Source: https://www.bitlaw.com/source/mpep/1134_01.html
Timestamp: 2018-05-22 13:44:16
Document Index: 740386548

Matched Legal Cases: ['§1134', '§1135', '§ 609', '§ 715', '§ 1441', '§ 1441']

MPEP 1134.01: Third Party Submissions Under 37 CFR 1.290, Jan. 2018 (BitLaw)
MPEP 1134.01
Third Party Submissions Under 37 CFR 1.290
1134: Third Party Inquiries and Correspondence in a Published Application
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37 C.F.R. 1.290 Submissions by third parties in applications.
I. TIMELINESS REQUIREMENT
The 37 CFR 1.290(b)(2)(i) time period will be initiated only by publications "by the Office" under 35 U.S.C. 122 and 37 CFR 1.211, and will not be initiated by a publication by the World Intellectual Property Organization (WIPO). Thus, an earlier publication by WIPO of an international application designating the United States will not be considered a publication that will initiate the 37 CFR 1.290(b)(2)(i) time period for an application which entered the national stage from the international application after compliance with 35 U.S.C. 371. Additionally, the first publication of the application by the Office will trigger the 37 CFR 1.290(b)(2)(i) time period where appropriate. The republication of an application under 37 CFR 1.221(b) is not the "first" publication by the Office under 35 U.S.C.122(b) for purposes of 35 U.S.C. 122(e). Where the Office does not publish an application, the date that is six months after the publication date would not occur and, therefore, by default would be considered later than both the date of a first rejection of any claim and the date the notice of allowance is given or mailed in the application. Accordingly, the date that a notice of allowance is given or mailed in the application would control the timing of a third-party submission in an application which has not been published, not the date of the first rejection of any claim.
The 37 CFR 1.290(b)(2)(ii) time period will be initiated by the date the first rejection under 37 CFR 1.104 of any claim by the examiner is given or mailed during the examination of the application. "Given" refers to the electronic notification of an Office action that replaces postal mailing of an Office action for applicants participating in the Electronic Office Action Notification (e-Office Action) program. The 37 CFR 1.290(b)(2)(ii) time period will not be initiated, for example, by a first Office action that only contains a restriction requirement or where the first Office action is an action under Ex parte Quayle, 1935 Dec. Comm’r Pat. 11 (1935).
A. Time Periods Are Statutory and Cannot Be Waived
B. A Third-Party Submission Is Filed On Its Date of Receipt in the Office
II. CONTENT REQUIREMENTS FOR A THIRD-PARTY SUBMISSION
A. Document List
1. Form PTO/SB/429
When filing in paper, third parties may use form PTO/SB/429 (or equivalent) to prepare the document list in accordance with 37 CFR 1.290(d)(1) and 37 CFR 1.290(e). Electronic filing via the Office’s dedicated Web-based interface for preissuance submissions in EFS-Web is an alternative to paper filing using form PTO/SB/429 (or equivalent). Use of this form will not be necessary for third-party submissions filed electronically via the Office’s dedicated Web-based interface for preissuance submissions, as this interface will prompt the third party to complete the fields that are provided on the form and will automatically format the entered information into an electronic version of the form PTO/SB/429 for electronic submission. While use of form PTO/SB/429 is not required for paper submissions, form PTO/SB/429 is designed to help ensure that important requirements are not overlooked, such as the document listing requirements pursuant to 37 CFR 1.290(e) and the required statements pursuant to 37 CFR 1.290(d)(5). The form PTO/SB/429 also enables the third party to indicate whether a fee is due or to select the "first and only" statement pursuant to 37 CFR 1.290(g) where the fee exemption applies. Form PTO/SB/429 and instructions for completion are available on the USPTO website at www.uspto.gov/forms.
(a) U.S. Patents and U.S. Patent Application Publications
(b) Foreign Patents and Published Foreign Patent Applications
(c) Non-Patent Publications
All non-patent publications, such as Office actions, journal articles, communications from foreign patent offices, court documents, etc. that qualify as publications should be listed under the "Non-Patent Publications" section of the form PTO/SB/429 (or equivalent) or entered in the "Non-Patent Publications" section of the Office’s dedicated Web-based interface for preissuance submissions when filing electronically.
