[Federal Register Volume 74, Number 234 (Tuesday, December 8, 2009)]
[Notices]
[Pages 64666-64669]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-29207]


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DEPARTMENT OF COMMERCE

United States Patent and Trademark Office

[Docket No. PTO-P-2009-0038]


Pilot Program for Green Technologies Including Greenhouse Gas 
Reduction

AGENCY: United States Patent and Trademark Office, Commerce.

ACTION: Notice.

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SUMMARY: The United States Patent and Trademark Office (USPTO) is 
implementing a pilot program in which an applicant may have an 
application advanced out of turn (accorded special status) for 
examination, for applications pertaining to green technologies 
including greenhouse gas reduction (applications pertaining to 
environmental quality, energy conservation, development of renewable 
energy resources or greenhouse gas emission reduction). Currently, an 
application pertaining to environmental quality, or energy 
conservation, development of renewable energy resources or greenhouse 
gas reduction will not be advanced out of turn for examination unless 
it meets the requirements of the accelerated examination program. Under 
the Green Technology Pilot Program, applications pertaining to 
environmental quality, energy conservation, development of renewable 
energy, or greenhouse gas emission reduction, will be advanced out of 
turn for examination without meeting all of the current requirements of 
the accelerated examination program (e.g., examination support 
document). The USPTO will accept only the first 3,000 petitions to make 
special in previously filed new applications, provided that the 
petitions meet the requirements set forth in this notice.

DATES: Effective Date: December 8, 2009.
    Duration: The Green Technology Pilot Program will run for twelve 
months from its effective date. Therefore, petitions to make special 
under the Green Technology Pilot Program must be filed before December 
8, 2010. The USPTO may extend the pilot program (with or without 
modifications) depending on the feedback from the participants and the 
effectiveness of the pilot program.

FOR FURTHER INFORMATION CONTACT: Pinchus M. Laufer and Joni Y. Chang, 
Senior Legal Advisors, Office of Patent Legal Administration, Office of 
the Associate Commissioner for Patent Examination Policy, by telephone 
at 571-272-7726 or 571-272-7720; by facsimile transmission to 571-273-
7726, marked to the attention of Pinchus M. Laufer; or by mail 
addressed to: Mail Stop Comments Patents, Commissioner for Patents, 
P.O. Box 1450, Alexandria, VA 22313-1450.

SUPPLEMENTARY INFORMATION: New patent applications are normally taken 
up for examination in the order of their United States filing date. See 
section 708 of the Manual of Patent Examining Procedure (8th ed. 2001) 
(Rev. 7, July 2008) (MPEP). The USPTO has a procedure under which an 
application will be advanced out of turn (accorded special status) for 
examination if the applicant files a petition to make special with the 
appropriate showing. See 37 CFR 1.102 and MPEP Sec.  708.02. The USPTO 
revised its accelerated examination program in June of 2006, and 
required that all petitions to make special, except those based on 
applicant's health or age or the Patent Prosecution Highway (PPH) pilot 
program, comply with the requirements of the revised accelerated 
examination program. See Changes to Practice for Petitions in Patent 
Applications To Make Special and for Accelerated Examination, 71 FR 
36323 (June 26, 2006), 1308 Off. Gaz. Pat. Office 106 (July 18, 2006) 
(notice); see also MPEP Sec.  708.02(a). Applications that are accorded 
special status are generally placed on the examiner's special docket 
throughout its entire course of prosecution before the examiner, and 
have special status in any appeal to the Board of Patent Appeals and 
Interferences (BPAI) and also in the patent publication process. See 
MPEP Sec.  708.01 and 1309.
    The USPTO is implementing a pilot program to permit applications 
pertaining to ``green technologies'' (i.e., applications pertaining to 
environmental quality, energy conservation, development of renewable 
energy resources, or greenhouse gas emission reduction) to be advanced 
out of turn without meeting all of the current requirements of the 
accelerated examination program set forth in item VIII of MPEP Sec.  
708.02(a) (e.g., examination support document). The USPTO will accept 
the first 3,000 petitions to make special under the Green Technology 
Pilot Program in previously filed new applications, provided that the 
petitions meet all of the requirements set forth in this notice. Upon 
receipt of more than 3,000 petitions, the USPTO may reevaluate the 
workload and resources needed to extend the pilot program.
    Applications that are accorded special status under the Green 
Technology Pilot Program will be placed on an examiner's special docket 
prior to the first Office action, and will have special status in any 
appeal to the BPAI and also in the patent publication process. 
Applications accorded special status under the Green Technology Pilot 
Program, however, will be placed on the examiner's amended docket, 
rather than the examiner's special docket, after the first Office 
action (which may be an Office action containing only a restriction 
requirement).
    Applicant may participate in the Green Technology Pilot Program by 
filing a petition to make special that meets all of the requirements 
set forth in this notice in a previously filed application. No fee is 
required. The $130.00 fee for a petition under 37 CFR

