[Federal Register Volume 88, Number 39 (Tuesday, February 28, 2023)]
[Rules and Regulations]
[Pages 12560-12565]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03809]


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DEPARTMENT OF COMMERCE

Patent and Trademark Office

37 CFR Part 1

[Docket No. PTO-P-2021-0007]
RIN 0651-AD54


USPTO Officially Transitions to Issuing Electronic Patent Grants 
in 2023

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

ACTION: Final rule.

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SUMMARY: The United States Patent and Trademark Office (USPTO) is 
implementing electronic patent issuance to reduce pendency of patent 
applications, foster a green economy by reducing paper waste, and 
permit complete issued patents to be viewable and printable by both the 
applicants as well as the public immediately upon issuance in Patent 
Center, the USPTO's electronic patent application filing and management 
system. Patent grants will no longer be issued on paper, and as a 
result, they will no longer be mailed to the correspondence address of 
record as part of the patent issuance process. During a transition 
period, the USPTO will provide a paper copy of the electronic patent 
grant as a courtesy ceremonial copy, delivered to the patentee's 
correspondence address of record. After the transition period, a 
selection of patent grant copies, including the ceremonial copy, will 
be available for purchase at a nominal charge. The electronic patent 
grant will be the official statutory patent grant.

DATES: This rule is effective on April 18, 2023.

FOR FURTHER INFORMATION CONTACT: Matthew Sked, Senior Legal Advisor, 
Office of Patent Legal Administration, Office of the Deputy 
Commissioner for Patents, at 571-272-7627. For technical questions, 
contact the Patent Electronic Business Center (EBC) at 1-866-217-9197 
(toll-free), 571-272-4100 (local), or [email protected]. The EBC is open 
from 6 a.m. to midnight ET, Monday through Friday.

SUPPLEMENTARY INFORMATION: 

Background

    The USPTO will begin issuing and publishing patent grants 
electronically via the USPTO's electronic patent application filing and 
management system, Patent Center.\1\ By doing so, the USPTO is 
continuing with its efforts to move to fully electronic processing of 
patent applications.
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    \1\ References to Patent Center herein refer to Patent Center 
and any updated document viewing systems that may replace Patent 
Center in the future.
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    One of the specific powers granted to the USPTO by 35 U.S.C. 
2(b)(1) is to ``adopt and use a seal of the Office, which shall be 
judicially noticed and with which letters patent . . . issued by the 
Office shall be authenticated.'' Currently, the USPTO issues ``letters 
patent'' (hereafter, patents) as paper patents under the seal of the 
USPTO. These paper patents are bound with a cover sheet that has both 
an embossed seal and the signature of the USPTO Director. Beginning on 
the effective date of this final rule, the USPTO will issue patents 
electronically under a new digital USPTO seal and bearing the digital 
signature from the USPTO Director. The patents will be available to 
applicants and the public via Patent Center upon patent issuance. In 
Patent Center, a patentee and the public will be able to view and print 
the patent, including the cover sheet, front page, drawings, 
specification, and claims.
    In order to implement electronic patent issuance, the USPTO is 
removing and reserving 37 CFR 1.315, which states that ``[t]he patent 
will be delivered or mailed upon issuance to the correspondence address 
of record.'' Because patents will be issued electronically rather than 
on paper, the USPTO will no longer physically deliver the patent grant 
by mailing it to the correspondence address. Instead, the

[[Page 12561]]