37 CFR 1.290(e)(4) requires that each non-patent publication be identified by author (if any), title, pages being submitted, publication date, and where available, publisher and place of publication. However, 37 CFR 1.290(e)(4) does not preclude a third party from providing additional information not specified in 37 CFR 1.290(e)(4) (e.g., journal title and volume/issue information for a journal article). Because publisher and place of publication information may not be available in some instances, 37 CFR 1.290(e)(4) emphasizes that such information need only be provided where it is available. For publications obtained from the Internet, the uniform resource locator (URL) of the Web page that is the source of the publication must be provided for the place of publication (e.g., "www.uspto.gov"). Further, for an Internet publication obtained from a website that archives Web pages, both the URL of the archived Web page submitted for consideration and the URL of the website from which the archived copy of the Web page was obtained should be provided on the document listing (e.g., "Hand Tools," Web page <http://www.farmshopstore.com/handtools.html>, 1 page, August 18, 2009, retrieved from Internet Archive Wayback Machine <http://web.archive.org/web/20090818144217/ http://www.farmshopstore.com/handtools.html> on December 20, 2012).
B. Concise description of relevance
37 CFR 1.290(d)(2) requires a concise description of the asserted relevance of each item identified in the document list in view of the statutory requirement of 35 U.S.C. 122(e)(2)(A) that each third-party preissuance submission be accompanied by a "concise description of the asserted relevance of each submitted document." A concise description of relevance for an item is a statement of facts regarding the submitted evidence (i.e., the patent, published patent application, or other publication) and will not, itself, be treated as evidence. The concise description should set forth facts, explaining how an item listed is of potential relevance to the examination of the application in which the third-party submission has been filed.
At a minimum, a concise description of relevance must be more than a bare statement that the document is relevant because such a statement does not amount to a meaningful concise description. For example, the following statements, presented alone, would not be considered anything more than bare statements of relevance that do not rise to the level of meaningful concise descriptions: "Document 1 is relevant," "See Document 1," "Document 1 discloses/may disclose the invention," and "Document 1 teaches the invention in Claim 1." Additionally, a copy of the listed document that is merely annotated or highlighted will not be deemed a proper concise description of relevance. Further, concise descriptions of relevance that appear to be mere form paragraphs/letters in opposition to a general class of invention or technology will not be deemed proper concise descriptions of relevance.
While there is no page limit on a concise description of relevance, third parties should refrain from submitting a verbose description of relevance, not only because the statute calls for a "concise" description, but also because a focused description is more effective in drawing the examiner’s attention to the relevant issues. For example, a description that includes an introductory paragraph describing the field of technology of a document and a claim chart that maps portions of the document to different claim elements would likely be considered "concise." On the other hand, descriptions that merely repeat in narrative format the same information that is also depicted in a claim chart or that approach the length of the documents themselves will not likely be considered "concise."
3. Not an invitation to participate in the prosecution of the application
37 CFR 1.290(d)(3) requires submission of a legible copy of each item identified in the document list, other than U.S. patents and U.S. patent application publications. See 37 CFR 1.98(a)(2)(ii) and MPEP § 609.04(a). Any copies of documents that are submitted in color will be scanned into black and white prior to entry of a compliant submission in the record of an application. There is no provision for the submission of copies of documents via compact disc or other electronic data storage medium. However, a third party may upload electronic copies of documents when using the Office’s dedicated Web-based interface to electronically file a third-party submission. See Subsection IV.E. below.
37 CFR 1.290(d)(5)(i) requires a statement by the party making the submission that the party is not an individual who has a duty to disclose information with respect to the application (i.e., each individual associated with the filing and prosecution of the patent application) under 37 CFR 1.56. Such statement is intended to avoid potential misuse of third-party submissions by applicants (e.g., by employing a third-party "straw man") to attempt to circumvent the IDS rules. 37 CFR 1.290(d)(5)(ii) requires a statement by the party making the submission that the submission complies with the requirements of 35 U.S.C. 122(e) and 37 CFR 1.290. Additionally, to take advantage of the fee exemption, a third-party submission must be accompanied by the statement under 37 CFR 1.290(g). See Subsection IV.F. below for more information regarding the fee exemption.