[[Page 64667]]

1.102 (other than those enumerated in 37 CFR 1.102(c)) is hereby sua 
sponte waived for petitions to make special based upon the procedure 
specified in this notice. In addition, continuing applications will not 
automatically be accorded special status based on papers filed with a 
petition in a parent application. Each continuing application must on 
its own meet all requirements for special status.
    Paperwork Reduction Act: This notice 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 collections of information involved in 
this rule have been reviewed and approved by OMB under the emergency 
processing provisions of 5 CFR 1320.13. The USPTO will publish the 
notices required by 5 CFR part 1320 in due course.
    I. Requirements: A petition to make special under the Green 
Technology Pilot Program may be granted in an application if the 
eligibility requirements set forth in section II or III and the 
following conditions are satisfied:
    (1) The application must be a non-reissue, non-provisional utility 
application filed under 35 U.S.C. 111(a), or an international 
application that has entered the national stage in compliance with 35 
U.S.C. 371. The application must be previously filed before the 
publication date of this notice. Reexamination proceedings are excluded 
from this pilot program.
    (2) The application must be classified in one of the U.S. 
classifications listed in section VI of this notice at the time of 
examination. See section VI for more information.
    (3) The application must contain three or fewer independent claims 
and twenty or fewer total claims. The application must not contain any 
multiple dependent claims. For an application that contains more than 
three independent claims or twenty total claims, or multiple dependent 
claims, applicants must file a preliminary amendment in compliance with 
37 CFR 1.121 to cancel the excess claims and/or the multiple dependent 
claims at the time the petition to make special is filed.
    (4) The claims must be directed to a single invention that 
materially enhances the quality of the environment, or that materially 
contributes to: (1) The discovery or development of renewable energy 
resources; (2) the more efficient utilization and conservation of 
energy resources; or (3) greenhouse gas emission reduction (see the 
eligibility requirements of sections II and III of this notice). The 
petition must include a statement that, if the USPTO determines that 
the claims are directed to multiple inventions (e.g., in a restriction 
requirement), applicant will agree to make an election without traverse 
in a telephonic interview, and elect an invention that meets the 
eligibility requirements in section II or III of this notice and is 
classified in one of the U.S. classifications listed in section VI of 
this notice. See section V of this notice for more information.
    (5) The petition to make special must be filed electronically 
before December 8, 2010, using the USPTO electronic filing system, EFS-
Web, and selecting the document description of ``Petition for Green 
Tech Pilot'' on the EFS-Web screen. Applicant should use form PTO/SB/
420, which will be available as a Portable Document Format (PDF) 
fillable form in EFS-Web and on the USPTO Web site at http://www.uspto.gov/web/forms/index.html. Information regarding EFS-Web is 
available on the USPTO Web site at http://www.uspto.gov/ebc/index.html.
    (6) The petition to make special must be filed at least one day 
prior to the date that a first Office action (which may be an Office 
action containing only a restriction requirement) appears in the Patent 
Application Information Retrieval (PAIR) system. Applicant may check 
the status of the application using PAIR.
    (7) The petition to make special must be accompanied by a request 
for early publication in compliance with 37 CFR 1.219 and the 
publication fee set forth in 37 CFR 1.18(d).
    II. Eligibility Requirements--Applications Pertaining to 
Environmental Quality: Patent applications for inventions which 
materially enhance the quality of the environment under the conditions 
specified in item V of MPEP Sec.  708.02 will be eligible for the Green 
Technology Pilot Program. For an application pertaining to 
environmental quality, the petition to make special must state that 
special status is sought because the invention materially enhances the 
quality of the environment by contributing to the restoration or 
maintenance of the basic life-sustaining natural elements. If the 
application does not clearly disclose that the claimed invention 
materially enhances the quality of the environment by contributing to 
the restoration or maintenance of one of the basic life-sustaining 
natural elements, the petition must be accompanied by a statement 
signed by the applicant, assignee, or an attorney/agent registered to 
practice before the USPTO, in accordance with 37 CFR 1.33(b) explaining 
how the materiality standard is met. The materiality standard does not 
permit an applicant to speculate as to how a hypothetical end-user 
might specially apply the invention in a manner that could materially 
enhance the quality of the environment. Nor does such standard permit 
an applicant to enjoy the benefit of advanced examination merely 
because some minor aspect of the claimed invention may enhance the 
quality of the environment. See MPEP Sec.  708.02 (item V).
    III. Eligibility Requirements--Applications Pertaining to Energy 
Conservation, Development of Renewable Energy Resources, or Greenhouse 
Gas Emission Reduction: Patent applications are also eligible for the 
Green Technology Pilot Program if the applications are for inventions 
that materially contribute to: (1) The discovery or development of 
renewable energy resources; (2) the more efficient utilization and 
conservation of energy resources; or (3) the reduction of greenhouse 
gas emissions. The term ``renewable energy resources'' for purposes of 
the procedure specified in this notice includes hydroelectric, solar, 
wind, renewable biomass, landfill gas, ocean (including tidal, wave, 
current, and thermal), geothermal, and municipal solid waste, as well 
as the transmission, distribution, or other services directly used in 
providing electrical energy from these sources. The second category 
would include inventions relating to the reduction of energy 
consumption in combustion systems, industrial equipment, and household 
appliances. The third category listed above would include, but is not 
limited to, inventions that contribute to (1) advances in nuclear power 
generation technology, or (2) fossil fuel power generation or 
industrial processes with greenhouse gas-abatement technology (e.g., 
inventions that significantly improve safety and reliability of such 
technologies).
    The petition to make special for an application directed to 
development of renewable energy or energy conservation, or directed to 
greenhouse gas emission reduction, must state the basis for the special 
status (i.e., whether the invention materially contributes to (1) 
development of renewable energy resources or energy conservation, or 
(2) greenhouse gas emission reduction). If the application disclosure 
is not clear on its face that the claimed invention materially 
contributes to (1) development of renewable energy or