USPTO will issue the patent electronically via Patent Center.\2\
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    \2\ Since Patent Center will fully replace Private PAIR in the 
future, the issued patent will not be available in Private PAIR.
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    On August 1, 2022, the USPTO replaced the legacy Public Patent 
Application Information Retrieval tool (Public PAIR) with Patent Center 
for electronic filing and management of patent applications. Patent 
Center has a private view and a public view. The public view provides 
any member of the public access to a display of the information 
contained in applications that have been patented, published, or 
otherwise made available pursuant to 37 CFR 1.14. The public view does 
not provide public access to non-patent literature or information 
concerning applications that are maintained in confidence under 35 
U.S.C. 122(a). In private view, an authorized registered user may 
access a display of the information contained in their application, 
regardless of whether it is being maintained in confidence under 35 
U.S.C. 122(a) or has been published under 35 U.S.C. 122(b). To access 
the private view of Patent Center, the registered user must sign in 
using a two-step authentication process for secure communication with 
the USPTO. For further information, contact the Customer Support Center 
of the EBC via the methods described above in the information contact 
section.
    In continuing its efforts to streamline service delivery processes, 
the USPTO is implementing electronic patent issuance and providing 
access to patents in Patent Center.
    I. Previous Paper Patent Issuance Process: Under the previous 
patent issuance process, electronic capture of the information needed 
to issue a patent began shortly after mailing the notice of allowance. 
Generally, an Issue Notification is mailed several weeks prior to the 
issue date to inform the applicant of the patent number and issue date. 
The Issue Notification is also available electronically in Patent 
Center. The paper patent (including its cover sheet) was then prepared 
and mailed to the patentee. On the issue date, the USPTO's Official 
Gazette publication included the patent number, title of the patent, 
names and residences of the inventors, the applicant, the assignee (if 
applicable), the filing and priority dates, the text of the first claim 
of the patent, the total number of claims in the patent, and the 
representative figure (if applicable). Upon issuance of a paper patent, 
a copy of the patent (without its cover sheet) was available for 
viewing and printing by the public on the USPTO's website at 
www.uspto.gov/patents/search.
    II. Electronic Patent Issuance Process: Electronic patent 
publication will result in electronic patent issuance under the USPTO 
seal including the Director's digital signature shortly after the 
patent number and issue date are assigned, which will result in the 
reduction of pendency for allowed patent applications. Applicants and 
the public will benefit from having access to the patent at an earlier 
time. Patentees will be able to view and print their electronically 
issued patents (including their cover sheets) through Patent Center, 
rather than waiting for their paper patent to arrive by mail. The USPTO 
will make electronic patent grants available in both the public and 
private views of Patent Center on the issue date. Therefore, the public 
will also be able to view the official electronic patent grant 
(including its cover sheet).
    Additionally, the USPTO will continue to print the detailed patent 
information in the Official Gazette and make the patent available at 
www.uspto.gov/patents/search on the issue date.
    Patentees may exercise the legal rights granted by the patent 
without physical possession of the patent because the patent right 
exists independently of the physical possession of the patent. See 
Changes to Support Implementation of the United States Patent and 
Trademark Office 21st Century Strategic Plan, 69 FR 56481, 56521 (Sept. 
21, 2004); 1287 Off. Gaz. Pat. Office 67, 98 (Oct. 12, 2004). 
Furthermore, patentees, who want a copy of the electronically issued 
patent, will be able to access patent grants through Patent Center and 
print the patent at no additional charge.
    The USPTO will issue the patent shortly after the payment of the 
issue fee. As a result, applicants will have less time, after the 
payment of the issue fee, to file continuing applications, Quick Path 
Information Disclosure Statements, or petitions under 37 CFR 1.313(c) 
to withdraw an application from issue. Therefore, the best practice 
would be for applicants to file these submissions as early as possible. 
Preferably, continuing applications should be filed before the payment 
of the issue fee. See Manual of Patent Examining Procedure (9th ed. 
Rev. 10.2019) (MPEP) sec. 211.01(b)(I).
    Patents will be issued on a Tuesday shortly after the patent number 
is assigned. Issue Notifications will be available electronically via 
Patent Center after the payment of the issue fee, usually on the 
Wednesday or Thursday before the patent issues. For those applicants 
who participate in the e-Office action program, the USPTO emails 
notification of the Issue Notification to the applicant's designated 
email address. For more information regarding the e-Office action 
program, see Electronic Office Action, 1342 Off. Gaz. Pat. Office 45 
(June 2, 2009). For those who do not participate in the e-Office action 
program, the USPTO foresees the possibility that a patent may issue 
electronically before the applicant receives a mailed Issue 
Notification. The USPTO encourages applicants to use the e-Office 
action program to avoid this possibility. Alternatively, once an issue 
fee has been paid, the application should be diligently monitored for 
assignment of a patent number and issue date.
    III. Electronic Patent Grant May Be Viewed and Printed Via Patent 
Center: The USPTO will upload the patent (including its cover sheet) 
electronically, thereby making the patent available to the patentee and 
the public through Patent Center. Patentees and the public will be able 
to print an unlimited number of copies of the electronically issued 
patent (including its cover sheet in color and any color drawings) at 
no charge through Patent Center on or after the issue date of the 
patent. Additionally, the electronically issued patent will provide the 
patentee greater control and flexibility in printing their issued 
patent.
    IV. Cover Sheet of Electronic Patent Grant: The electronic patent 
grant cover sheet will be nearly identical in appearance to the cover 
sheets currently used for paper patents, except that the seal and 
Director's signature will be in digital form. Importantly, the digital 
seal and electronic signature of the Director on the electronic patent 
grant cover sheet will be in conformance with 35 U.S.C. 153, which 
requires that patents be issued ``under the seal of the Patent and 
Trademark Office, and shall be signed by the Director or have [her or] 
his signature placed thereon and shall be recorded in the Patent and 
Trademark Office.'' The new seal will not simply be an electronic 
image, but rather an official USPTO seal in digital form that serves to 
authenticate the patent, in conformance with 35 U.S.C. 2(b)(1). An 
encrypted digital signature that may be used to validate the electronic 
patent document as the issued patent will be embedded within the seal.
    V. Elimination of Advance Copies: Under electronic patent issuance, 
the USPTO will no longer accept orders for Advance copies of issued 
patents. Advance copies were unbound and unsealed and printed on 
regular 8.5'' by

