United States Patent and Trademark Office (USPTO)
- Q1 Filing Date
- Q2 Representation
- Q3 Forms and Means of Communications
- Q4 Relief in Respect of Time Limits
- Q5 Reinstatement of Rights
- Q6 Restoration of Priority Rights Where the Filing of the Subsequent Application was Delayed
- Q7 Restoration of Priority Rights Where the Filing of a Copy of the Earlier Application was Delayed
- Q8 Request for Recordation of Change in Name or Address
- Q9 Request for Recordation of Change in Applicant or Owner
- Q10 Request for Recordation of a License or a Security Interest
- Q11 Request for Correction of a Mistake
Q1: Filing date
Q1-1 For the purpose of obtaining a filing date, an applicant may file an application on paper or “as otherwise permitted by the Office”. If your Office accepts applications filed in a form or by a means other than on paper, for the purpose of the filing date (for example, on-line filing), please provide a brief explanation regarding the acceptable form or means, and describe whether such form or means, for the purpose of the filing date, are different from the form or means applicable to applications accepted by your Office for the purpose of processing the application after according the filing date.
[Reference: PLT Article 5(1)(a)]
A1-1 The USPTO accepts applications submitted electronically via EFS-Web (the USPTO’s system for electronic filing of patent correspondence). The EFS-Web Legal Framework sets forth what correspondence can be filed via EFS-Web. See http://www.uspto.gov/patents/process/file/efs/guidance/New_legal_framework.jsp. The system utilizes standard Web-based screens and prompts users to submit patent documents in Portable Document Format (PDF) directly to the USPTO. Most correspondence being filed in an existing application can also be filed via EFS-Web. In addition, correspondence being filed in an existing application can be submitted by facsimile transmission. However, new patent applications cannot be submitted by facsimile transmission.
Q1-2 Does your Office accept a drawing as the element referred to as “a part which on the face of it appears to be a description” in PLT Article 5(1)(a)(iii)?
[Reference: PLT Article 5(1)(b)]
A1-2 Yes
Q1-3 For the purpose of according the filing date, a Contracting Party may require information allowing the identity of the applicant to be established or information allowing the applicant to be contacted by the Office, or the both. What is the requirement of your country?
[Reference: PLT Article 5(1)(c)]
A1-3 The filing date of an application (other than a design patent) is the date on which a specification, with or without claims, is received in the USPTO. See 35 U.S.C. 111(a). If an application is filed without information allowing the identity of the applicant to be established, the application will be treated as never having been filed since an unknown applicant will not be able to access the application (35 U.S.C. 122 and 37 CFR 1.14), correspond with the USPTO concerning the application (37 CFR 1.5), or claim the benefit of the application in any subsequent application (35 U.S.C. 119(e) and 120).
Q1-4 Does your Office accept evidence allowing the identity of the applicant to be established or allowing the applicant to be contacted by the Office as the element referred to in PLT Article 5(1)(a)(ii) (“indications allowing the identity of the applicant to be established or allowing the applicant to be contacted by the Office”)?
[Reference: PLT Article 5(1)(c)]
A1-4 As noted above, the USPTO does not require evidence with respect to the element in PLT Article 5(1)(a)(ii) for the purpose of according a filing date.
Q1-5 For the filing date to be determined under PLT Article 5(6)(b), which of the optional elements referred to in PLT Rule 2(4) are required by your Office?
[Reference: PLT Rule 2(4)]
A1-5
- A copy of the earlier application
- A translation of the earlier application
- The missing part of the description or missing drawing must be completely contained in the earlier application
- The application must contain an indication that the contents of the earlier application were incorporated by reference
- An indication as to where the missing part of the description or the missing drawing is contained in the earlier application or in the translation.
Q1-6 For a reference to a previously filed application to replace the description and any drawing for the purpose of the filing date under PLT Article 5(7), which of the requirements referred to in PLT Rule 2(5) are required by your Office?
[Reference: PLT Rule 2(5)]
A1-6
- The reference to a previously filed application must indicate the filing date of the previously filed application
- A copy of the previously filed application
- A copy of the previously filed application, certified as correct
- A translation of the previously filed application
Q2: Representation
Q2-1 In addition to the procedures referred to in PLT Article 7(2)(a) and (b), are there any procedures before the Office that an applicant, owner or other interested person may carry out himself without, for example, a local representative? If yes, please list those procedures.
