Patents for Humanity Program, 18670-18674 [2014-07489]
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half of Fiscal Year 2014. The afternoon
session is expected to focus on program
plans for the remainder of Fiscal Year
2014. A final agenda and summary of
the proceedings will be posted at NTIS
Web site as soon as they are available
(https://www.ntis.gov/about/
advisorybd.aspx).
The NTIS Facility is a secure one.
Accordingly persons wishing to attend
should call the NTIS Visitors Center,
(703) 605–6040, to arrange for
admission. If there are sufficient
expressions of interest, up to one-half
hour will be reserved for public
comments during the afternoon session.
Questions from the public will not be
considered by the Board but any person
who wishes to submit a written question
for the Board’s consideration should
mail or email it to the NTIS Visitor
Center, bookstore@ntis.gov, not later
than April 16, 2013.
Dated: March 31, 2014.
Bruce Borzino,
Director.
[FR Doc. 2014–07451 Filed 4–2–14; 8:45 am]
BILLING CODE 3510–04–P
DEPARTMENT OF COMMERCE
United States Patent and Trademark
Office
[Docket No. PTO–P–2014–0018]
Patents for Humanity Program
United States Patent and
Trademark Office, Commerce.
ACTION: Notice.
AGENCY:
The United States Patent and
Trademark Office (USPTO or Office)
recently concluded a twelve-month
pilot program called Patents for
Humanity to incentivize the use of
patented technologies for humanitarian
purposes, culminating with an awards
ceremony in April 2013. Following the
success of this pilot, the USPTO is
continuing Patents for Humanity as an
annual awards competition. The USPTO
will announce an application period
each year of the competition. For 2014,
applications will be accepted from April
15 to September 15, 2014. Participants
will submit program applications
describing what actions they have taken
with their patented technology to either
address humanitarian needs among an
impoverished population or further
research by others on humanitarian
technologies. Applications will be
accepted in five categories: (1)
Medicine, (2) Nutrition, (3) Sanitation,
(4) Household Energy, and (5) Living
Standards. Independent judges will
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SUMMARY:
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review the program applications, and
Federal employees from other agencies
will recommend awards based on these
reviews.
For the 2014 competition, two types
of awards will be made: Patents for
Humanity Awards and honorable
mentions. The Patents for Humanity
Award is the top award for applicants
best representing the Patents for
Humanity principles. Patents for
Humanity Award recipients in 2014 will
receive a certificate to accelerate select
matters before the USPTO and public
recognition for their efforts, including
an award ceremony sponsored by the
USPTO. Honorable mentions in 2014
will receive accelerated examination of
one patent application and a featured
writeup on the USPTO Web site. A
portion of honorable mentions may be
awarded for the best up and coming
technologies. The USPTO expects to
award roughly ten Patents for Humanity
Awards and up to twenty honorable
mentions in 2014. The exact number of
awards may vary depending on the
number and quality of program
applications received. Types of awards
for subsequent years will be announced
with the application period in the
Federal Register.
Patents for Humanity certificates
awarded through the 2014 competition
can be redeemed to accelerate one of the
following matters: An ex parte
reexamination proceeding, including
one appeal to the Patent Trial and
Appeal Board (PTAB) from that
proceeding; a patent application,
including one appeal to the PTAB from
that application; or an appeal to the
PTAB of a claim twice rejected in a
patent application or reissue application
or finally rejected in an ex parte
reexamination, without accelerating the
underlying matter which generated the
appeal. Inter partes reexaminations and
interference proceedings are not eligible
for acceleration, nor are post-grant
reviews, inter partes reviews, covered
business method reviews, derivation
proceedings, or supplemental
examinations. Certificates awarded are
not transferable to other parties.
DATES: Program applications for 2014
will be accepted from April 15 to
September 15, or until 300 applications
are received, whichever comes first.
FOR FURTHER INFORMATION CONTACT: For
questions about the program, contact
Edward Elliott, Office of Policy and
International Affairs, by telephone at
571–272–7024; or by facsimile
transmission to 571–273–0123; or by
mail addressed to: Patents for Humanity
Program, Attention: Edward Elliott,
Office of Policy and International
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Affairs, United States Patent and
Trademark Office, P.O. Box 1450,
Alexandria, VA 22313–1450.
SUPPLEMENTARY INFORMATION: In
September 2010, the USPTO requested
comments from the public on proposals
to incentivize the development and
distribution of technologies that address
humanitarian needs. See Request for
Comments on Incentivizing
Humanitarian Technologies and
Licensing Through the Intellectual
Property System, 75 FR 57261
(September 20, 2010), 1359 Off. Gaz.
Pat. Office 121 (October 12, 2010). A
pilot program was announced in
February 2012. See 77 FR 6544
(February 8, 2012).
Application Process
The remainder of this notice describes
the terms and conditions of the annual
program and details for 2014. To enter
the competition, applicants must submit
program applications describing how
their actions satisfy the competition
criteria given below. Program
applications are not patent applications
but separate documents created for this
program. The term ‘‘application’’
throughout this notice shall mean
program application, rather than patent
application, unless otherwise noted.
Likewise, ‘‘applicant’’ shall mean
program applicant, rather than patent
applicant, unless otherwise noted.
Each year, the USPTO will announce
an application period for submitting
Patents for Humanity applications.
Applications for 2014 will be accepted
from April 15 to September 15, 2014, or
until 300 applications are received,
whichever occurs first. That is, if that
limit is reached before the application
deadline, then the application period
will close. Applications must be
submitted electronically to an on-line
application portal by following the
instructions posted at https://
www.uspto.gov/patentsforhumanity.
Submissions will be publicly available
on the application portal after being
screened for inappropriate material.
Submissions containing incomplete or
inappropriate material will not be
considered.
For consistent and timely evaluation,
applications will consist of a core
section and supplements. Application
forms will be available from the USPTO
Web site at https://www.uspto.gov/
patentsforhumanity. The core section
will address how the applicant meets
the defined competition criteria within
a strict five-page limit. Applications
exceeding this limit may be removed
from consideration. Applicants may
supplement the core section with any
supporting material they wish to
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provide, such as project brochures,
adoption data, case studies, published
articles, or third party testimonials.
Judges will review the core section of
every application they evaluate. Judges
may review any, all, or none of each
application’s supplementary material at
their discretion.
After the application period ends,
judges will review and score the
applications. Based on these reviews,
USPTO will forward the top-scoring
applications to reviewers from
participating Federal agencies to
recommend award recipients. Final
decisions on awards are made at the
discretion of the Director of the USPTO.
The program’s goal is to complete the
recommendation process within 90 days
of the close of the application period.