[[Page 12562]]

11'' copy paper. The USPTO typically received 100-200 orders per week 
for Advance copies when patents were issued on paper. As previously 
mentioned, any electronically issued patent, including its cover sheet, 
may be printed directly through Patent Center, making the option for 
ordering Advance copies obsolete. Accordingly, the Issue Fee 
Transmittal form, PTOL-85B, will be revised to eliminate the option for 
ordering Advance copies of patents.
    VI. Transition Period: Once the USPTO begins issuing patents 
electronically via Patent Center, it will, concurrently during a 
transition period, and in addition to the electronic patent grant, mail 
a ceremonial paper copy (see Section VII) of the issued patent to the 
correspondence address of record, free-of-charge. The ceremonial paper 
copy will be mailed shortly after the patent is issued. During and 
after this transition period, the electronic patent grant is the 
official patent grant under 35 U.S.C. 153. The ceremonial paper copy is 
provided as a courtesy. No requests for additional ceremonial paper 
copies will be entertained during this transition period, though 
presentation copies will continue to be available for a fee. A 
presentation copy is a certified copy of the first page of an issued 
patent, and has a unique certification statement with a special ribbon 
and seal, and is suitable for framing and display.
    The duration of the transition period is not determined, but the 
public will be provided prior notice of when the transition period 
ends. After the transition period, the USPTO will offer the 
presentation copy, certified copy, and ceremonial copy, each for a 
nominal fee.
    VII. Ceremonial Paper Copy: The USPTO will provide patentees a 
ceremonial paper copy of the patent during the transition period, free 
of charge. The ceremonial paper copy will be a copy of the 
electronically issued patent reminiscent of the paper patents, bound 
with a cover sheet with both an embossed seal and the signature of the 
USPTO Director. The ceremonial paper copy will indicate that this is a 
ceremonial copy of a patent that was officially issued in electronic 
form. As explained above, the ceremonial paper copy will be provided 
free-of-charge during the transition period as a temporary courtesy.
    In addition to the ceremonial paper copy, the USPTO will still 
offer certified copies in accordance with 37 CFR 1.13 as well as 
presentation copies. The certified copies and presentation copies may 
be ordered for a fee. As explained above, the presentation copy is a 
certified copy of the first page of an issued patent, and has a unique 
certification statement with a special ribbon and seal, and is suitable 
for framing and display. For further information, visit the USPTO 
Certified Copy Center web page at https://certifiedcopycenter.uspto.gov/.
    The ceremonial paper copy will be available for purchase for a 
nominal fee after the transition period, in addition to the 
presentation copy and certified copy. Further information on how the 
ceremonial copy can be requested after the transition period ends and 
the corresponding fee will be provided at a future time.

