CoBestPracticesforDocketingOptionalUS

ProsecutionProcedures

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BestPracticesforDocketingOptionalUSProsecutionProcedures

•Presenters:o AnnMcCrackin,President,BlackHillsIPo CherieGroen,InternationalDocketingSpecialist,BlackHillsIPoMeredithWood,InternationalDocketingSpecialist,BlackHillsIP

Topics

•PrioritizedExamination(Track1)•PatentProsecutionHighway(PPH)• SpecialInterviewandAppealProcedures

o FirstActionInterviewPilotProgramo AfterFinalConsideration(AFCP)2.0o Pre-AppealConferenceo PatentProsecutionPilot(P3)

PrioritizedExamination(Track1)

• Track1isaprocedureforexpeditedreviewofapatentapplicationforanadditionalfee.• TheUSPTO’sgoalforprioritizedexaminationistoprovideafinaldispositionwithintwelvemonthsofprioritizedstatusbeinggranted.

MaintainingTrack1Status

• TheTrack1programgrantsspecialstatusuntiloneofthefollowingoccurs:o i. Applicantfilesapetitionforextensionoftimetoextendthetimeperiodforfilingareply.

o ii. Applicantfilesanamendmenttoamendtheapplicationtocontainmorethanfourindependentclaims,morethanthirtytotalclaims,oramultipledependentclaim.

o iii. Applicantfilesarequestforcontinuedexamination(RCE).o iv. Applicantfilesanoticeofappeal.

MaintainingTrack1Status

o v. Applicantfilesarequestforsuspensionofaction.o vi. Anoticeofallowanceismailed.o vii. AfinalOfficeactionismailed.o viii. Theapplicationisabandoned.o ix. Examinationiscompletedasdefinedin37CFR41.102.

• https://www.uspto.gov/patents/init_events/track1_FAQS.jsp

DocketingTipsforTrack1

• Toavoidalossofprioritizedstatus,it’simportanttodocketanyresponsetoaNon-FinalactiontoavoidanextensionoftimethatwouldresultinalossofTrack1status.•Docketingtheactionasnon-extendableandnotpermittingaresponsetobefiledafterthefirststatutorydeadlinewilllessenthechancethataTrack1casewillloseitsprioritizedstatusandbetossedintoregularexaminationproceedings.

PatentProsecutionHighway(PPH)

•PPHspeedsuptheexaminationprocessforcorrespondingapplicationsfiledinparticipatingintellectualpropertyoffices.•UnderPPH,participatingpatentofficeshaveagreedthatwhenatleastoneclaimisallowed,theapplicantmayrequestfasttrackexaminationofcorrespondingclaim(s)inacorrespondingpatentapplicationthatispendinginanotherpatentoffice.

PPH

• InordertohaveyourapplicationconsideredforPPHyoumustmeetallthecriteriaandsubmitaPPHRequestForm.• ThePPHprogramdoesnotrequiretherequesttobefiledatthetimeoffilingoftheapplication.• IfthePPHrequestisgranted,theexaminerwillgenerallyexaminetheapplicationwithin2to3monthsfromthegrantofthePPHrequestprovidedtheapplicationhascompletedallitspre-examprocessingandisreadyforexamination.

DocketingTipsforPPH

• Uponreceivinganindicationofallowablesubjectmatterofanyapplicationinaninternationalfamilyofcases,docketingforreviewofexistingPPHopportunitiesinco-pendingcasesthatshareacommonearliestpriority.• Typically,examinationcannothavebegunintheco-pendingcasesthatsharepriorityinordertobeeligibleforPPH.• AlistofPPHparticipants/programscanbefoundhere:https://www.uspto.gov/patents-getting-started/international-protection/patent-prosecution-highway-pph-fast-track

SpecialInterviewandAppealProcedures

• FirstActionInterviewPilotProgram:https://www.uspto.gov/patents-application-process/applying-online/full-first-action-interview-pilot-program• AFCP:https://www.uspto.gov/patent/initiatives/after-final-consideration-pilot-20• Pre-Appeal:https://www.uspto.gov/web/offices/com/sol/og/2005/week28/patbref.htm• P3:https://www.uspto.gov/patent/initiatives/post-prosecution-pilot

FirstActionInterview(FAI)Pilot:• FirstActionInterview(FAI)PilotProgram:https://www.uspto.gov/patents-application-process/applying-online/full-first-action-interview-pilot-program• UnderFAI,anapplicantisentitledtoafirstactioninterview,uponrequest,priortothefirstOfficeactiononthemerits.Theexaminerwillconductapriorartsearchandprovideapplicantwithacondensedpre-interviewcommunicationcitingrelevantpriorartandidentifyingproposedrejectionsorobjections.• Within30daysofreceipt,applicantschedulesaninterviewandsubmitsproposedamendmentsand/orarguments.Attheinterview,therelevantpriorart,proposedrejections,amendmentsandargumentswillbediscussed.• Ifagreementisnotreached,theapplicantwillreceiveafirstactioninterviewOfficeactionthatincludesaninterviewsummarythatconstitutesafirstOfficeactiononthemeritsunder35USC132.