F. Fee (if necessary)
1. Fee exemption
Third parties are not required to avail themselves of the fee exemption. Thus, a third party can make a first submission of three or fewer documents in an application and choose to pay the fee instead of making the statement under 37 CFR 1.290(g) (e.g., where a third party is uncertain whether it is appropriate to make the "privity" statement pursuant to 37 CFR 1.290(g).)
To implement the fee exemption in 37 CFR 1.290(g) and avoid potential misuse of such exemption, exemption-eligible third-party submissions must be accompanied by a statement of the third party (i.e., "the party making the submission") that, to the knowledge of the person signing the statement after making reasonable inquiry, the submission is the first and only third-party submission in the application by the third party or a party in privity with the third party. To preclude a third party from making multiple third-party submissions in the same application on the same day and asserting that each such submission is the first third-party submission in the application by the third party, the 37 CFR 1.290(g) statement requires that the submission be the "first and only" third-party submission. This statement will not, however, preclude the third party from making more than one third-party submission in an application, where the need for the subsequent submissions was not known at the time the third party filed the earlier submission that included the 37 CFR 1.290(g) statement. The third party would not be required to state in any such subsequent submission that the need for the subsequent submission was not known at the time the third party filed the earlier submission that included the 37 CFR 1.290(g) statement. Any such subsequent submission, however, would not be exempt from the 37 CFR 1.290(f) fee requirement.
2. Fee is required for a resubmission after a finding of non-compliance
3. Small entity discount
A small entity discount is available for third-party submissions where applicable. To assert small entity status when filing in paper, a third party should select the "small entity" box on form PTO/SB/429 and pay the applicable small entity fee. By selecting the "small entity" box on form PTO/SB/429 (or equivalent) or the "small entity" link on the EFS-Web payment screen and paying the applicable small entity fee, the party making the submission asserts that the party qualifies as a small entity. A micro entity discount is not available for third-party submissions because a third party is not eligible for the micro entity discount.
4. Fee Examples
III. "PRINTED PUBLICATIONS"
A. Evidence of Publication
Any affidavits or declarations submitted as evidence of publication must comply with the Office’s formal requirements. See MPEP § 715.04(II) (providing that "[a]n affidavit is a statement in writing made under oath before a notary public, magistrate, or officer authorized to administer oaths" and that a declaration "must include an acknowledgment by the declarant that willful false statements and the like are punishable by fine or imprisonment, or both (18 U.S.C. 1001 and must also "set forth in the body of the declaration that all statements made of the declarant’s own knowledge are true and that all statements made on information and belief are believed to be true." [Note that a third party need not state "may jeopardize the validity of the application or any patent issuing therefrom."]). Affidavits and declarations submitted as evidence of publication should explain how the affiant/declarant has personal knowledge of the facts described therein. Further, affidavits and declarations submitted as evidence of publication must be limited to facts establishing why a submitted document qualifies as a publication and must not to be used as a mechanism to place information that is not pertinent to establishing the document as a publication before the examiner.
B. Need Not Be Prior Art
C. Cumulative Information/Information Already of Record
D. Of "Potential Relevance to the Examination of the Application"
The standard under 37 CFR 1.290(a) for the documents submitted to be of "potential relevance to the examination of the application" is imposed by 35 U.S.C. 122(e)(1). This standard requires the submitter to believe the documents being submitted are relevant to the extent that the submitter can provide the concise description of the asserted relevance of each document submitted as required by 35 U.S.C. 122(e) and 37 CFR 1.290(d)(2).
IV. FILING A THIRD-PARTY SUBMISSION
A. For Consideration and Inclusion in a "Patent Application"
1. Applies to Abandoned and Unpublished Applications
2. Cannot Be Filed In Provisional Applications or Post-Issuance Proceedings
Further, third-party submissions are not permitted in post-issuance proceedings, including reexamination proceedings and reissue applications. See 35 U.S.C. 302 and 35 U.S.C. 311 and MPEP § 1441.01 ("a reissue application is a post-issuance proceeding"). The protest provisions of 37 CFR 1.291 provide an avenue for third parties who have a need to submit information in a reissue application. See MPEP § 1441.01 ("the prohibition against the filing of a protest after publication of an application under 35 U.S.C. 122(c) is not applicable to a reissue application"). Further, where a third-party submission is directed to a reissue application and would otherwise be compliant under 37 CFR 1.290, the Office will enter the submission into the record of a reissue application as a protest under 37 CFR 1.291.