The USPTO will endeavor to balance
the number of awards in each category
to reflect the quality of applications
received. The USPTO may reassign
applications to other categories or
modify categories as needed. The actual
number of awards given may vary
depending on the number and quality of
submissions.
Once awards have been determined,
the USPTO will notify the awardees and
schedule a public awards ceremony.
The USPTO will attempt to notify
awardees four weeks before the
ceremony date if circumstances permit.
This program involves information
collection requirements which are
subject to review by the Office of
Management and Budget (OMB) under
the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.). The collection
of information involved in this program
has been reviewed and approved by
OMB under 5 CFR 1320.13.
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Judging Process
Applications will be reviewed by
independent judges chosen from outside
the USPTO. The qualifications for
judges are described below. Each judge
will review a set of applications based
on the judging criteria and selection
factors below, and then submit their
scores and evaluations to the USPTO.
Each application will be reviewed by
multiple judges. To encourage fair,
open, and impartial evaluations, judges
will perform their reviews
independently, and the reviews will not
be released to the public as permissible
by law. After awards have been made,
applicants may request from the USPTO
a copy of the reviews for their
application with the judges’ names
redacted. Reviews will be sent to either
the address on file with the application
or another address verified as belonging
to the applicant.
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After judges have submitted their
evaluations, the top scoring applications
will be forwarded to reviewers from
participating Federal agencies to make
recommendations on awards. The
USPTO will request these
recommendations be provided within
90 days of the end of the application
period, if possible. After the
recommendations are received and final
recipients chosen, the USPTO will
notify winners and schedule a public
awards ceremony.
All awards are subject to the approval
of the Director of the USPTO. Results
may not be challenged for relief before
the USPTO.
Eligibility
The competition is open to any patent
owners, patent applicants, or patent
licensees, including inventors who have
not assigned their ownership rights to
others, assignees, and exclusive or nonexclusive licensees. Each program
application must involve technology
that is the subject of one or more claims
in an issued U.S. utility patent or a
pending U.S. utility patent application
owned or licensed by the applicant. If
using a patent application as the basis
for the program application, applicants
must show that a Notice of Allowance
for one or more claims from that patent
application has been issued before any
certificate will be awarded. Honorary
recognition may be given without this
showing at the Director’s discretion.
Inventions from any field of technology
applied to one of the competition
categories may participate.
Applicants may team together to
submit a single joint application
covering the actions of multiple parties.
At least one applicant in a joint
application must meet the eligibility
criteria above. Only one certificate will
be issued to a team of joint applicants
selected for an award, and the certificate
can be redeemed only in one matter
(e.g., a single patent application
examination, a single ex parte
reexamination proceeding, etc.). Joint
applications must designate a single
applicant as the recipient for any
acceleration certificate awarded on their
application, and that recipient must
meet the applicant eligibility criteria
described in this notice. The designated
recipient may be changed at any time
before a certificate is issued by written
consent of all parties to the application.
Licensees and patent owners may
team together to submit a joint program
application where both parties
contributed to a humanitarian endeavor.
Alternatively, patent owners or
licensees may apply on their own based
on actions they have performed without
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the other party. For applications which
do not list a patent owner as a joint
applicant, the licensee must notify the
patent owner and provide them a copy
of their completed application before
the close of the application period.
Within 14 days of being notified, patent
owners may submit a two-page written
statement regarding such an application
with any additional information they
wish the judges to consider. The lack of
such a statement will not prejudice an
application.
There is no preset limit on the
number of awards that can be given per
technology or per program applicant.
Applicants can determine how many
program applications to submit and
which actions and technologies to cover
in each application. However, the
diversity requirement discourages
granting multiple awards to the same
technology or applicant. See Selection
Factors, below, for more information.
Competition Criteria
Program applications must
demonstrate how the applicants’ actions
have increased the use of patented
technology to address humanitarian
issues. For this competition, a
humanitarian issue is one significantly
affecting the public health or quality of
life of an impoverished population.
Judges will examine whether the criteria
have been met for a humanitarian issue
based on the description in the
application.
Applicants will select which category
best fits their application, chosen from
the following: (1) Medicine, (2)
Nutrition, (3) Sanitation, (4) Household
Energy, and (5) Living Standards.
Medicine encompasses technology for
any medical treatment or service,
including medicines and vaccines,
diagnostic equipment, medical devices,
implants, assistive devices,
epidemiology, and preventive medicine.
Nutrition includes not only agricultural
technology like drought-resistant crops,
more nutritious crop strains, and
farming equipment, but also
technologies which improve food
production, processing, preservation
and storage, or preparation. Sanitation
includes not only issues with clean
water and waste treatment, but also
other environmental issues with a
demonstrable impact on human health,
such as air pollution, toxic substances,
chemical exposure, or land mines.
Household Energy involves providing
power to homes and communities for
light, heating, cooking, or other basic
needs in areas without reliable
electricity. Living Standards
encompasses a wide range of issues that
empower people to escape poverty, such
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as education, literacy, access to
information, communications, internet
access, access to markets, and
microfinance. Technologies in this
category include portable computers,
cell phones, or internet access devices
being used to foster literacy, education,
or other life-changing knowledge.
Applicants will designate the category
in which they wish their application to
be considered. The Office may reassign
an application to another category at its
discretion. Categories may be altered
when awards are made to better reflect
the applications received that year.
Within the selected category, each
application must address either one of
two sets of judging criteria: (1)
Humanitarian use or (2) humanitarian
research. The humanitarian use criteria
recognize those who apply eligible
technologies to positively impact a
humanitarian issue. Examples of
technologies with potential
humanitarian uses include treatments
for disease, medical diagnostics, water
purification, more nutritious or higheryield crops, off-grid solar lighting, and
education or literacy devices, among
others. The focus is on demonstrable
real-world improvements in the lives of
the poor. Applicants must show:
(i) Subject Matter—the applicant’s
technology, which is claimed in a U.S.
utility patent in force at the time or a
pending U.S. utility patent application,
effectively addresses a recognized
humanitarian issue.
(ii) Target Population—the applicant’s
actions target an impoverished
population affected by the humanitarian
issue.
(iii) Contribution—the applicant took
meaningful actions to make the
technology more available for
humanitarian uses. This only includes
actions taken by the applicant.
(iv) Impact—the applicant’s
contributions have significantly
advanced deployment of the technology
to benefit the target population. This
includes downstream actions by third
parties building on the applicant’s
contributions.
Alternatively, the humanitarian
research criteria recognize increasing
the availability of patented technologies
to other researchers for conducting
research with a humanitarian purpose.