[Reference: PLT Article 7(2)]
A2-1 - Yes. Inventors who are the applicant can file and prosecute their own patent application. A juristic entity (e.g., organizational assignee) must be represented by a patent practitioner. However, a juristic applicant may sign, without the signature of a patent practitioner, a fee transmittal letter (37 CFR 1.23), an application transmittal letter limited to the transmittal of the document and fees comprising a patent application (37 CFR 1.51), a letter limited to a request for a filing receipt (37 CFR 1.54), an application transmittal letter limited to the transmittal of a copy of the specification and drawings from a previously filed application submitted under 37 CFR 1.57(a) or (b) (37 CFR 1.57(i)), and a maintenance fee transmittal letter (37 CFR 1.366).
Q2-2 Where a single power of attorney relating to more than one application or patent of the same person is filed, does your Office require that a separate copy of the single power of attorney be filed for each application and patent?
[Reference: PLT Rule 7(2)(b)]
A2-2 Yes
Q3: Forms and Means of Communications
Q3-1 Does your Office permit the filing of communications by telegraph, teleprinter, telefacsimile or other similar means of transmittal? If yes, does your Office require that the original of such communication, accompanied by a letter identifying the earlier transmission, be filed on paper?
[Reference: PLT Rule 8(2)(c)]
A3-1 The filing of communications by telegraph, teleprinter, telefacsimile etc. is permitted, and the original of the communications by telegraph, teleprinter, telefacsimile etc. is not required.
Q4: Relief in Respect of Time Limits
Q4-1 Which form of relief in respect of time limits does your Office provide?
[Reference: PLT Article 11(1), (2) and (4)]
A4-1 Extension of time limits requested after the expiration of the time limit:
Time limit to file a request for extension: It depends, but in most cases an extension of time of not less than 2 months is permitted and the request for extension of time must be filed before expiration of the permitted extension period.
Time limit to comply with the unfulfilled requirement: Same as the time limit to file a request for extension.
Amount of fee: It varies depending on the number of months requested and whether the applicant is entitled to any discount. See 37 CFR 1.17(a).
Q4-2 Which actions are excluded from the relief as described in A4-1?
[Reference: PLT Article 11(3) and Rule 12(5)]
A4-2 The conditions and exceptions are specified in 37 CFR 1.136.
Q5: Reinstatement of Rights
Q5-1 Under which circumstance does your Office reinstate the rights of the applicant or owner as referred to in PLT Article 12? In addition, please provide a brief explanation of the applicable standard.
[Reference: PLT Article 12(1)]
A5-1 Failure to comply with the time limit was unintentional
Q5-2 What is the time limit for making a request for reinstatement of rights?
[Reference: PLT Rule 13(2)]
A5-2 There is no specific time limit, but the entire delay must be unintentional.
Q5-3 Does your Office require a fee to be paid? If yes, please indicate the amount.
[Reference: PLT Article 12(3)]
A5-3 Yes Amount: $1,700 ($850 for a small entity or micro entity)
Q5-4 Which actions are excluded from the reinstatement of rights?
[Reference: PLT Article 12(2) and Rule 13(3)]
A5-4 Failure to comply with a time limit for an action in an inter partes proceeding before the Patent Trial Board and failure to file the subsequent application within two months of the expiration of the priority period in a request to restore the right of priority.
Q6: Restoration of Priority Rights Where the Filing of the Subsequent Application was Delayed
Q6-1 Under which circumstance does your Office restore the right of priority where the subsequent application was not filed within the priority period?
[Reference: PLT Article 13(2)]
A6-1 Failure to file the subsequent application within the priority period was unintentional
Q6-2 In order to restore the right of priority, what is the time limit within which the subsequent application shall be filed?
[Reference: PLT Rule 14(4)]
A6-2 Two months from the date on which the priority period expired.
Q6-3 Does your Office require a fee to be paid? If yes, please indicate the amount.
[Reference: PLT Article 13(4)]
A6-3 $1,700 ($850 for a small entity or micro entity).
Q7: Restoration of Priority Rights Where the Filing of a Copy of the Earlier Application was Delayed
Q7-1 In order to restore the right of priority where a copy of the earlier application was not filed within the time limit, does your Office require a declaration or other evidence in support of the request for restoration of priority rights?
[Reference: PLT Article 13(3) and Rule 14(6)(b)]
A7-1 Yes
Q7-2 Where the filing date of a copy of the earlier application was delayed (for example, a copy of the earlier application has not been filed within 16 months from the priority date), in order to enjoy restoration of priority right, what is the time limit within which such delayed copy of the earlier application shall be filed?