B. "Any Third Party"
35 U.S.C. 122(e)(1) provides for "[a]ny third party" to file a preissuance submission. Thus, a third-party submission may be filed by any member of the public, including, for example, private persons and corporate entities. However, the third party must not be the applicant or any individual who has a duty to disclose information with respect to the application under 37 CFR 1.56. See 37 CFR 1.290(d)(5)(i).
C. No Service on Applicant Required
D. Certificate of Mailing/Transmission Does Not Apply
The Office has developed a dedicated Web-based interface to permit third-party submissions under 37 CFR 1.290 to be filed electronically. Third parties can access the Web-based interface by using the Office's electronic filing system (EFS-Web) available at www.uspto.gov/ learning-and-resources/portal-applications. Registered and unregistered eFilers are able to select the "Third-Party Preissuance Submission under 37 CFR 1.290" option upon clicking the "Existing application/patent" radio button. See also the EFS-Web quick start guide for third party preissuance submissions (available at www.uspto.gov/sites/ default/files/QSG_Third_Party_Preissuance.pdf ) for detailed instructions on filing third-party submissions electronically. Filing via EFS-Web is an electronic alternative to paper filing using form PTO/SB/429 (or equivalent). Instead of uploading the form, EFS-Web will automatically generate and complete the form after a third party enters all of the necessary information.
Electronically-filed third-party submissions not made via the dedicated Web-based interface for preissuance submissions are prohibited and will be discarded (i.e., a third party must select the "Third-Party Preissuance Submission under 37 CFR 1.290" option in EFS-Web when filing electronically and not the "Document/Fees for an existing application/proceeding" option, which is only available for the applicant or applicant’s representative). Further, applicants must not file follow-on papers in their applications via the dedicated option for third-party submissions.
F. Paper Filing
V. NO THIRD-PARTY PARTICIPATION
VI. TREATMENT OF A THIRD-PARTY SUBMISSION
A. Submissions Screened for Compliance Prior to Entry in an Application
1. Notification to Third Party Regarding Third-Party Submission
A third-party may request a courtesy electronic mail message (email) notification in the event their third-party submission is found to be compliant or non-compliant. Such request may be made when filing electronically by selecting the appropriate check box and entering an email address to which the notification should be directed in the "Request for Notification Regarding Third-Party Preissuance Submission" section of the Office’s dedicated Web-based interface for preissuance submissions. Such request may be made when filing in paper by including a separate paper with the third-party submission clearly titled "REQUEST FOR NOTIFICATION REGARDING THIRD-PARTY PREISSUANCE SUBMISSION" and clearly indicating the email address to which the notification should be directed.
2. Notification to Applicant of Compliant Third-Party Submission
3. Applicant Need Not Reply To a Third-Party Submission
B. Examiner Consideration of Third-Party Submissions
During examination, the examiner should sign form PTO/SB/429 (or equivalent) in the same manner as an IDS to indicate all the items and their concise descriptions have been considered. The examiner’s signature does not indicate the examiner agrees with the third party’s position regarding the publication, but only that the examiner considered the submission. Further, the examiner should clear the submission’s IDS flag in PALM and provide a signed copy of the PTO/SB/429 with the next Office action. There is no need for the examiner to comment on the submitted documents or the concise descriptions of relevance in the Office action. However, the examiner should apply the information as deemed necessary (i.e., in a rejection of a claim). Also, the applicant need not respond to the third-party submission in the absence of a request by the Office to do so. See 37 CFR 1.290(h). Where the examiner believes information from the applicant is needed, the examiner may issue a requirement for information pursuant to 37 CFR 1.105. In no circumstance may an examiner direct a requirement for information to the third party that submitted the paper under 37 CFR 1.290. Further, because the prosecution of a patent application is an ex parte proceeding, no response from a third party with respect to an examiner’s treatment of the third-party submission will be permitted or considered.