Examples of technologies with potential
to advance humanitarian research
include patented molecules, drug
discovery tools, gene sequencing or
splicing devices, special-purpose seed
strains, data analysis software, or other
patented research material. The focus is
on contributing needed tools to areas of
humanitarian research lacking
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commercial application. Applicants
under this criteria must demonstrate:
(i) Subject Matter—the applicant’s
technology, which is claimed in a U.S.
utility patent in force at the time or a
pending U.S. utility patent application,
effectively supports research by others,
e.g., as a tool or input.
(ii) Neglected Field—the research by
others clearly targets a humanitarian
issue in an area lacking significant
commercial application.
(iii) Contribution—the applicant took
meaningful actions to make the
technology more available for research
by others in the neglected field. This
only includes actions taken by the
applicant.
(iv) Impact—the research by others
has a high potential for significant
impact on the neglected field. This
includes downstream actions by third
parties using the applicant’s
contributions.
Selection Factors
In addition to the competition criteria,
a number of selection factors will be
considered in choosing recipients.
Unlike judging criteria, selection factors
are not items that applicants address in
their applications. Rather, they are
guiding principles for administering the
competition.
Three neutrality principles apply.
First, the program will be technology
neutral, meaning applications may be
drawn to any field of technology with
patentable subject matter applied to one
of the five competition categories.
Second, it will be geographically
neutral, meaning the impoverished
population benefiting from the
humanitarian activities can be situated
anywhere in the world. Third,
evaluations will be financially neutral,
meaning the underlying financial model
for the applicant’s actions (for-profit or
otherwise) is not considered. The focus
is only on the ultimate humanitarian
outcome.
Diversity of awarded technologies
will also factor into selections. Part of
the program’s mission is to showcase
the numerous ways in which the patent
community contributes to humanitarian
efforts. Just as no single technology
addresses every humanitarian issue, no
single contribution model will work in
every situation. Selected awardees
should therefore encompass a range of
technologies, types and sizes of entities,
and models of contributions.
The decision to award a certificate
rests solely within the Director’s
discretion and cannot be challenged
before the USPTO or any Federal
agency.
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Selection of Judges
Judges will be selected by the USPTO
each award cycle. Candidates with the
following qualifications will be
preferred:
(1) Recognized subject matter
expertise in medicine, science,
engineering, economics, business, law,
public policy, or a related field.
(2) Demonstrated understanding of
technology commercialization.
(3) Experience with peer review
processes such as grant applications or
academic journal submissions.
(4) Knowledge of humanitarian issues,
especially the practical challenges
presented with delivering goods and
services to areas with inadequate
transportation, electricity, security,
government, or other infrastructure.
Additionally, judges will be chosen to
minimize conflicts of interest, e.g., by
avoiding candidates employed by, or
with clients in, industries relevant to
this program. Candidates from academia
are desired. A conflict of interest occurs
when a judge (a) has significant
personal or financial interests in, or is
an employee, officer, director, or agent
of, any entity participating in the
competition, or (b) has a significant
familial or financial relationship with
an individual who is participating.
When a conflict of interest does arise,
the judge must recuse himself or herself
from evaluating the affected
applications.
Awards
Winners of the 2014 competition will
receive recognition for their
humanitarian efforts at a public awards
ceremony with the Director of the
USPTO or other executive branch
official. They will also receive an
acceleration certificate which can be
redeemed to accelerate select matters
before the USPTO. For the 2014
competition, eligible matters shall be
one of the following: (i) An ex parte
reexamination proceeding, including
one appeal to the PTAB from that
proceeding; (ii) a patent application,
including one appeal to the PTAB from
that application; or (iii) an appeal to the
PTAB of a claim twice rejected in a
patent application or reissue application
or finally rejected in an ex parte
reexamination. When redeemed for a
patent application or an ex parte
reexamination, only the first appeal to
the PTAB arising from that matter will
be accelerated. Alternatively, the
certificate may be used to accelerate an
appeal to the PTAB of a final rejection
in a patent application or reissue
application without accelerating the
underlying matter which generated the
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appeal. Inter partes reexaminations and
interference proceedings are not eligible
for acceleration, nor are post grant
reviews, inter partes reviews, covered
business method reviews, derivation
proceedings, or supplemental
examinations.
Certificates awarded in the program
are not transferable to other parties.
Honorable mentions will receive a
certificate for accelerated examination
of one patent application and a featured
writeup on the USPTO Web site.
Honorable mention accelerations will
only result in the acceleration of a
patent application examination, and not
any subsequent appeal from that
application. A portion of honorable
mentions may be awarded for the best
up and coming technologies.
Each certificate may be redeemed
only once and only towards one matter.
Certificates must be redeemed within 12
months of their date of issuance.
Certificates not redeemed within 12
months of issuance will expire and may
not be redeemed. Holders of expiring or
expired certificates may petition that the
USPTO extend the redemption period of
their certificate for an additional 12
months beyond the original expiration
date. This petition incurs no fee.
Petitioners should explain why the
additional time is needed, such as not
having a suitable matter or expecting a
pending matter which is not yet ripe for
certificate redemption. The decision
whether to extend the redemption
period of a certificate rests solely within
the Director’s discretion and cannot be
challenged before the USPTO or any
Federal agency. Once a certificate has
been redeemed, it is no longer eligible
for extension.
The certificate may be applied to an
eligible matter for any patent or patent
application in which the certificate
holder has an ownership interest, not
just those related to the recipient’s
Patents for Humanity submission.
Certificate holders may not redeem a
certificate to accelerate the matter of
another patent owner or patent
applicant. Types of awards for
subsequent years will be announced
with the application period in the
Federal Register.
Certificate Redemption Process
When redeeming a humanitarian
certificate, the certificate holder must
notify the USPTO with the certificate
number, the relevant application serial
number or ex parte reexamination
control number, and any other pertinent
information, such as the appeal number,
if assigned. The USPTO will determine
whether the certificate may be redeemed
by checking that the certificate is valid,
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that the redeeming party is the
certificate holder or its agent, that the
matter is eligible for certificate
acceleration, and that the Office has
sufficient resources to accelerate the
matter without unduly impacting
others. The USPTO will promptly notify
the certificate holder whether the
redemption is accepted. If the
redemption fails for lack of ownership
interest or insufficient Office resources,
the certificate holder retains the
certificate and may redeem it in another
matter subject to the same constraints.
Under this program, there will be a
limit of 15 certificate redemptions per
fiscal year to accelerate ex parte
reexaminations. This limit is due to the
smaller overall number of
reexamination proceedings handled by
the Office compared to the larger overall
number of patent applications and
appeals concurrently handled by the
Office. Only the first 15 accepted
redemption requests for an ex parte
reexamination in a given fiscal year will
receive accelerated processing. Any
number of certificates up to the number
issued may be redeemed to accelerate
patent applications or appeals to the
PTAB without accelerating the
underlying matter which generated the
appeal (including appeals from ex parte
reexaminations).
