sro<strong>be</strong>rts on DSK5SPTVN1PROD with RULES48824 Federal Register / Vol. 77, No. 157 / Tuesday, August 14, 2012 / Rules and Regulations(h) Surcharge for filing any of thesearch fee, the examination fee, or theinventor’s oath or declaration after thedate of the commencement of thenational stage (§ 1.491(a)) pursuant to§ 1.495(c)By a small entity (§ 1.27(a)) .......... $65.00By other than a small entity ......... $130.00* * * * *■ 57. Section 1.495 is amended byrevising paragraphs (a), (c), (g), and (h)to read as follows:§ 1.495 Entering the national stage in theUnited States of America.(a) The applicant in an internationalapplication must fulfill therequirements of 35 U.S.C. 371 withinthe time periods set forth in paragraphs(b) and (c) of this section in order toprevent the abandonment of theinternational application as to theUnited States of America. The thirtymonthtime period set forth inparagraphs (b), (c), (d), (e) and (h) of thissection may not <strong>be</strong> extended.* * * * *(c)(1) If applicant complies withparagraph (b) of this section <strong>be</strong>foreexpiration of thirty months from thepriority date, the Office will notify theapplicant if he or she has omitted anyof:(i) A translation of the internationalapplication, as filed, into the Englishlanguage, if it was originally filed inanother language and if any Englishlanguage translation of the publicationof the international applicationpreviously submitted under 35 U.S.C.154(d) (§ 1.417) is not also a translationof the international application as filed(35 U.S.C. 371(c)(2));(ii) The inventor’s oath or declaration(35 U.S.C. 371(c)(4) and § 1.497), if adeclaration of inventorship incompliance with § 1.63 has not <strong>be</strong>enpreviously submitted in theinternational application under PCTRule 4.17(iv) within the time limitsprovided for in PCT Rule 26ter.1;(iii) The search fee set forth in§ 1.492(b);(iv) The examination fee set forth in§ 1.492(c); and(v) Any application size fee requiredby § 1.492(j).(2) A notice under paragraph (c)(1) ofthis section will set a time period withinwhich applicant must provide anyomitted translation, search fee set forthin § 1.492(b), examination fee set forthin § 1.492(c), and any application sizefee required by § 1.492(j) in order toavoid abandonment of the application.(3) The inventor’s oath or declarationmust also <strong>be</strong> filed within the periodspecified in paragraph (c)(2) of thissection, except that the filing of theinventor’s oath or declaration may <strong>be</strong>postponed until the application isotherwise in condition for allowanceunder the conditions specified inparagraphs (c)(3)(i) through (c)(3)(iii) ofthis section.(i) The application contains anapplication data sheet in accordancewith § 1.76 filed prior to the expirationof the time period set in any noticeunder paragraph (c)(1) identifying:(A) Each inventor by his or her legalname;(B) A mailing address where theinventor customarily receives mail, andresidence, if an inventor lives at alocation which is different from wherethe inventor customarily receives mail,for each inventor.(ii) The applicant must file an oath ordeclaration in compliance with § 1.63,or substitute statement in compliancewith § 1.64, executed by or with respectto each actual inventor no later than theexpiration of the time period set in the‘‘Notice of Allowability’’ to avoidabandonment, when the applicant isnotified in a ‘‘Notice of Allowability’’that an application is otherwise incondition for allowance. The timeperiod set in a ‘‘Notice of Allowability’’is not extendable. See § 1.136(c). TheOffice may dispense with the noticeprovided for in paragraph (c)(1) of thissection if an oath or declaration under§ 1.63, or substitute statement under§ 1.64, executed by or with respect toeach actual inventor has <strong>be</strong>en filed<strong>be</strong>fore the application is in condition forallowance.(iii) An international application inwhich the basic national fee under 35U.S.C. 41(a)(1)(F) has <strong>be</strong>en paid and forwhich an application data sheet inaccordance with § 1.76 has <strong>be</strong>en filedmay <strong>be</strong> treated as complying with 35U.S.C. 371 for purposes of eighteenmonthpublication under 35 U.S.C.122(b) and § 1.211 et seq.(4) The payment of the processing feeset forth in § 1.492(i) is required foracceptance of an English translationlater than the expiration of thirtymonths after the priority date. Thepayment of the surcharge set forth in§ 1.492(h) is required for acceptance ofany of the search fee, the examinationfee, or the inventor’s oath or declarationafter the date of the commencement ofthe national stage (§ 1.491(a)).(5) A ‘‘Sequence Listing’’ need not <strong>be</strong>translated if the ‘‘Sequence Listing’’complies with PCT Rule 12.1(d) and thedescription complies with PCT Rule5.2(b).