[Federal Register Volume 86, Number 247 (Wednesday, December 29, 2021)]
[Rules and Regulations]
[Pages 73985-73986]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-28128]



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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. PTO-P-2020-0032]
RIN 0651-AD48


Electronic Submission of a Sequence Listing, a Large Table, or a 
Computer Program Listing Appendix in Patent Applications

AGENCY: United States Patent and Trademark Office, Department of 
Commerce.

ACTION: Final rule; correction.

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SUMMARY: The United States Patent and Trademark Office (USPTO or 
Office) makes corrections to a final rule published on October 14, 
2021, that amended the rules of practice to permit higher-capacity 
physical media to be submitted to the USPTO. This rule fixes 
typographical errors.

DATES: This rule is effective on December 29, 2021.

FOR FURTHER INFORMATION CONTACT: Mary C. Till, Senior Legal Advisor, 
Office of Patent Legal Administration, Office of the Deputy 
Commissioner for Patents, at [email protected]; or Ali Salimi, Senior 
Legal Advisor, Office of Patent Legal Administration, Office of the 
Deputy Commissioner for Patents, at [email protected].

SUPPLEMENTARY INFORMATION: On October 14, 2021, the USPTO published a 
final rule amending the rules of practice to permit higher-capacity 
physical media to be submitted to the USPTO (86 FR 57035). That final 
rule, which went into effect on November 15, 2021, contained two 
incorrect cross-references in 37 CFR 1.77 to the methods by which a 
sequence listing may be submitted to the USPTO. This final rule 
corrects those cross-references to avoid any confusion.
    Section 1.77(b)(13) is revised to reference Sec.  1.821(c)(2) for a 
``Sequence Listing'' that is submitted as a Portable Document Format 
(PDF) file via the USPTO patent electronic filing system and Sec.  
1.821(c)(3) for a ``Sequence Listing'' that is submitted on physical 
sheets of paper. The references published in the October 14, 2021, 
final rule--Sec.  1.821(c)(1)(ii) and Sec.  1.821(c)(1)(iii)--do not 
exist.

Rulemaking Considerations

A. Administrative Procedure Act

    This rulemaking corrects typographical errors in a rulemaking 
permitting higher-capacity physical media to be submitted to the USPTO. 
The changes in this rulemaking involve a rule of agency practice and 
procedure and/or an interpretive rule. See Perez v. Mortg. Bankers 
Ass'n, 135 S. Ct. 1199, 1204 (2015) (Interpretive rules ``advise the 
public of the agency's construction of the statutes and rules which it 
administers.'' (citation and internal quotation marks omitted)); Nat'l 
Org. of Veterans' Advocates v. Sec'y of Veterans Affairs, 260 F.3d 
1365, 1375 (Fed. Cir. 2001) (rule that clarifies interpretation of a 
statute is interpretive); Bachow Commc'ns Inc. v. FCC, 237 F.3d 683, 
690 (D.C. Cir. 2001) (Rules governing an application process are 
procedural under the Administrative Procedure Act.); Inova Alexandria 
Hosp. v. Shalala, 244 F.3d 342, 350 (4th Cir. 2001) (Rules for handling 
appeals were procedural where they did not change the substantive 
standard for reviewing claims.).
    Accordingly, prior notice and opportunity for public comment for 
the changes in this rulemaking are not required pursuant to 5 U.S.C. 
553(b) or (c), or any other law. See Perez, 135 S. Ct. at 1206 (Notice 
and comment procedures are required neither when an agency ``issue[s] 
an initial interpretive rule'' nor ``when it amends or repeals that 
interpretive rule.''); Cooper Techs. Co. v. Dudas, 536 F.3d 1330, 1336-
37 (Fed. Cir. 2008) (stating that 5 U.S.C. 553, and thus 35 U.S.C. 
2(b)(2)(B), do not require notice and comment rulemaking for 
``interpretative rules, general statements of policy, or rules of 
agency organization, procedure, or practice'' (quoting 5 U.S.C. 
553(b)(A))).
    In addition, the Director of the USPTO finds good cause under 5 
U.S.C. 553(b)(B) to waive the notice and comment requirements of the 
Administrative Procedure Act. As discussed above, the changes in this 
rulemaking involve correcting typographical errors in two cross-
references in the final rule published on October 14, 2021. These 
changes are administrative in nature and will have no substantive 
impact on the evaluation of a patent application. If this rule were 
delayed to allow for notice and comment, this would lead to confusion 
as to the sections intended to be cross-referenced.
    The Director of the USPTO also finds good cause under 5 U.S.C. 
553(d)(3) to waive the 30-day delay in effectiveness. As discussed 
above, the changes in this rulemaking involve correcting typographical 
errors in two cross-references in the final rule published on October 
14, 2021. These changes are administrative in nature and will have no 
substantive impact on the evaluation of a patent application. The 
purpose of a delay in effectiveness is to allow affected parties time 
to modify their behaviors, businesses, or practices to come into 
compliance with new regulations. This rule imposes no additional 
requirements on the affected entities. Therefore, the requirement for a 
30-day delay in effectiveness is not applicable, and the rule is made 
effective immediately upon publication.

B. Regulatory Flexibility Act

    As prior notice and an opportunity for public comment are not 
required pursuant to 5 U.S.C. 553 or any other law, neither a 
Regulatory Flexibility Act analysis nor a certification under the 
Regulatory Flexibility Act (5 U.S.C. 601 et seq.) is required. See 5 
U.S.C. 603.

C. Executive Order 12866 (Regulatory Planning and Review)

    This rulemaking has been determined to be not significant for 
purposes of Executive Order 12866 (Sept. 30, 1993).

D. Paperwork Reduction Act

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)) requires 
that the USPTO consider the impact of paperwork and other information 
collection burdens imposed on the public. The USPTO has determined that 
there are no new requirements for information collection associated 
with this final rule.

List of Subjects in 37 CFR Part 1

    Administrative practice and procedure, Biologics, Courts, Freedom 
of information, Inventions and patents, Reporting and recordkeeping 
requirements, Small businesses.

    For the reasons stated in the preamble and under the authority 
contained in 35 U.S.C. 2, as amended, the USPTO amends 37 CFR part 1 as 
follows:

PART 1--RULES OF PRACTICE IN PATENT CASES

0
1. The authority citation for part 1 continues to read as follows:

    Authority: 35 U.S.C. 2(b)(2), unless otherwise noted.


0
2. Amend Sec.  1.77 by revising paragraph (b)(13) to read as follows:


Sec.  1.77  Arrangement of application elements.

* * * * *
    (b) * * *
    (13) ``Sequence Listing,'' required by Sec.  1.821(c), that is 
submitted as a Portable Document Format (PDF) file (as set forth in 
Sec.  1.821(c)(2)) via the USPTO patent electronic filing system or on

[[Page 73986]]

physical sheets of paper (as set forth in Sec.  1.821(c)(3)).
* * * * *

Andrew Hirshfeld,
Commissioner for Patents, Performing the Functions and Duties of the 
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2021-28128 Filed 12-28-21; 8:45 am]
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