Certificates redeemed for accelerated
appeals to the PTAB will receive the
following treatment. Accelerated
appeals will be taken out of turn for
assignment to a panel. Other processing
in the matter will proceed normally.
The USPTO’s goal in accelerated cases
already docketed to the PTAB, i.e.,
having an appeal number, is to proceed
from certificate redemption to decision
in under six months if no oral
arguments are heard in the case, or
within three months of the date of an
oral argument. For certificates redeemed
in appeals not already docketed at the
PTAB, the goal is to reach decision in
under six months from the date of the
appeal number assignment if no oral
arguments are heard in the case, or
within three months of the date of an
oral argument. For the first quarter of FY
2014, the average pendency from appeal
number assignment to decision was 27
months. However, these numbers are
expected to rise in coming quarters as
there has been a sharp increase in
appeal requests in recent months.
Pendency also varies significantly by
technology area.
Certificates redeemed in ex parte
reexamination proceedings will receive
the following treatment. If redeemed
with a request for reexamination, the
request will be decided with a goal of
two months rather than the three
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months provided by statute. Certificate
redemption at the filing of a
reexamination request will be treated as
a waiver by the patent owner of the right
to make a Patent Owner Statement
under 37 CFR 1.530 after grant of
proceeding. If the statement is waived
and the request granted, a first Office
action on the merits will accompany the
order granting reexamination. If the
reexamination request is denied, the
certificate is not considered redeemed
and may be applied to another matter.
Patent owners may preserve the right to
file a Patent Owner Statement by
redeeming the certificate during the
statutory window for filing the Patent
Owner’s Statement after the
reexamination proceeding has been
granted. Subsequent Office actions in
accelerated reexaminations will be
taken out of turn as the next item to be
worked on from the reexamination
specialist’s docket. Petitions filed in the
matter will be decided in time
consistent with the accelerated
proceeding. An appeal to the PTAB of
a final rejection in an accelerated
reexamination will be taken out of turn
for assignment to a PTAB panel. Any
resulting Notice of Intent to Issue Ex
Parte Reexamination Certificate (NIRC)
will receive expedited processing to the
extent possible. Accelerated ex parte
reexaminations will normally not be
merged with other co-pending
proceedings, including ex parte
reexaminations, inter partes
reexaminations, and reissue
proceedings. Where required by statute,
an accelerated matter may be terminated
by a decision issued in another USPTO
proceeding, such as post grant review.
The USPTO’s goal for processing
accelerated reexaminations will be
under six months from certificate
redemption to final disposition,
excluding time taken by the applicant
for responses and any time on appeal.
For the fourth quarter of FY 2013, the
average pendency from filing a request
for ex parte reexamination to an NIRC
was 21.7 months, including applicant
time.
Humanitarian certificates redeemed to
accelerate examination of a patent
application will receive the following
treatment. Patent applicants must
present their certificate to receive
accelerated examination. If any appeal
to the PTAB arises from the examination
accelerated with this certificate, the first
appeal will also be accelerated
according to the procedures for
accelerated appeals to the PTAB
described herein. Accelerations for
honorable mentions will follow the
same rules and procedures, except that
no appeals will be accelerated. The
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USPTO’s goal in examinations
accelerated by certificate will be a final
disposition within 12 months of
accelerated status being granted, not
including the time for any appeals to the
PTAB. As of January 2014, the average
pendency for Track One prioritized
examinations was 5.1 months from
petition grant to allowance, while the
average pendency for all applications
was 28.3 months.
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Acceleration Requirements
In order to receive acceleration, the
patent owner or patent applicant must
agree to the following conditions.
Accelerated patent applications may not
contain at any time more than four
independent claims, more than thirty
total claims, or any multiple dependent
claims. A humanitarian certificate can
be redeemed in a patent application
appeal or reissue application appeal to
the PTAB at any time after a docketing
notice has issued and before the matter
is assigned to a PTAB panel. A
certificate can only be redeemed for
reexamination acceleration at the
following points: (i) With the request for
reexamination; (ii) during the period for
patent owner comment after grant of
proceeding; or (iii) when a final
rejection is appealed to the PTAB.
Certificates will not be accepted for
reexamination proceedings at other
times. During an accelerated
reexamination, no more than three new
independent claims and 20 total new
claims may be added. New claims are
those beyond the number contained in
the patent at the time of the
reexamination request. Claims may be
added without triggering this limit by
canceling an equal number of existing
claims. All submissions in accelerated
examinations must be filed
electronically via EFS-Web. All
petitions filed in the matter must be
filed in good faith. Petitions for Revival
and Requests for Continued
Reexamination may not be filed. Failure
by the applicant to abide by these
conditions may result in the
acceleration being revoked without
return of the certificate and the matter
reverting to normal processing.
Acceleration Recommendations
To receive the greatest benefit from
acceleration in an ex parte
reexamination proceeding, the applicant
is requested to do the following. The
Patent Owner’s Statement will be
considered to be waived when a
certificate is filed with a request for
reexamination. If the patent owner
desires to reserve the right to make a
statement, however, the certificate
should be filed instead during the
VerDate Mar<15>2010
15:17 Apr 02, 2014
Jkt 232001
statutory window for filing the Patent
Owner’s Statement after the
reexamination proceeding has been
granted. Acceleration will proceed from
that point forward.
Even where submissions in the
accelerated matter are not required to be
filed electronically, those submissions
should be filed electronically.
Conducting more than one examiner
interview during prosecution should be
avoided. Responses to all Office actions
should be submitted within one month
of receiving the Office action. Petitions
should be avoided as much as possible.
Failure to meet these conditions may
result in longer processing times by the
USPTO than the goals given above, but
the matter will continue to receive
accelerated processing as described
herein to the extent possible.
In all instances, certificate redemption
is subject to available USPTO resources
at the Director’s discretion. If
accelerating the matter would negatively
impact other applicants, the USPTO
may decline to redeem the certificate.
Dated: March 31, 2014.
Michelle K. Lee,
Deputy Under Secretary of Commerce for
Intellectual Property and, Deputy Director of
the United States Patent and Trademark
Office.
[FR Doc. 2014–07489 Filed 4–2–14; 8:45 am]
BILLING CODE 3510–16–P
DEPARTMENT OF DEFENSE
Office of the Secretary
[Docket ID DoD–2013–OS–0231]
Submission for OMB Review;
Comment Request
ACTION:
Notice.
The Department of Defense
has submitted to OMB for clearance, the
following proposal for collection of
information under the provisions of the
Paperwork Reduction Act (44 U.S.C.
Chapter 35).
DATES: Consideration will be given to all
comments received by May 5, 2014.
