
1.53(b) (or a continued prosecution
application (CPA) under 37 CFR
1.53(d) if the application is a design
determination that any reply under 37 CFR
1.111 is complete. Where the proposed reply is to a
non-final Office action, the petition may be granted if the reply appears
to be bona fide. After revival of the
application, the patent examiner may, upon more detailed review,
Extensions of time under 37 CFR
1.136(a) are permitted. If applicant does not
37 CFR 1.113 to a
final action must include a request for continued examination (RCE) under
37 CFR 1.114 or
cancellation of, or appeal from the rejection of, each claim so rejected.
Accordingly, in a nonprovisional application abandoned for failure to
reply to a final action, the reply required for consideration of a
petition to revive must be: (A) a Notice of
under 37 CFR 1.116
that cancels all the rejected claims or otherwise prima facie places the application
1.111 and the requisite fee) under
for utility or plant applications filed on or after June 8, 1995
1.53(b) (or a CPA under 37 CFR
appeal is the reply filed pursuant to 37 CFR
1.137(a)(1) or 1.137(b)(1), the time period under
37 CFR 41.37 for
filing the appeal brief will be set by the Director of the USPTO in the
decision granting the petition. An application subject
1.116 is filed as the required reply will normally
be routed by the Office of Petitions to the Technology Center (TC) to
determine whether a proposed amendment places the application in
condition for allowance prior to granting any petition to revive such
application. The examiner is instructed that if the reply places the
application in condition for allowance, the examiner should use the
typewriter tool in Adobe Acrobat to write in the margin of the reply “OK
to enter upon revival.” If the petition is otherwise grantable and the
examiner indicates that the reply places the application in condition for
allowance, the petition will be granted. If, on the other hand, the reply
would not place the application in condition for allowance, the examiner
is instructed to complete form PTOL-303 and return the form to the Office
of Petitions with the application. Form PTOL-303 should not be mailed to
the applicant by the examiner. In this situation, the Office of Petitions
will not grant the petition. A copy of the form PTOL-303 is marked with
the notation “Courtesy Copy” by the Office of Petitions. The courtesy
copy is sent as an attachment with the decision on the petition. The
advisory form PTOL-303 merely serves as an advisory notice to the Office
of Petitions regarding the decision of the examiner on the amendment
after final rejection. (c) Abandonment for Failure To File an Appeal
brief, the reply required pursuant to 37 CFR
1.137(a)(1) or 1.137(b)(1) must be either:
brief in compliance with 37 CFR
41.37(c) and appeal brief fee;
(B) the filing of
1.114 for utility or plant applications
is the reply filed pursuant to 37 CFR
1.137(a)(1) or 1.137(b)(1) to revive such an application, the
meaning of 37 CFR 1.111 to the
last Office action. Consideration of whether the submission is responsive
within the meaning of 37 CFR 1.111 to the
last Office action is done without factoring in the “final” status of
such action. The submission may be a previously filed amendment after
previously filed appeal or reply brief. See MPEP §
706.07(h), paragraph II.
1-month shortened statutory period under 37 CFR
1.136(a) are permitted. If the applicant does not
published under 35 U.S.C. 122(b)(1). See
122(b)(2)(B)(i). If an applicant makes a
122(b)(2)(B)(ii), the nonpublication request before or
on the date a counterpart application is filed in a foreign country, or
under a multilateral international agreement, that requires eighteen-month
publication, the nonpublication request will be treated as annulled and the
application will be treated as if the nonpublication request were never
made. See MPEP § 1123 and
§ 1124. An applicant who
has made a nonpublication request, but who subsequently files an application
directed to the invention disclosed in the U.S. application in a foreign
country, or under a multilateral international agreement, that requires
eighteen-month publication before the nonpublication request is rescinded,
must, in addition to the rescission, notify the Office of such filing within
forty-five days after the date of such filing. The requirement in
122(b)(2)(B)(iii) for notice of the foreign filing is
in addition to any rescission of the nonpublication request under
122(b)(2)(B)(ii). If an applicant files a counterpart
nonpublication request under 35 U.S.C.
122(b)(2)(B)(ii) without also providing a notice of
the foreign filing in a timely manner will result in the abandonment of the
U.S. application under 35 U.S.C.
122(b)(2)(B)(iii). 35 U.S.C.
122(b)(2)(B)(iii), however, also provides that an
122(b)(2)(B)(iii) provides for revival only on the
basis of unintentional delay, and not on the basis of unavoidable delay.
Therefore, a nonprovisional application abandoned pursuant to
1.137(b). The reply requirement of 37 CFR
1.137(c) is met by the notification of such filing in
a foreign country or under a multinational treaty, but the filing of a
petition under 37 CFR 1.137(b) will not
application. Since the Office cannot ascertain whether an application is
abandoned under 35 U.S.C.
122(b)(2)(B)(iii), the Office may continue to process
and examine the application until the Office is notified of applicant’s
failure to meet the forty-five days notice requirement of 35 U.S.C.