[Reference: PLT Rule 14(6)(b)]
A7-2 Currently, the copy should be submitted before payment of the issue fee and must be submitted before patent grant.
Q7-3 Does your Office require a fee to be paid? If yes, please indicate the amount.
[Reference: PLT Article 13(4)]
A7-3 $200 ($100 for a small entity or $50 for a micro entity).
Q8: Request for Recordation of Change in Name or Address
Q8-1 Where a single request for recordation of change in name or address relating to more than one application or patent of the same person is filed, does your Office require that a separate copy of the single request be filed for each application and/or patent?
[Reference: PLT Rule 15(3)(b)]
A8-1 Yes
Q9: Request for Recordation of Change in Applicant or Owner
Q9-1 Does your Office require the following elements to be contained in the request for recordation of change in applicant or owner?
(a) A statement that the information contained in the request is true and correct
(b) Information relating to any government interest
[Reference: PLT Rule 16(1)(b)]
A9-1 No, these elements are not required.
Q9-2 Which documentation relating to the basis of the change is required by your Office under the following circumstances?
[Reference: PLT Rule 16(2)(a) to (c)]
A9-2
The change results from a contract: Documentary evidence of ownership.
The change results from a merger or from the reorganization or division of a legal entity: Documentary evidence of ownership.
The change results from any other ground (ex. by operation of law or a court decision): Documentary evidence of ownership.
Q9-3 Where the change in applicant or owner is in the person of one or more but not all of several co-applicants or co-owners, does your Office require that evidence of the consent of the other co-applicants or co-owner to the change be provided to the Office?
[Reference: Rule 16(2)(d)]
A9-3 No
Q9-4 Where a single request for recordation of change in applicant or owner relating to more than one application or patent of the same person is filed, does your Office require that a separate copy of the single request be filed for each application and/or patent?
[Reference: PLT Rule 16(5)]
A9-4 Yes
Q10: Request for Recordation of a License or a Security Interest
Q10-1 May a license or a security interest in respect of a patent application or a patent be recorded under the law of your country?
[Reference: PLT Rule 17(1)]
A10-1 Recordation of a license: Yes
Recordation of a security interest: Yes
If one or both of the answers is(are) “Yes”, please proceed to Q10-2. If both answers are “No”, please skip to Q11.
Q10-2 Does your Office require the following elements to be contained in the request for recordation of a licence (or a security interest)?
(a) A statement that the information contained in the request is true and correct
(b) Information relating to any government interest by your country
(c) Information relating to the registration of the license (security interest)
(d) The date of the license (security interest) and its duration
[Reference: PLT Rule 17(1)(b)]
A10-2 - The date of the license (security interest)
Q10-3 Which documentation relating to the basis of the license (or security interest) is required by your Office under the following circumstances?
[Reference: PLT Rule 17(2)]
A10-3 The license (security interest) is a freely concluded agreement: None
The license (security interest) is not a freely concluded agreement (ex. operation of law or a court decision): None
Q10-4 Where the licence (or security interest) is a freely concluded agreement, does your Office require that any applicant, owner, exclusive licensee, co-applicant, co-owner or co-exclusive licensee who is not party to that agreement give his/her consent to the recordation of the agreement?
[Reference: Rule 17(2)(d)]
A10-4 No.
Q10-5 Where a single request for recordation of a license (or security interest) relating to more than one application or patent of the same person is filed, does your Office require that a separate copy of the single request be filed for each application and/or patent?
[Reference: PLT Rule 17(5)]
A10-5 Yes.
Q11: Request for Correction of a Mistake
Q11-1 Does your Office prescribe the following requirements with respect to a request for correction of a mistake?
(a) The request shall be accompanied by a replacement part or a part incorporating the correction
(b) The request shall be subject to a declaration by the requesting party stating that the mistake was made in good faith
(c) The request shall be subject to a declaration by the requesting party stating that such request was made without undue delay following the discovery of the mistake
(d) The request shall be subject to a declaration by the requesting party stating that such request was made without intentional delay following the discovery of the mistake
[Reference: PLT Rule 18(1)(b) to (d)]
A11-1 The request shall be accompanied by a replacement part or a part incorporating the correction.
Q11-2 Where a single request for the correction of a mistake relating to more than one application or patent of the same person is filed, does your Office require that a separate copy of the single request be filed for each application and/or patent?
[Reference: PLT Rule 18(3)]
A11-2 Yes
[End of questionnaire]
January 2015