FOR FURTHER INFORMATION CONTACT: Fred
Licari, 571–372–0493.
SUPPLEMENTARY INFORMATION:
Title, Associated Form and OMB
Number: 2014 Pentagon/Mark Center
Transportation Commuter Survey; OMB
Control Number 0704–TBD.
Type of Request: New.
Number of Respondents: 2800.
Responses per Respondent: 1.
Annual Responses: 2800.
Average Burden per Response: 15
minutes.
SUMMARY:
PO 00000
Frm 00012
Fmt 4703
Sfmt 4703
Annual Burden Hours: 700.
Needs And Uses: Per requirements in
the Administrative Instruction (AI) 109,
and the National Capital Planning
Commission (NCPC) approved Base
Relocation and Closure (BRAC) #133
Transportation Management Plan
(TMP), the WHS Transportation
Management Program Office (TMPO)
will conduct surveys of both Federal
and non-Federal employees in order to
monitor the effectiveness of the various
Pentagon and Mark Center
Transportation Programs and Strategies.
The purpose of the surveys is to gather
travel mode choice information from
DoD employees and contractors located
at the Pentagon and Mark Center.
Information gathered from this effort
will be used to refine the DoD shuttle
service and travel demand management
strategies currently being implemented
at each facility to reduce traffic
congestion. The results of the
transportation/commuter surveys will
be utilized to accomplish the
aforementioned tasks and to support
future transportation related
improvement efforts to enhance
transportation to and from the Pentagon,
Mark Center and DoD facilities in the
National Capital Region.
Affected Public: Individuals and
Households.
Frequency: Annual.
Respondent’s Obligation: Voluntary.
OMB Desk Officer: Ms. Jasmeet
Seehra.
Written comments and
recommendations on the proposed
information collection should be sent to
Ms. Jasmeet Seehra at the Office of
Management and Budget, Desk Officer
for DoD, Room 10236, New Executive
Office Building, Washington, DC 20503.
You may also submit comments,
identified by docket number and title,
by the following method:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
Instructions: All submissions received
must include the agency name, docket
number and title for this Federal
Register document. The general policy
for comments and other submissions
from members of the public is to make
these submissions available for public
viewing on the Internet at https://
www.regulations.gov as they are
received without change, including any
personal identifiers or contact
information.
DOD Clearance Officer: Ms. Patricia
Toppings.
Written requests for copies of the
information collection proposal should
be sent to Ms. Toppings at WHS/ESD
Information Management Division, 4800
E:\FR\FM\03APN1.SGM
03APN1
Agencies
[Federal Register Volume 79, Number 64 (Thursday, April 3, 2014)]
[Notices]
[Pages 18670-18674]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-07489]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
United States Patent and Trademark Office
[Docket No. PTO-P-2014-0018]
Patents for Humanity Program
AGENCY: United States Patent and Trademark Office, Commerce.
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The United States Patent and Trademark Office (USPTO or
Office) recently concluded a twelve-month pilot program called Patents
for Humanity to incentivize the use of patented technologies for
humanitarian purposes, culminating with an awards ceremony in April
2013. Following the success of this pilot, the USPTO is continuing
Patents for Humanity as an annual awards competition. The USPTO will
announce an application period each year of the competition. For 2014,
applications will be accepted from April 15 to September 15, 2014.
Participants will submit program applications describing what actions
they have taken with their patented technology to either address
humanitarian needs among an impoverished population or further research
by others on humanitarian technologies. Applications will be accepted
in five categories: (1) Medicine, (2) Nutrition, (3) Sanitation, (4)
Household Energy, and (5) Living Standards. Independent judges will
review the program applications, and Federal employees from other
agencies will recommend awards based on these reviews.
For the 2014 competition, two types of awards will be made: Patents
for Humanity Awards and honorable mentions. The Patents for Humanity
Award is the top award for applicants best representing the Patents for
Humanity principles. Patents for Humanity Award recipients in 2014 will
receive a certificate to accelerate select matters before the USPTO and
public recognition for their efforts, including an award ceremony
sponsored by the USPTO. Honorable mentions in 2014 will receive
accelerated examination of one patent application and a featured
writeup on the USPTO Web site. A portion of honorable mentions may be
awarded for the best up and coming technologies. The USPTO expects to
award roughly ten Patents for Humanity Awards and up to twenty
honorable mentions in 2014. The exact number of awards may vary
depending on the number and quality of program applications received.
Types of awards for subsequent years will be announced with the
application period in the Federal Register.
Patents for Humanity certificates awarded through the 2014
competition can be redeemed to accelerate one of the following matters:
An ex parte reexamination proceeding, including one appeal to the
Patent Trial and Appeal Board (PTAB) from that proceeding; a patent
application, including one appeal to the PTAB from that application; or
an appeal to the PTAB of a claim twice rejected in a patent application
or reissue application or finally rejected in an ex parte
reexamination, without accelerating the underlying matter which
generated the appeal. Inter partes reexaminations and interference
proceedings are not eligible for acceleration, nor are post-grant
reviews, inter partes reviews, covered business method reviews,
derivation proceedings, or supplemental examinations. Certificates
awarded are not transferable to other parties.
DATES: Program applications for 2014 will be accepted from April 15 to
September 15, or until 300 applications are received, whichever comes
first.
FOR FURTHER INFORMATION CONTACT: For questions about the program,
contact Edward Elliott, Office of Policy and International Affairs, by
telephone at 571-272-7024; or by facsimile transmission to 571-273-
0123; or by mail addressed to: Patents for Humanity Program, Attention:
Edward Elliott, Office of Policy and International Affairs, United
States Patent and Trademark Office, P.O. Box 1450, Alexandria, VA
22313-1450.
SUPPLEMENTARY INFORMATION: In September 2010, the USPTO requested
comments from the public on proposals to incentivize the development
and distribution of technologies that address humanitarian needs. See
Request for Comments on Incentivizing Humanitarian Technologies and
Licensing Through the Intellectual Property System, 75 FR 57261
(September 20, 2010), 1359 Off. Gaz. Pat. Office 121 (October 12,
2010). A pilot program was announced in February 2012. See 77 FR 6544
(February 8, 2012).
Application Process
The remainder of this notice describes the terms and conditions of
the annual program and details for 2014. To enter the competition,
applicants must submit program applications describing how their
actions satisfy the competition criteria given below. Program
applications are not patent applications but separate documents created
for this program. The term ``application'' throughout this notice shall
mean program application, rather than patent application, unless
otherwise noted. Likewise, ``applicant'' shall mean program applicant,
rather than patent applicant, unless otherwise noted.