* * * * *(g) The documents and fees submittedunder paragraphs (b) and (c) of thisVerDate Mar2010 17:28 Aug 13, 2012 Jkt 226001 PO 00000 Frm 00050 Fmt 4701 Sfmt 4700 E:\FR\FM\14AUR6.SGM 14AUR6section must <strong>be</strong> identified as asubmission to enter the national stageunder 35 U.S.C. 371. If the documentsand fees contain conflicting indicationsas <strong>be</strong>tween an application under 35U.S.C. 111 and a submission to enter thenational stage under 35 U.S.C. 371, thedocuments and fees will <strong>be</strong> treated as asubmission to enter the national stageunder 35 U.S.C. 371.(h) An international application<strong>be</strong>comes abandoned as to the UnitedStates thirty months from the prioritydate if the requirements of paragraph (b)of this section have not <strong>be</strong>en compliedwith within thirty months from thepriority date.■ 58. Section 1.496 is revised to read asfollows:§ 1.496 Examination of internationalapplications in the national stage.National stage applications havingpaid therein the search fee as set forthin § 1.492(b)(1) and examination fee asset forth in § 1.492(c)(1) may <strong>be</strong>amended subsequent to the date ofcommencement of national stageprocessing only to the extent necessaryto eliminate objections as to form or tocancel rejected claims. Such nationalstage applications will <strong>be</strong> advanced outof turn for examination.■ 59. Section 1.497 is revised to read asfollows:§ 1.497 Inventor’s oath or declarationunder 35 U.S.C. 371(c)(4).(a) When an applicant of aninternational application desires toenter the national stage under 35 U.S.C.371 pursuant to § 1.495, and adeclaration in compliance with § 1.63has not <strong>be</strong>en previously submitted inthe international application under PCTRule 4.17(iv) within the time limitsprovided for in PCT Rule 26ter.1, theapplicant must file the inventor’s oathor declaration. The inventor, or eachindividual who is a joint inventor of aclaimed invention, in an application forpatent must execute an oath ordeclaration in accordance with theconditions and requirements of § 1.63,except as provided for in § 1.64.(b) An oath or declaration under§ 1.63 will <strong>be</strong> accepted as complyingwith 35 U.S.C. 371(c)(4) if it complieswith the requirements of §§ 1.63(a), (c)and (g). A substitute statement under§ 1.64 will <strong>be</strong> accepted as complyingwith 35 U.S.C. 371(c)(4) if it complieswith the requirements of §§ 1.64(b)(1),(c) and (e) and identifies the personexecuting the substitute statement. If anewly executed inventor’s oath ordeclaration under § 1.63 or substitutestatement under § 1.64 is not requiredpursuant to § 1.63(d), submission of the
Federal Register / Vol. 77, No. 157 / Tuesday, August 14, 2012 / Rules and Regulations48825sro<strong>be</strong>rts on DSK5SPTVN1PROD with RULEScopy of the previously executed oath,declaration, or substitute statementunder § 1.63(d)(1) is required to complywith 35 U.S.C. 371(c)(4).(c) If an oath or declaration under§ 1.63, or substitute statement under§ 1.64, meeting the requirements of§ 1.497(b) does not also meet therequirements of § 1.63 or § 1.64, an oath,declaration, substitute statement, orapplication data sheet in accordancewith § 1.76 to comply with § 1.63 or§ 1.64 will <strong>be</strong> required.■ 60. Section 1.530 is amended byrevising paragraph (l)(1) to read asfollows:§ 1.530 Statement by patent owner in exparte reexamination; amendment by patentowner in ex parte or inter partesreexamination; inventorship change in exparte or inter partes reexamination.* * * * *(l) * * *(1) When it appears in a patent <strong>be</strong>ingreexamined that the correct inventor orinventors were not named, the Directormay, on petition of all the parties setforth in § 1.324(b)(1) and (b)(2),including the assignees, and satisfactoryproof of the facts and payment of the feeset forth in § 1.20(b), or on order of acourt <strong>be</strong>fore which such matter is calledin question, include in thereexamination certificate to <strong>be</strong> issuedunder § 1.570 or § 1.997 an amendmentnaming only the actual inventor orinventors. The petition must <strong>be</strong>submitted as part of the reexaminationproceeding and must satisfy therequirements of § 1.324.* * * * *■ 61. Section 1.730 is amended byrevising paragraph (b)(1) to read asfollows:§ 1.730 Applicant for extension of patentterm; signature requirements.* * * * *(b) * * *(1) The patent owner in compliancewith § 3.73(c) of this chapter; or* * * * *PART 3—ASSIGNMENT, RECORDINGAND RIGHTS <strong>OF</strong> ASSIGNEE■ 62. The authority citation for part 3continues to read as follows:Authority: 15 U.S.C. 1123; 35 U.S.C.2(b)(2).■ 63. Section 3.31 is amended by addingnew paragraph (h) to read as follows:§ 3.31 Cover sheet content.* * * * *(h) The assignment cover sheetrequired by § 3.28 must contain aconspicuous indication of an intent toutilize the assignment as the requiredoath or declaration under § 1.63 of thischapter.