[[Page 64668]]

energy conservation, or (2) greenhouse gas emission reduction, the 
petition must be accompanied by a statement signed by the applicant, 
assignee, or an attorney/agent registered to practice before the USPTO, 
in accordance with 37 CFR 1.33(b) explaining how the materiality 
standard is met. The materiality standard does not permit an applicant 
to speculate as to how a hypothetical end-user might specially apply 
the invention in a manner that could materially contribute to (1) 
development of renewable energy or energy conservation, or (2) 
greenhouse gas emission reduction, nor does the standard permit an 
applicant to enjoy the benefit of advanced examination merely because 
some minor aspect of the claimed invention may be directed to (1) 
development of renewable energy or energy conservation, or (2) 
greenhouse gas emission reduction. See MPEP Sec.  708.02 (item VI).
    IV. Decision on Petition to Make Special Under the Green Technology 
Pilot Program: If applicant files a petition to make special under the 
Green Technology Pilot Program, the USPTO will decide on the petition 
once the application is in condition for examination. If the petition 
is granted, the application will be accorded special status under the 
Green Technology Pilot Program. The application will be placed on the 
examiner's special docket prior to the first Office action, and will 
have special status in any appeal to the BPAI and also in the patent 
publication process. The application, however, will be placed on the 
examiner's amended docket, rather than the examiner's special docket, 
after the first Office action (which may be an Office action containing 
only a restriction requirement).
    If applicant files a petition to make special under the Green 
Technology Pilot Program that does not comply with the requirements set 
forth in this notice, the USPTO will notify the applicant of the 
deficiency by issuing a notice and applicant will be given only one 
opportunity to correct the deficiency. If applicant still wishes to 
participate in the Green Technology Pilot Program, applicant must file 
a proper petition and make appropriate corrections within one month or 
thirty days, whichever is longer. The time period for reply is not 
extendable under 37 CFR 1.136(a). If applicant fails to correct the 
deficiency indicated in the notice within the time period set forth 
therein, the application will not be eligible for the Green Technology 
Pilot Program and the application will be taken up for examination in 
accordance with standard examination procedures.
    V. Requirement for Restriction: If the claims in the application 
are directed to multiple inventions, the examiner may make a 
requirement for restriction in accordance with current restriction 
practice prior to conducting a search. The examiner will contact the 
applicant and follow the procedure for the telephone restriction 
practice set forth in MPEP Sec.  812.01. Applicant must make an 
election without traverse in a telephonic interview, and elect an 
invention that meets the eligibility requirements in section II or III 
of this notice and that is classified in one of the U.S. 
classifications listed in section VI of this notice. See items 2 and 4 
of section I of this notice. If the examiner cannot reach the applicant 
after a reasonable effort or applicant refuses to make an election in 
compliance with item 4 of section I of this notice, the examiner will 
treat the first claimed invention that meets the requirements in 
section II or III and section VI as constructively elected without 
traverse for examination.
    VI. Classification Requirement: The classification requirement set 
forth in this section of the notice will assist the USPTO to balance 
the workload and gauge resources needed to achieve the goals of the 
Green Technology Pilot Program. The USPTO recognizes that certain 
patent applications pertaining to green technologies may be excluded by 
this requirement. After the twelve-month duration of the pilot program, 
the USPTO may extend the pilot program to include more classifications 
depending on the effectiveness of the pilot program and the resources 
availability.
    In order to be eligible for the Green Technology Pilot Program, the 
application must be classified in one of the U.S. patent 
classifications (``USPCs'') listed below at the time of examination. 
The classification descriptions are provided as helpful information, 
and they will not be used in determining whether an application is 
eligible. An applicant may suggest a classification for the 
application, but the applicant may not know the classification of the 
application at the time of filing a petition to make special under the 
Green Technology Pilot Program. The USPTO will determine whether this 
requirement is satisfied once the application is in condition for 
examination and the petition is being decided.
    The following is a list of the eligible classifications:

A. Alternative Energy Production

    1. Agricultural waste (USPC 44/589).
    2. Biofuel (USPC 44/605; 44/589).
    3. Chemical waste (USPC 110/235-259, 346).
    4. For domestic hot water systems (USPC 126/634-680).
    5. For passive space heating (USPC 52/173.3).
    6. For swimming pools (USPC 126/561-568).
    7. Fuel cell (USPC 429/12-46).
    8. Fuel from animal waste and crop residues (USPC 44/605).
    9. Gasification (USPC 48/197R, 197A).
    10. Genetically engineered organism (USPC 435/252.3-252.35, 254.11-
254.9, 257.2, 325-408, 410-431).
    11. Geothermal (USPC 60/641.2-641.5; 436/25-33).
    12. Harnessing energy from man-made waste (USPC 75/958; 431/5).
    13. Hospital waste (USPC 110/235-259, 346).
    14. Hydroelectric (USPC 405/76-78; 60/495-507; 415/25).
    15. Industrial waste (USPC 110/235-259, 346).
    16. Industrial waste anaerobic digestion (USPC 210/605).
    17. Industrial wood waste (USPC 44/589; 44/606).
    18. Inertial (e.g., turbine) (USPC 290/51, 54; 60/495-507).
    19. Landfill gas (USPC 431/5).
    20. Municipal waste (USPC 44/552).
    21. Nuclear power--induced nuclear reactions: processes, systems, 
and elements (USPC 376/all).
    22. Nuclear power--reaction motor with electric, nuclear, or 
radiated energy fluid heating means (USPC 60/203.1).
    23. Nuclear power--heating motive fluid by nuclear energy (USPC 60/
644.1) Photovoltaic (USPC 136/243-265).
    24. Refuse-derived fuel (USPC 44/552).
    25. Solar cells (USPC 438/57, 82, 84, 85, 86, 90, 93, 94, 96, 97).
    26. Solar energy (USPC 126/561-714; 320/101).
    27. Solar thermal energy (USPC 126/561-713; 60/641.8-641.15).
    28. Water level (e.g., wave or tide) (USPC 405/76-78; 60/495-507).
    29. Wind (USPC 290/44, 55; 307/64-66, 82-87; 415/2.1).