Each year, the USPTO will announce an application period for
submitting Patents for Humanity applications. Applications for 2014
will be accepted from April 15 to September 15, 2014, or until 300
applications are received, whichever occurs first. That is, if that
limit is reached before the application deadline, then the application
period will close. Applications must be submitted electronically to an
on-line application portal by following the instructions posted at
https://www.uspto.gov/patentsforhumanity. Submissions will be publicly
available on the application portal after being screened for
inappropriate material. Submissions containing incomplete or
inappropriate material will not be considered.
For consistent and timely evaluation, applications will consist of
a core section and supplements. Application forms will be available
from the USPTO Web site at https://www.uspto.gov/patentsforhumanity. The
core section will address how the applicant meets the defined
competition criteria within a strict five-page limit. Applications
exceeding this limit may be removed from consideration. Applicants may
supplement the core section with any supporting material they wish to
[[Page 18671]]
provide, such as project brochures, adoption data, case studies,
published articles, or third party testimonials. Judges will review the
core section of every application they evaluate. Judges may review any,
all, or none of each application's supplementary material at their
discretion.
After the application period ends, judges will review and score the
applications. Based on these reviews, USPTO will forward the top-
scoring applications to reviewers from participating Federal agencies
to recommend award recipients. Final decisions on awards are made at
the discretion of the Director of the USPTO. The program's goal is to
complete the recommendation process within 90 days of the close of the
application period.
The USPTO will endeavor to balance the number of awards in each
category to reflect the quality of applications received. The USPTO may
reassign applications to other categories or modify categories as
needed. The actual number of awards given may vary depending on the
number and quality of submissions.
Once awards have been determined, the USPTO will notify the
awardees and schedule a public awards ceremony. The USPTO will attempt
to notify awardees four weeks before the ceremony date if circumstances
permit.
This program involves information collection requirements which are
subject to review by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). The
collection of information involved in this program has been reviewed
and approved by OMB under 5 CFR 1320.13.
Judging Process
Applications will be reviewed by independent judges chosen from
outside the USPTO. The qualifications for judges are described below.
Each judge will review a set of applications based on the judging
criteria and selection factors below, and then submit their scores and
evaluations to the USPTO.
Each application will be reviewed by multiple judges. To encourage
fair, open, and impartial evaluations, judges will perform their
reviews independently, and the reviews will not be released to the
public as permissible by law. After awards have been made, applicants
may request from the USPTO a copy of the reviews for their application
with the judges' names redacted. Reviews will be sent to either the
address on file with the application or another address verified as
belonging to the applicant.
After judges have submitted their evaluations, the top scoring
applications will be forwarded to reviewers from participating Federal
agencies to make recommendations on awards. The USPTO will request
these recommendations be provided within 90 days of the end of the
application period, if possible. After the recommendations are received
and final recipients chosen, the USPTO will notify winners and schedule
a public awards ceremony.
All awards are subject to the approval of the Director of the
USPTO. Results may not be challenged for relief before the USPTO.
Eligibility
The competition is open to any patent owners, patent applicants, or
patent licensees, including inventors who have not assigned their
ownership rights to others, assignees, and exclusive or non-exclusive
licensees. Each program application must involve technology that is the
subject of one or more claims in an issued U.S. utility patent or a
pending U.S. utility patent application owned or licensed by the
applicant. If using a patent application as the basis for the program
application, applicants must show that a Notice of Allowance for one or
more claims from that patent application has been issued before any
certificate will be awarded. Honorary recognition may be given without
this showing at the Director's discretion. Inventions from any field of
technology applied to one of the competition categories may
participate.
Applicants may team together to submit a single joint application
covering the actions of multiple parties. At least one applicant in a
joint application must meet the eligibility criteria above. Only one
certificate will be issued to a team of joint applicants selected for
an award, and the certificate can be redeemed only in one matter (e.g.,
a single patent application examination, a single ex parte
reexamination proceeding, etc.). Joint applications must designate a
single applicant as the recipient for any acceleration certificate
awarded on their application, and that recipient must meet the
applicant eligibility criteria described in this notice. The designated
recipient may be changed at any time before a certificate is issued by
written consent of all parties to the application.
Licensees and patent owners may team together to submit a joint
program application where both parties contributed to a humanitarian
endeavor. Alternatively, patent owners or licensees may apply on their
own based on actions they have performed without the other party. For
applications which do not list a patent owner as a joint applicant, the
licensee must notify the patent owner and provide them a copy of their
completed application before the close of the application period.
Within 14 days of being notified, patent owners may submit a two-page
written statement regarding such an application with any additional
information they wish the judges to consider. The lack of such a
statement will not prejudice an application.
There is no preset limit on the number of awards that can be given
per technology or per program applicant. Applicants can determine how
many program applications to submit and which actions and technologies
to cover in each application. However, the diversity requirement
discourages granting multiple awards to the same technology or
applicant. See Selection Factors, below, for more information.
Competition Criteria
Program applications must demonstrate how the applicants' actions
have increased the use of patented technology to address humanitarian
issues. For this competition, a humanitarian issue is one significantly
affecting the public health or quality of life of an impoverished
population. Judges will examine whether the criteria have been met for
a humanitarian issue based on the description in the application.
Applicants will select which category best fits their application,
chosen from the following: (1) Medicine, (2) Nutrition, (3) Sanitation,
(4) Household Energy, and (5) Living Standards. Medicine encompasses
technology for any medical treatment or service, including medicines
and vaccines, diagnostic equipment, medical devices, implants,
assistive devices, epidemiology, and preventive medicine. Nutrition
includes not only agricultural technology like drought-resistant crops,
more nutritious crop strains, and farming equipment, but also
technologies which improve food production, processing, preservation
and storage, or preparation. Sanitation includes not only issues with
clean water and waste treatment, but also other environmental issues
with a demonstrable impact on human health, such as air pollution,
toxic substances, chemical exposure, or land mines. Household Energy
involves providing power to homes and communities for light, heating,
cooking, or other basic needs in areas without reliable electricity.
Living Standards encompasses a wide range of issues that empower people
to escape poverty, such
[[Page 18672]]
as education, literacy, access to information, communications, internet
access, access to markets, and microfinance. Technologies in this
category include portable computers, cell phones, or internet access
devices being used to foster literacy, education, or other life-
changing knowledge.
Applicants will designate the category in which they wish their
application to be considered. The Office may reassign an application to
another category at its discretion. Categories may be altered when
awards are made to better reflect the applications received that year.
Within the selected category, each application must address either
one of two sets of judging criteria: (1) Humanitarian use or (2)
humanitarian research. The humanitarian use criteria recognize those
who apply eligible technologies to positively impact a humanitarian
issue. Examples of technologies with potential humanitarian uses
include treatments for disease, medical diagnostics, water
purification, more nutritious or higher-yield crops, off-grid solar
lighting, and education or literacy devices, among others. The focus is
on demonstrable real-world improvements in the lives of the poor.