Comments and Responses

    The USPTO published proposed changes to the rules of practice to 
implement electronic patent issuance. See Electronic Patent Issuance, 
86 FR 71209 (2021). In response to the notice of proposed rulemaking, 
the USPTO received twenty-one comments from a diverse group of 
stakeholders. The USPTO received two comments from intellectual 
property (IP) organizations, two from law firms, thirteen from 
individuals, and four anonymously. Overall, most of the comments were 
supportive of implementing electronic patent issuance, but included 
specific suggestions and questions. The comments and the USPTO's 
responses thereto follow:

Opposition

    Comment 1: Some comments argue that the USPTO should not implement 
electronic patent issuance. The comments state that the paper bound 
copy has sentimental value for small companies and independent 
inventors that an electronic document from the internet would not 
provide. Several comments had the opposing view and support the USPTO's 
implementation of electronic patent issuance pointing to the cost and 
time savings for the USPTO and applicants and the potential positive 
environmental impact.
    Response: The USPTO believes electronic patent issuance will 
provide various benefits for the USPTO as well as stakeholders. For 
example, electronic patent issuance should reduce pendency of patent 
applications and permit granted patents to be viewable and printable by 
both the applicant as well as the public in Patent Center at an earlier 
time. While the USPTO appreciates the concerns raised by the comments 
opposing electronic patent issuance, the USPTO believes the ceremonial 
paper copy of the electronic grant offered as a courtesy during the 
transition period, and the presentation copy, certified copy, and 
ceremonial copy that will continue to be available for nominal fees 
after the transition period, will alleviate many of the issues raised. 
The ceremonial copy provides customers a patent copy that resembles the 
previous paper patents to bestow upon applicants a symbolic recognition 
of their achievement.
    Comment 2: Some comments suggest providing applicants the option to 
have the patent issue electronically or to issue physically in paper.
    Response: It would be against the public interest to issue patents 
in multiple formats. Historically, the USPTO has only issued patents in 
a single format, as paper patents. The USPTO would incur significantly 
more costs to have two different procedures for issuing patents in 
electronic and physical formats and the increased costs would be passed 
to patent applicants. In addition, the option would increase patent 
pendency for applications issued as paper patents compared to the 
electronic patents.

Paper Copy

    Comment 3: Multiple comments requested that the USPTO provide the 
applicant the option for a bound paper copy of the patent grant. Some 
comments pointed out that the symbolic nature of the paper patent grant 
today is very special for many applicants and inventors, especially 
individual inventors and small companies. One comment remarked that the 
bound printed patent is a powerful tool in negotiation and potential 
litigation with competitors.
    Response: The USPTO will provide patentees a ceremonial paper copy 
of the issued patent during the transition period as a courtesy, free 
of charge. The ceremonial paper copy resembles the paper patent that 
the USPTO traditionally provided to patent applicants as the issued 
patent. The ceremonial paper copy will be bound with a cover sheet with 
both an embossed seal and the signature of the USPTO Director. Further, 
the patentee will still be able to order presentation copies and 
certified copies of the patent for a fee. As described above, a 
presentation copy is a certified copy of the first page of an issued 
patent, and has a unique certification statement with a special ribbon 
and seal, and is suitable for framing and display. The ceremonial paper 
copy will be available for purchase for a nominal fee after the 
transition period, in addition to the presentation copy and certified 
copy.
    Comment 4: Some comments noted that the current presentation and 
certified copies do not provide the same sentimental value that a bound 
paper

