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PRE-ISSUANCE (THIRD-PARTY)
SUBMISSIONS
BY:
KIRBY DRAKE
Overview
• Submissions permitted in applications already
on file with PTO as of September 16, 2012
• Allows third parties to submit patents and
printed publications to be considered during
patent examination
What Can Be Submitted
• Patents
• Printed Publications
• Can submit art already in file along with brief
explanation of how it should be applied
Other Types of Submissions
• Not restricted to novelty and non-obviousness
• Definiteness issue – dictionary definition
• New matter question – related parent patent
application
• Enablement question – could have expert do a
report to submit– however PTO has said that it
will not accept materials created just for purpose
of challenging application
Form of Submission
• Identify items being submitted with concise
description of relevance of each item listed
• Provide legible copy of each non-U.S. patent
document listed and English language
translation of any non-English language item
listed
• Statement by party making submission that it
complies with statute and rule along with fee (if
required)
When Submissions May Be Made
• Submit before first office action rejection mailed
OR within 6 months from publication of
application (to account for first action allowance
or quick action by PTO)
• Will NOT consider submissions made after
Notice of Allowance mailed
Cost of Submission
• Up to three items submitted = Free
• Up to ten items submitted = $180
How to Submit
• Dedicated Web-based interface to permit third-
party submissions to be filed electronically
(select pre-issuance submissions filing option in
EFS-Web)
• Also permitted to file in paper form
Anonymity of Submission
• May submit anonymously even if submitted
electronically
• No requirement for third party to serve applicant
with copy of submission – PTO will notify
applicant if participating in e-Office Action
program
Notice of Submission
Review for Compliance
• Submissions (electronic or paper) not
automatically made of record in application file
• PTO will review to determine compliance before
being made of record
Example: Appl. No. 12/829,968
• 1/5/12: Notice of Publication
• 9/17/12: Third-Party Submission Filed
• 9/25/12: Notice sent to Applicant
• 11/15/12: Non-Final Rejection
Example: Appl. No. 12/829,968
Example: Appl. No. 12/829,968
Example: Appl. No. 13/460,635
• Continuation application
• 8/13/12: Non-Final Rejection
• 8/23/12: Notice of Publication
• 10/5/12: Third-Party Submission Filed
• 10/17/12: Notice sent to Applicant
• Notice of allowance following interview
Example: Appl. No. 13/465,789
• 9/6/12: Notice of Publication
• 9/27/12: Third-Party Submission Filed
• 10/9/12: Notice Sent to Applicant
• 11/2/12: Preliminary Amendment Made to
Address Third-Party Submission
• 11/20/12: Non-Final Rejection (not addressing
Preliminary Amendment)
Example: Appl. No. 13/493,787
• 9/27/12: Non-Final Rejection
• 10/4/12: Notice of Publication
• 11/28/12: Third-Party Submission Filed
• 12/3/12: Notice to Applicant
• 12/21/12: Response Filed
• 1/3/12: Non-Final Rejection (including rejection
based on third-party submission)
Example: Appl. No. 13/493,787
1/3/12: Non-Final Rejection
Possible Advantages
• May be used to limit competitor patent scope
• Submissions will be listed on face of patent if
submitted in compliance with rules
• Could be helpful down the road if patent is ever
litigated – claim construction
• No estoppel created by submissions
Possible Disadvantages
• Retaliatory competitor action
• Broad patent may still issue
• Time and effort involved in monitoring
competitive patent filings
Best Practice Considerations
• Need a plan to timely review competitive patent
filings
• Begin with quality or on-point prior art
(explanation is prima facie credible and well-
drafted)
• Resist urge to make voluminous filings
• Concise/well-reasoned explanation should
quickly lead examiner to rejection
Pre-Issuance (Third-Party) Submissions - More Detailed

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Pre-Issuance (Third-Party) Submissions - More Detailed

  • 2. Overview • Submissions permitted in applications already on file with PTO as of September 16, 2012 • Allows third parties to submit patents and printed publications to be considered during patent examination
  • 3. What Can Be Submitted • Patents • Printed Publications • Can submit art already in file along with brief explanation of how it should be applied
  • 4. Other Types of Submissions • Not restricted to novelty and non-obviousness • Definiteness issue – dictionary definition • New matter question – related parent patent application • Enablement question – could have expert do a report to submit– however PTO has said that it will not accept materials created just for purpose of challenging application
  • 5. Form of Submission • Identify items being submitted with concise description of relevance of each item listed • Provide legible copy of each non-U.S. patent document listed and English language translation of any non-English language item listed • Statement by party making submission that it complies with statute and rule along with fee (if required)
  • 6. When Submissions May Be Made • Submit before first office action rejection mailed OR within 6 months from publication of application (to account for first action allowance or quick action by PTO) • Will NOT consider submissions made after Notice of Allowance mailed
  • 7. Cost of Submission • Up to three items submitted = Free • Up to ten items submitted = $180
  • 8. How to Submit • Dedicated Web-based interface to permit third- party submissions to be filed electronically (select pre-issuance submissions filing option in EFS-Web) • Also permitted to file in paper form
  • 9. Anonymity of Submission • May submit anonymously even if submitted electronically • No requirement for third party to serve applicant with copy of submission – PTO will notify applicant if participating in e-Office Action program
  • 11. Review for Compliance • Submissions (electronic or paper) not automatically made of record in application file • PTO will review to determine compliance before being made of record
  • 12. Example: Appl. No. 12/829,968 • 1/5/12: Notice of Publication • 9/17/12: Third-Party Submission Filed • 9/25/12: Notice sent to Applicant • 11/15/12: Non-Final Rejection
  • 13. Example: Appl. No. 12/829,968
  • 14. Example: Appl. No. 12/829,968
  • 15. Example: Appl. No. 13/460,635 • Continuation application • 8/13/12: Non-Final Rejection • 8/23/12: Notice of Publication • 10/5/12: Third-Party Submission Filed • 10/17/12: Notice sent to Applicant • Notice of allowance following interview
  • 16. Example: Appl. No. 13/465,789 • 9/6/12: Notice of Publication • 9/27/12: Third-Party Submission Filed • 10/9/12: Notice Sent to Applicant • 11/2/12: Preliminary Amendment Made to Address Third-Party Submission • 11/20/12: Non-Final Rejection (not addressing Preliminary Amendment)
  • 17. Example: Appl. No. 13/493,787 • 9/27/12: Non-Final Rejection • 10/4/12: Notice of Publication • 11/28/12: Third-Party Submission Filed • 12/3/12: Notice to Applicant • 12/21/12: Response Filed • 1/3/12: Non-Final Rejection (including rejection based on third-party submission)
  • 18. Example: Appl. No. 13/493,787 1/3/12: Non-Final Rejection
  • 19. Possible Advantages • May be used to limit competitor patent scope • Submissions will be listed on face of patent if submitted in compliance with rules • Could be helpful down the road if patent is ever litigated – claim construction • No estoppel created by submissions
  • 20. Possible Disadvantages • Retaliatory competitor action • Broad patent may still issue • Time and effort involved in monitoring competitive patent filings
  • 21. Best Practice Considerations • Need a plan to timely review competitive patent filings • Begin with quality or on-point prior art (explanation is prima facie credible and well- drafted) • Resist urge to make voluminous filings • Concise/well-reasoned explanation should quickly lead examiner to rejection