B. Energy Conservation

    1. Alternative-power vehicle (e.g., hydrogen) (USPC 180/2.1-2.2, 
54.1).
    2. Cathode ray tube circuits (USPC 315/150, 151, 199).
    3. Commuting, e.g., HOV, teleworking (USPC 705/13).
    4. Drag reduction (USPC 105/1.1-1.3; 296/180.1-180.5; 296/181.5).
    5. Electric lamp and discharge devices (USPC 313/498-512, 567-643).
    6. Electric vehicle (USPC 180/65.1; 180/65.21; 320/109; 701/22; 
310/1-310).
    7. Emission trading, e.g., pollution credits (USPC 705/35-45).

[[Page 64669]]

    8. Energy storage or distribution (USPC 307/38-41; 700/295-298; 
713/300-340).
    9. Fuel cell-powered vehicles (USPC 180/65.21; 180/65.31).
    10. Human-powered vehicle (USPC 180/205; 280/200-304.5).
    11. Hybrid-powered vehicle (USPC 180/65.21-65.29; 73/35.01-35.13, 
112-115, 116-119A, 121-132).
    12. Incoherent light emitter structure (USPC 257/79, 82, 88-90, 93, 
99-103).
    13. Land vehicle (USPC 105/49-61 (electric trains); 180/65.1-65.8 
(electric cars)).
    14. Optical systems and elements (USPC 359/591-598).
    15. Roadway, e.g., recycled surface, all-weather bikeways (USPC 
404/32-46).
    16. Static structures (USPC 52/309.1-309.17, 404.1-404.5, 424-442, 
783.1-795.1).
    17. Thermal (USPC 702/130-136).
    18. Transportation (USPC 361/19, 20, 141, 152, 218).
    19. Watercraft drive (electric powered) (USPC 440/6-7).
    20. Watercraft drive (human powered) (USPC 440/21-32).
    21. Wave-powered boat motors (USPC 440/9).
    22. Wind-powered boat motors (USPC 440/8).
    23. Wind-powered ships (USPC 114/102.1-115).

C. Environmentally Friendly Farming

    1. Alternative irrigation technique (USPC 405/36-51).
    2. Animal waste disposal or recycling (USPC 210/610-611; 71/11-30).
    3. Fertilizer alternative, e.g., composting (USPC 71/8-30).
    4. Pollution abatement, soil conservation (USPC 405/15).
    5. Water conservation (USPC 137/78.2-78.3; 137/115.01-115.28).
    6. Yield enhancement (USPC 504).

D. Environmental Purification, Protection, or Remediation

    1. Biodegradable (USPC 383/1; 523/124-128; 525/938; 526/914).
    2. Bio-hazard, Disease (permanent containment of malicious virus, 
bacteria, prion) (USPC 588/249-249.5).
    3. Bio-hazard, Disease (destruction of malicious virus, bacteria, 
prion) (USPC 588/299).
    4. Carbon capture or sequestration (USPC 95/139-140; 405/129.1-
129.95; 423/220-234).
    5. Disaster (e.g., spill, explosion, containment, or cleanup) (USPC 
405/129.1-129.95).
    6. Environmentally friendly coolants, refrigerants, etc. (USPC 252/
71-79).
    7. Genetic contamination (USPC 422/1-43).
    8. Hazardous or Toxic waste destruction or containment (USPC 588/1-
261).
    9. In atmosphere (USPC 95/57-81, 149-240).
    10. In water (USPC 210/600-808; 405/60).
    11. Landfill (USPC 405/129.95).
    12. Nuclear waste containment or disposal (USPC 588/1-20, 400).
    13. Plants and plant breeding (USPC 800/260-323.3).
    14. Post-consumer material (USPC 264/36.1-36.22, 911-921; 521/40-
49.8).
    15. Recovery of excess process materials or regeneration from waste 
stream (USPC 162/29, 189-191; 164/5; 521/40-49.8; 562/513).
    16. Recycling (USPC 29/403.1-403.4; 75/401-403; 156/94; 264/37.1-
37.33).
    17. Smokestack (USPC 110/345; 422/900).
    18. Soil (USPC 405/128.1-128.9, 129.1-129.95).
    19. Toxic material cleanup (USPC 435/626-282).
    20. Toxic material permanent containment or destruction (USPC 588/
all).
    21. Using microbes or enzymes (USPC 435/262.5).

    Dated: November 30, 2009.
David J. Kappos,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. E9-29207 Filed 12-7-09; 8:45 am]
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