■ 64. Section 3.71 is amended byrevising paragraphs (a), (b), and (c) toread as follows:§ 3.71 Prosecution by assignee.(a) Patents—conducting ofprosecution. One or more assignees asdefined in paragraph (b) of this sectionmay conduct prosecution of a nationalpatent application as the applicantunder § 1.46 of this title, or conductprosecution of a supplementalexamination or reexaminationproceeding, to the exclusion of theinventor or previous applicant or patentowner. Conflicts <strong>be</strong>tween purportedassignees are handled in accordancewith § 3.73(c)(3).(b) Patents—assignee(s) who canprosecute. The assignee(s) who mayconduct either the prosecution of anational application for patent as theapplicant under § 1.46 of this title or asupplemental examination orreexamination proceeding are:(1) A single assignee. An assignee ofthe entire right, title and interest in theapplication or patent, or(2) Partial assignee(s) together or withinventor(s). All partial assignees, or allpartial assignees and inventors whohave not assigned their right, title andinterest in the application or patent,who together own the entire right, titleand interest in the application or patent.A partial assignee is any assignee havingless than the entire right, title andinterest in the application or patent. Theword ‘‘assignee’’ as used in this chaptermeans with respect to patent matters thesingle assignee of the entire right, titleand interest in the application or patentif there is such a single assignee, or allof the partial assignees, or all of thepartial assignee and inventors who havenot assigned their interest in theapplication or patent, who together ownthe entire right, title and interest in theapplication or patent.(c) Patents—Becoming of record. Anassignee <strong>be</strong>comes of record as theapplicant in a national patentapplication under § 1.46 of this title,and in a supplemental examination orreexamination proceeding, by filing astatement in compliance with § 3.73(c)that is signed by a party who isauthorized to act on <strong>be</strong>half of theassignee.* * * * *■ 65. Section 3.73 is revised to read asfollows:VerDate Mar2010 17:28 Aug 13, 2012 Jkt 226001 PO 00000 Frm 00051 Fmt 4701 Sfmt 4700 E:\FR\FM\14AUR6.SGM 14AUR6§ 3.73 Establishing right of assignee totake action.(a) The original applicant is presumedto <strong>be</strong> the owner of an application for anoriginal patent, and any patent that mayissue therefrom, unless there is anassignment. The original applicant ispresumed to <strong>be</strong> the owner of atrademark application or registration,unless there is an assignment.(b) In order to request or take actionin a trademark matter, the assignee mustestablish its ownership of the trademarkproperty of paragraph (a) of this sectionto the satisfaction of the Director. Theestablishment of ownership by theassignee may <strong>be</strong> combined with thepaper that requests or takes the action.Ownership is established by submittingto the Office a signed statementidentifying the assignee, accompaniedby either:(1) Documentary evidence of a chainof title from the original owner to theassignee (e.g., copy of an executedassignment). The documents submittedto establish ownership may <strong>be</strong> requiredto <strong>be</strong> recorded pursuant to § 3.11 in theassignment records of the Office as acondition to permitting the assignee totake action in a matter pending <strong>be</strong>forethe Office; or(2) A statement specifying wheredocumentary evidence of a chain of titlefrom the original owner to the assigneeis recorded in the assignment records ofthe Office (e.g., reel and frame num<strong>be</strong>r).(c)(1) In order to request or take actionin a patent matter, an assignee who isnot the original applicant must establishits ownership of the patent property ofparagraph (a) of this section to thesatisfaction of the Director. Theestablishment of ownership by theassignee may <strong>be</strong> combined with thepaper that requests or takes the action.Ownership is established by submittingto the Office a signed statementidentifying the assignee, accompaniedby either:(i) Documentary evidence of a chainof title from the original owner to theassignee (e.g., copy of an executedassignment). The submission of thedocumentary evidence must <strong>be</strong>accompanied by a statement affirmingthat the documentary evidence of thechain of title from the original owner tothe assignee was or concurrently is<strong>be</strong>ing submitted for recordationpursuant to § 3.11; or(ii) A statement specifying wheredocumentary evidence of a chain of titlefrom the original owner to the assigneeis recorded in the assignment records ofthe Office (e.g., reel and frame num<strong>be</strong>r).(2) If the submission is by an assigneeof less than the entire right, title andinterest (e.g., more than one assignee
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