Applicants must show:
(i) Subject Matter--the applicant's technology, which is claimed in
a U.S. utility patent in force at the time or a pending U.S. utility
patent application, effectively addresses a recognized humanitarian
issue.
(ii) Target Population--the applicant's actions target an
impoverished population affected by the humanitarian issue.
(iii) Contribution--the applicant took meaningful actions to make
the technology more available for humanitarian uses. This only includes
actions taken by the applicant.
(iv) Impact--the applicant's contributions have significantly
advanced deployment of the technology to benefit the target population.
This includes downstream actions by third parties building on the
applicant's contributions.
Alternatively, the humanitarian research criteria recognize
increasing the availability of patented technologies to other
researchers for conducting research with a humanitarian purpose.
Examples of technologies with potential to advance humanitarian
research include patented molecules, drug discovery tools, gene
sequencing or splicing devices, special-purpose seed strains, data
analysis software, or other patented research material. The focus is on
contributing needed tools to areas of humanitarian research lacking
commercial application. Applicants under this criteria must
demonstrate:
(i) Subject Matter--the applicant's technology, which is claimed in
a U.S. utility patent in force at the time or a pending U.S. utility
patent application, effectively supports research by others, e.g., as a
tool or input.
(ii) Neglected Field--the research by others clearly targets a
humanitarian issue in an area lacking significant commercial
application.
(iii) Contribution--the applicant took meaningful actions to make
the technology more available for research by others in the neglected
field. This only includes actions taken by the applicant.
(iv) Impact--the research by others has a high potential for
significant impact on the neglected field. This includes downstream
actions by third parties using the applicant's contributions.
Selection Factors
In addition to the competition criteria, a number of selection
factors will be considered in choosing recipients. Unlike judging
criteria, selection factors are not items that applicants address in
their applications. Rather, they are guiding principles for
administering the competition.
Three neutrality principles apply. First, the program will be
technology neutral, meaning applications may be drawn to any field of
technology with patentable subject matter applied to one of the five
competition categories. Second, it will be geographically neutral,
meaning the impoverished population benefiting from the humanitarian
activities can be situated anywhere in the world. Third, evaluations
will be financially neutral, meaning the underlying financial model for
the applicant's actions (for-profit or otherwise) is not considered.
The focus is only on the ultimate humanitarian outcome.
Diversity of awarded technologies will also factor into selections.
Part of the program's mission is to showcase the numerous ways in which
the patent community contributes to humanitarian efforts. Just as no
single technology addresses every humanitarian issue, no single
contribution model will work in every situation. Selected awardees
should therefore encompass a range of technologies, types and sizes of
entities, and models of contributions.
The decision to award a certificate rests solely within the
Director's discretion and cannot be challenged before the USPTO or any
Federal agency.
Selection of Judges
Judges will be selected by the USPTO each award cycle. Candidates
with the following qualifications will be preferred:
(1) Recognized subject matter expertise in medicine, science,
engineering, economics, business, law, public policy, or a related
field.
(2) Demonstrated understanding of technology commercialization.
(3) Experience with peer review processes such as grant
applications or academic journal submissions.
(4) Knowledge of humanitarian issues, especially the practical
challenges presented with delivering goods and services to areas with
inadequate transportation, electricity, security, government, or other
infrastructure.
Additionally, judges will be chosen to minimize conflicts of
interest, e.g., by avoiding candidates employed by, or with clients in,
industries relevant to this program. Candidates from academia are
desired. A conflict of interest occurs when a judge (a) has significant
personal or financial interests in, or is an employee, officer,
director, or agent of, any entity participating in the competition, or
(b) has a significant familial or financial relationship with an
individual who is participating. When a conflict of interest does
arise, the judge must recuse himself or herself from evaluating the
affected applications.
Awards
Winners of the 2014 competition will receive recognition for their
humanitarian efforts at a public awards ceremony with the Director of
the USPTO or other executive branch official. They will also receive an
acceleration certificate which can be redeemed to accelerate select
matters before the USPTO. For the 2014 competition, eligible matters
shall be one of the following: (i) An ex parte reexamination
proceeding, including one appeal to the PTAB from that proceeding; (ii)
a patent application, including one appeal to the PTAB from that
application; or (iii) an appeal to the PTAB of a claim twice rejected
in a patent application or reissue application or finally rejected in
an ex parte reexamination. When redeemed for a patent application or an
ex parte reexamination, only the first appeal to the PTAB arising from
that matter will be accelerated. Alternatively, the certificate may be
used to accelerate an appeal to the PTAB of a final rejection in a
patent application or reissue application without accelerating the
underlying matter which generated the
[[Page 18673]]
appeal. Inter partes reexaminations and interference proceedings are
not eligible for acceleration, nor are post grant reviews, inter partes
reviews, covered business method reviews, derivation proceedings, or
supplemental examinations.
Certificates awarded in the program are not transferable to other
parties.
Honorable mentions will receive a certificate for accelerated
examination of one patent application and a featured writeup on the
USPTO Web site. Honorable mention accelerations will only result in the
acceleration of a patent application examination, and not any
subsequent appeal from that application. A portion of honorable
mentions may be awarded for the best up and coming technologies.
Each certificate may be redeemed only once and only towards one
matter. Certificates must be redeemed within 12 months of their date of
issuance. Certificates not redeemed within 12 months of issuance will
expire and may not be redeemed. Holders of expiring or expired
certificates may petition that the USPTO extend the redemption period
of their certificate for an additional 12 months beyond the original
expiration date. This petition incurs no fee. Petitioners should
explain why the additional time is needed, such as not having a
suitable matter or expecting a pending matter which is not yet ripe for
certificate redemption. The decision whether to extend the redemption
period of a certificate rests solely within the Director's discretion
and cannot be challenged before the USPTO or any Federal agency. Once a
certificate has been redeemed, it is no longer eligible for extension.
The certificate may be applied to an eligible matter for any patent
or patent application in which the certificate holder has an ownership
interest, not just those related to the recipient's Patents for
Humanity submission. Certificate holders may not redeem a certificate
to accelerate the matter of another patent owner or patent applicant.
Types of awards for subsequent years will be announced with the
application period in the Federal Register.
Certificate Redemption Process
When redeeming a humanitarian certificate, the certificate holder
must notify the USPTO with the certificate number, the relevant
application serial number or ex parte reexamination control number, and
any other pertinent information, such as the appeal number, if
assigned. The USPTO will determine whether the certificate may be
redeemed by checking that the certificate is valid, that the redeeming
party is the certificate holder or its agent, that the matter is
eligible for certificate acceleration, and that the Office has
sufficient resources to accelerate the matter without unduly impacting
others. The USPTO will promptly notify the certificate holder whether
the redemption is accepted. If the redemption fails for lack of
ownership interest or insufficient Office resources, the certificate
holder retains the certificate and may redeem it in another matter
subject to the same constraints.