122(b)(2)(B)(iii). Therefore, the filing of a petition
under 37 CFR 1.137(b) to
revive such an application will not operate to stay any period for reply
that may be running against the application. Applicants may use form
PTO/SB/64a to file a petition for revival under 37 CFR
Petitions under
37 CFR 1.137(b) are less
under 37 CFR 11.18 to inquire into the underlying facts and circumstances when
inappropriate statement in a petition under 37 CFR
1.137(b) to revive an abandoned application may have an
burdensome to prepare and prosecute than a petition under 37 CFR
1.137(a). The Office is almost always satisfied as to
whether “the entire delay…was unintentional” on the basis of statement(s) by
the applicant or representative explaining the cause of the delay (accompanied
at most by copies of correspondence relevant to the period of delay). A showing
of unavoidable delay will (in addition to the above) require: (1) evidence
concerning the procedures in place that should have avoided the error resulting
in the delay; (2) evidence concerning the training and experience of the
persons responsible for the error; and (3) copies of any applicable docketing
records to show that the error was in fact the cause of the delay. See
MPEP § 711.03(c), subsection
II.C.2. In addition, a petition under 37 CFR
1.137(a) must establish that the delay was unavoidable,
under 37 CFR 1.137(a) end up
being granted under 37 CFR 1.137(b) when the
to “unavoidable delay” within the meaning of 37 CFR
1.137(a).
Since the requirements of
37 CFR 1.137(a) are more
exacting than the corresponding requirements of 37 CFR
1.137(b), a petition under 37 CFR
1.137(a) is significantly less likely to be grantable as
filed than is a petition under 37 CFR
1.137(b). The Office usually must render a number of
interlocutory decisions dismissing a petition under 37 CFR
1.137(a) and requesting additional evidence until either
the applicant provides a satisfactory showing of unavoidable delay (in which
case the petition can be granted) or the Office concludes that the applicant
cannot provide a satisfactory showing of unavoidable delay (in which case the
petition must be denied). Thus, the period between when an applicant first
files a petition to revive and the Office renders a decision granting (or
denying) that petition will, more often than not, be much longer if the
petition is under 37 CFR 1.137(a) than it
would have been if the petition were under 37 CFR 1.137(b).
treatment, applicants filing a petition under 37 CFR
1.137(b) to revive an abandoned application are
petition pursuant to 37 CFR 1.137(b) was
unintentional,” even if applicant chooses to include a statement of the
facts concerning the delay. Electronic petitions, that are automatically
processed and immediately decided, may be filed using the web-based
ePetition process for the following types of petitions: (1) Petitions to
Accept Late Payment of Issue Fee - Unintentional Late Payment (37 CFR
1.137(b)); (2) Petitions for Revival of an Application based on Failure to
Notify the Office of a Foreign or International Filing (37 CFR
1.137(f)); (3) Petitions for Revival of an Application
for Continuity Purposes Only (37 CFR 1.137(b)); and
(4) Petitions for Revival of an Abandoned Patent Application Abandoned
Unintentionally (37 CFR 1.137(b)) (For
Cases Abandoned After 1st Action and Prior to Notice of Allowance).
Applicants may use the forms provided by the Office (PTO/SB/64, PTO/SB/64a,
or PTO/SB/64PCT). Additional information regarding the ePetition process is
available at: http://www.uspto.gov/
patents/process/file/efs/guidance/epetition-info.jsp
Applicants may use the forms
provided by the Office (PTO/SB/64, PTO/SB/64a, or
PTO/SB/64PCT).
2. Unavoidable Delay
eligible for the patent term extension under former35 U.S.C. 154(b) (as a
result of the Uruguay Round Agreements Act (URAA)). See 35 U.S.C.
120, 121, or 365(c), from the date on which the earliest such
application was filed. The terminal disclaimer must also apply to any patent
granted on any continuing utility or plant application filed before June 8,
1995, or any continuing design application, entitled under 35 U.S.C.
120, 121, or 365(c) to the benefit of the filing date of the
37 CFR 1.137(d) does not
apply to (A) applications for which revival is sought solely for purposes of
copendency with a utility or plant application filed on or after June 8, 1995,
(B) lapsed patents, (C) reissue applications, or (D) reexamination
application was filed). Therefore, the Office will not indicate the period
disclaimed under 37 CFR 1.137(d) in its
decision granting a petition to revive an abandoned
See MPEP § 1490
for additional information pertaining to terminal disclaimers.
requirement. A petition under 37 CFR 1.137(a) or
(b) must be accompanied by any outstanding reply to an
Office requirement, since 37 CFR 1.137(a)(1) and
1.137(b)(1) permit the filing of a continuing application in lieu of the
required reply only in a nonprovisional application.