DocketingTipsforFAI

• CheckPAIRforexpectedfirstactiondateanddocketdateforfilingFAIRequest.• Applicationmustbeanon-reissue,non-provisionalwiththreeorfewerindependentclaimsandtwentyorfewertotalclaims.• Afterfilingrequest,OfficewillissueaPre-InterviewCommunication(PTOL-413FP). Docket30daydeadline,extendableuptoonemonth,torequestordeclineinterview.• ApplicantInitiatedInterviewRequestform(PTOL-413A)alongwithaproposedamendmentand/orargumentsmustbefiledviaEFS-Webwithin60days.

AfterFinalConsideration(AFCP)2.0• AFCP2.0Pilot:https://www.uspto.gov/patent/initiatives/after-final-consideration-pilot-20• AFCP2.0authorizesadditionaltimeforexaminerstosearchand/orconsiderresponsesafterfinalrejection.• UnderAFCP2.0,examinerswillalsousetheadditionaltimetoscheduleandconductaninterviewtodiscusstheresultsoftheirsearchand/orconsiderationwithyou,ifyourresponsedoesnotplacetheapplicationinconditionforallowance.

DocketingTipsforAFCP

• CanbefiledatanytimeafteraFinalOfficeActionisreceivedineligiblenon-provisionalapplications.• Afterfinalresponsedeadlinesapply,includingavailableextensionsoftime.• Iftheapplicantdeclinestheinterview,orisunabletoscheduletheinterviewwithinten(10)calendardaysfromthedatetheexaminerfirstcontactstheapplicant,thentheexaminermayproceedwithanappropriateresponsetothesubmissionafterfinalrejectionaccordingtocurrentpractice.

Pre-AppealConference

• Pre-AppealBriefConferenceProgram(Pre-Appeal):https://www.uspto.gov/web/offices/com/sol/og/2005/week28/patbref.htm•Offersapplicantsanopportunitytorequestareviewofidentifiedmattersonappealpriortothefilingofanappealbrief.• Goals:(1)toidentifythepresenceorabsenceofclearlyimproperrejectionsbaseduponerror(s)infacts,or(2)toidentifytheomissionorpresenceofessentialelementsrequiredtoestablishaprimafacierejection.

DocketingTipsforPre-AppealConference

• Therequestmustbefiledwiththefilingofanoticeofappealandbeforethefilingoftheappealbrief.Noextensionsoftimeareavailableforfilingtherequestforreviewafterfilingthenoticeofappeal.• Thetimeperiodforfilinganappealbriefwillberesettobeonemonthfrommailingofthedecisionontherequest,orthebalanceofthetwo-monthtimeperiodrunningfromthereceiptofthenoticeofappeal,whicheverisgreater.Further,thetimeperiodforfilingoftheappealbriefisextendibleunder37CFR1.136baseduponthemaildateofthedecisionontherequestorthereceiptdateofthenoticeofappeal,asapplicable.

Post-ProsecutionPilot(P3)

• P3combinestheAFCP2.0programandthePre-AppealBriefConferencePilotprogram:https://www.uspto.gov/patent/initiatives/post-prosecution-pilot• P3isopentononprovisional andinternational,utilityapplicationsfiledunder 35USC111(a) or 35USC371 thatareunderfinalrejection.• P3willrunforsix(6)monthsfromitseffectivedate(July11,2016)oruntiltheUSPTOaccepts1,600properrequests,whicheveroccursfirst.

DocketingTipsforP3

•RequestForm(SB/444)mustbefiledwithintwo(2)monthsfromthemailingdateofthefinalrejectionandpriortofilinganoticeofappeal• Ifapplicantisunabletoscheduletheconferencewithinten(10)calendardaysfromthedatetheOfficefirstcontactsapplicant,therequestwillbedeemedimproper.• StatutorydeadlinesstillapplyandarenotwaivedasaresultofacceptanceintoP3pilot