Under this program, there will be a limit of 15 certificate
redemptions per fiscal year to accelerate ex parte reexaminations. This
limit is due to the smaller overall number of reexamination proceedings
handled by the Office compared to the larger overall number of patent
applications and appeals concurrently handled by the Office. Only the
first 15 accepted redemption requests for an ex parte reexamination in
a given fiscal year will receive accelerated processing. Any number of
certificates up to the number issued may be redeemed to accelerate
patent applications or appeals to the PTAB without accelerating the
underlying matter which generated the appeal (including appeals from ex
parte reexaminations).
Certificates redeemed for accelerated appeals to the PTAB will
receive the following treatment. Accelerated appeals will be taken out
of turn for assignment to a panel. Other processing in the matter will
proceed normally. The USPTO's goal in accelerated cases already
docketed to the PTAB, i.e., having an appeal number, is to proceed from
certificate redemption to decision in under six months if no oral
arguments are heard in the case, or within three months of the date of
an oral argument. For certificates redeemed in appeals not already
docketed at the PTAB, the goal is to reach decision in under six months
from the date of the appeal number assignment if no oral arguments are
heard in the case, or within three months of the date of an oral
argument. For the first quarter of FY 2014, the average pendency from
appeal number assignment to decision was 27 months. However, these
numbers are expected to rise in coming quarters as there has been a
sharp increase in appeal requests in recent months. Pendency also
varies significantly by technology area.
Certificates redeemed in ex parte reexamination proceedings will
receive the following treatment. If redeemed with a request for
reexamination, the request will be decided with a goal of two months
rather than the three months provided by statute. Certificate
redemption at the filing of a reexamination request will be treated as
a waiver by the patent owner of the right to make a Patent Owner
Statement under 37 CFR 1.530 after grant of proceeding. If the
statement is waived and the request granted, a first Office action on
the merits will accompany the order granting reexamination. If the
reexamination request is denied, the certificate is not considered
redeemed and may be applied to another matter. Patent owners may
preserve the right to file a Patent Owner Statement by redeeming the
certificate during the statutory window for filing the Patent Owner's
Statement after the reexamination proceeding has been granted.
Subsequent Office actions in accelerated reexaminations will be taken
out of turn as the next item to be worked on from the reexamination
specialist's docket. Petitions filed in the matter will be decided in
time consistent with the accelerated proceeding. An appeal to the PTAB
of a final rejection in an accelerated reexamination will be taken out
of turn for assignment to a PTAB panel. Any resulting Notice of Intent
to Issue Ex Parte Reexamination Certificate (NIRC) will receive
expedited processing to the extent possible. Accelerated ex parte
reexaminations will normally not be merged with other co-pending
proceedings, including ex parte reexaminations, inter partes
reexaminations, and reissue proceedings. Where required by statute, an
accelerated matter may be terminated by a decision issued in another
USPTO proceeding, such as post grant review.
The USPTO's goal for processing accelerated reexaminations will be
under six months from certificate redemption to final disposition,
excluding time taken by the applicant for responses and any time on
appeal. For the fourth quarter of FY 2013, the average pendency from
filing a request for ex parte reexamination to an NIRC was 21.7 months,
including applicant time.
Humanitarian certificates redeemed to accelerate examination of a
patent application will receive the following treatment. Patent
applicants must present their certificate to receive accelerated
examination. If any appeal to the PTAB arises from the examination
accelerated with this certificate, the first appeal will also be
accelerated according to the procedures for accelerated appeals to the
PTAB described herein. Accelerations for honorable mentions will follow
the same rules and procedures, except that no appeals will be
accelerated. The
[[Page 18674]]
USPTO's goal in examinations accelerated by certificate will be a final
disposition within 12 months of accelerated status being granted, not
including the time for any appeals to the PTAB. As of January 2014, the
average pendency for Track One prioritized examinations was 5.1 months
from petition grant to allowance, while the average pendency for all
applications was 28.3 months.
Acceleration Requirements
In order to receive acceleration, the patent owner or patent
applicant must agree to the following conditions. Accelerated patent
applications may not contain at any time more than four independent
claims, more than thirty total claims, or any multiple dependent
claims. A humanitarian certificate can be redeemed in a patent
application appeal or reissue application appeal to the PTAB at any
time after a docketing notice has issued and before the matter is
assigned to a PTAB panel. A certificate can only be redeemed for
reexamination acceleration at the following points: (i) With the
request for reexamination; (ii) during the period for patent owner
comment after grant of proceeding; or (iii) when a final rejection is
appealed to the PTAB. Certificates will not be accepted for
reexamination proceedings at other times. During an accelerated
reexamination, no more than three new independent claims and 20 total
new claims may be added. New claims are those beyond the number
contained in the patent at the time of the reexamination request.
Claims may be added without triggering this limit by canceling an equal
number of existing claims. All submissions in accelerated examinations
must be filed electronically via EFS-Web. All petitions filed in the
matter must be filed in good faith. Petitions for Revival and Requests
for Continued Reexamination may not be filed. Failure by the applicant
to abide by these conditions may result in the acceleration being
revoked without return of the certificate and the matter reverting to
normal processing.
Acceleration Recommendations
To receive the greatest benefit from acceleration in an ex parte
reexamination proceeding, the applicant is requested to do the
following. The Patent Owner's Statement will be considered to be waived
when a certificate is filed with a request for reexamination. If the
patent owner desires to reserve the right to make a statement, however,
the certificate should be filed instead during the statutory window for
filing the Patent Owner's Statement after the reexamination proceeding
has been granted. Acceleration will proceed from that point forward.
Even where submissions in the accelerated matter are not required
to be filed electronically, those submissions should be filed
electronically. Conducting more than one examiner interview during
prosecution should be avoided. Responses to all Office actions should
be submitted within one month of receiving the Office action. Petitions
should be avoided as much as possible. Failure to meet these conditions
may result in longer processing times by the USPTO than the goals given
above, but the matter will continue to receive accelerated processing
as described herein to the extent possible.
In all instances, certificate redemption is subject to available
USPTO resources at the Director's discretion. If accelerating the
matter would negatively impact other applicants, the USPTO may decline
to redeem the certificate.
Dated: March 31, 2014.
Michelle K. Lee,
Deputy Under Secretary of Commerce for Intellectual Property and,
Deputy Director of the United States Patent and Trademark Office.
[FR Doc. 2014-07489 Filed 4-2-14; 8:45 am]
BILLING CODE 3510-16-P