12-month period. 37 CFR 1.137(g) provides
that a provisional application, abandoned for failure to timely respond to an
Office requirement, may be revived pursuant to 37 CFR
1.137, however a provisional application will not be
CFR 1.181 states that the examiner “may be directed by the
Director to furnish a written statement, within a specific time, setting forth the
reasons for his or her decision upon the matters averred in the petition, supplying a
copy to the petitioner.” Unless requested, however, such a statement should not be
prepared. See MPEP § 1002.01.
Public Access to Abandoned Applications [R-08.2012]
Access will be provided to the
application file itself for any non-Image File Wrapper (IFW) abandoned published
application. When access to the IFW system is available in the File Information Unit
(FIU) and/or Internet access to abandoned published IFW applications, such files will be
provided to the public via the FIU and/or Internet. Since there is no paper file wrapper
for IFW applications, if electronic access is not available to the public, then access
to IFW files is only available by ordering a copy of the application-as-filed, the file
contents of the published application or a specific document in the file of the
published application from the Office of Public Records and payment of the appropriate
fee set forth in 37 CFR 1.19(b). See
CFR 1.14(a)(1)(ii).
application that is published in accordance with PCT Article
21(2). An application is considered
upon written request, and payment of the fee set forth in 37 CFR
1.19(b). See 37 CFR 1.14(a)(1)(iv). See also
abandoned application under 37 CFR 1.14(a)(1)(iv).
711.04(a) Date of Abandonment
Applications are not ordinarily
reviewed for possible abandonment until the maximum permissible period for which an
extension of time under 37 CFR 1.136(a) plus 1 month has
expired. The applications should be
abandoned. A check should be made of files containing a decision of the Patent Trial
and Appeal Board for the presence of allowed claims to avoid erroneously treating the
proceedings as terminated (see MPEP § 1214.06, subsections II-IV
for proper treatment of any claims that stand allowed). If the application is abandoned, the date of
the abandonment is after midnight of the date on which the set shortened statutory
period, including any extensions under 37 CFR 1.136, expired. This is
normally the end of the 3-month shortened statutory period.
paper files are stored at the Files Repository. Older files are housed in warehouses
located off site. Image File Wrapper (IFW) applications are stored electronically and
do not have a paper file wrapper to be stored other than certain artifact material.
The electronic file is the official record of the application. Patented and abandoned paper files
or artifact folders are ordered by means of a PALM transaction. To place such an
order, the examiner is required to input his/her PALM location code, employee number,
and patent number(s) and/or application number(s) of the file(s) that are needed.
After transmission of the requested transaction by the examiner, a “response” screen
informs him/her of the status of the request for each file. The examiner is informed
that the request is:
increased); (C) not accepted because the
file is not located at the repository or warehouse; (D) not accepted because a
previous request for the file has not yet been filled; or (E) not accepted because the
Personnel at the Files Repository
regularly perform a PALM print transaction which produces a list of all accepted
requests in patent number order and, for requests for abandoned files, in application
number order. The printed record of each request is detached from the list when its
associated file is found and then stapled to it. Periodic deliveries of files are
made to the offices of their requestors by Files Repository personnel, and files that
are ready to be returned to the repository are picked up. For applications stored in
IFW, this process is not necessary.
is ordered. 711.04(c) Notifying Applicants of Abandonment
PTOL-1432 in all applications which become abandoned for failure to prosecute.
However, in no case will mere failure to receive a notice of abandonment affect the
status of an abandoned application.
holding of abandonment. See MPEP § 711.03(c).
Allowed [R-08.2012]
Abstracts, Abbreviatures, and Defensive Publications [R-08.2012]
files. A defensive publication is not a patent or an application publication under
35 U.S.C. 122(b); it is a publication. Therefore, it is prior
art only as of its publication date. See MPEP § 2136. The defensive publication
application files are accessible by request to the File Information Unit (Record
cited as prior art under 35 U.S.C. 102(a)(1) or
pre-AIA 35 U.S.C. 102(a) or 102(b) effective from the date of
publication in the Official Gazette. See Ex parte Osmond, 191 USPQ 334 (Bd. App. 1973) and
Ex Parte Osmond, 191 USPQ 340 (Bd. App. 1976). See also
MPEP § 2136.
from which an abstract, abbreviature or defensive publication has been prepared may
be used as a reference under 35 U.S.C. 102(a)(1) or
pre-AIA 35
U.S.C. 102(a), effective from the actual date of filing in the
United States, only for evidence of prior knowledge of another.
U.S.C. 102(a)(1) or 103 or
pre-AIA 35 U.S.C. 102 and 103.
706.02(l)(1)-Rejections Under Pre-AIA 35 U.S.C. 103(a) Using Prior Art Under Pre-AIA 35 U.S.C. 102(e), (f), or (g); Prior Art Disqualification
Under Pre-AIA 35 U.S.C. 103(c)
717.01(b)(2) -Determining if the Subject Matter of the Intervening Disclosure is the Same as the Subject Matter of the Inventor–Originated