[[Page 12563]]

grant provides. Therefore, the current presentation and certified 
copies are not a meaningful substitute for the bound paper grant.
    Response: During the transition period, a ceremonial paper copy 
will be provided as a courtesy, free of charge. The ceremonial paper 
copy will be available for purchase for a nominal fee after the 
transition period, in addition to the presentation copy and certified 
copy. The ceremonial paper copy will resemble the paper patents that 
are being replaced by electronic patent grants and contain features not 
available in the presentation and certified copies. The ceremonial 
paper copy will be bound with a cover sheet that has both an embossed 
seal and the signature of the USPTO Director. Accordingly, the USPTO 
believes that offering the ceremonial copy, in addition to the 
presentation and certified copies, will meet our stakeholders' diverse 
needs.
    Comment 5: Some comments suggest an applicant could ``opt in'' or 
``opt out'' of additionally receiving a printed bound paper grant by 
checking a box on the Issue Fee Transmittal.
    Response: During the transition period, the USPTO will provide a 
ceremonial paper copy of the patent to all patentees as a courtesy, 
free of charge. The ceremonial paper copy will be available for 
purchase for a nominal fee after the transition period, in addition to 
the presentation copy and certified copy. After the transition period, 
the USPTO will provide guidance on how paper copies can be requested.
    Comment 6: One comment suggests that the bound paper copy of the 
patent is needed in certain foreign countries to prove they have a 
patent.
    Response: The comment has not specifically identified any 
particular country that requires the paper patent to show proof of 
patenting, and the USPTO is not aware of any country with such a 
requirement. Certified copies of the patent grant may be ordered from 
the Certified Copy Center.
    Comment 7: One comment requested that when the applicant chooses to 
receive a bound paper copy of the patent, the USPTO permit the 
applicant to specify a ``Paper Patent Address'' where the bound paper 
copy would be sent. This would reduce time and costs for law firms that 
act as the correspondence address from having to receive and re-mail 
the bound paper copy.
    Response: According to 37 CFR 1.33(a), all USPTO correspondence, 
including the paper patent grants, are directed to the correspondence 
address of record. The USPTO will continue this practice for mailing 
the ceremonial paper copies during the transition period.

Fees

    Comment 8: Several comments suggested the USPTO charge a fee for a 
bound paper copy of the patent grant. Alternatively, some comments 
suggested that due to the cost savings of implementing electronic 
patent issuance the bound paper copy should be offered free of charge 
or subject to small and micro entity discounts.
    Response: During the transition period, the USPTO will not charge a 
fee for the ceremonial paper copy. The ceremonial paper copy will be 
available for purchase for a nominal fee after the transition period, 
in addition to the presentation copy and certified copy.
    Comment 9: Several comments requested the USPTO reduce the issue 
fee payment to account for the cost savings of no longer printing the 
bound paper grant. Some comments suggest a tiered issue fee structure 
where applicants who choose not to receive a bound paper copy will pay 
a lower issue fee.
    Response: Section 10 of the America Invents Act, Public Law 112-29, 
125 Stat. 284, as amended by Public Law 115-273, 132 Stat. 4158 (the 
SUCCESS Act) prescribes that fees may be set or adjusted only to 
recover the aggregate estimated costs for the USPTO for processing, 
activities, services, and materials relating to patents, including 
administrative costs of the USPTO with respect to such patent fees. 
Therefore, fees charged by the USPTO, including the issue fee, are not 
itemized to recover the specific cost for which they are charged. 
Instead, they are designed such that the fees in total recover the 
aggregate costs. The USPTO will continue to ensure compliance with the 
SUCCESS Act.

Continuation Practice

    Comment 10: Some comments argue the time between the Issue 
Notification and patent issuance should not be shortened because it 
leaves too little time to determine a continuation filing strategy. The 
comments make several additional arguments including: the additional 
two weeks of pendency is minor given the entire length of prosecution, 
the shortened period will cause more applicants to file continuing 
applications with dummy claims, small businesses and independent 
inventors do not commonly make the decision to file a continuing 
application until after the Issue Notification, the change will result 
in some entities not pursuing continuing applications, increases the 
stress on legal support staff, and may cause unintended issues with 
foreign applicants who may not be able to comply with the truncated 
timeline. In contrast, some comments state that the shortened time 
period to file a continuing application is a minor burden and 
applicants will quickly adjust to the new timeline.
    Response: The USPTO is under a statutory obligation to issue 
patents as timely as possible. See 35 U.S.C. 154. Therefore, the USPTO 
is taking steps to reduce the pendency of applications, as warranted. 
In implementing electronic patent issuance, the USPTO is able to reduce 
the time to issuance. Delaying issuance to counteract this time savings 
because applicant may possibly choose to file a continuing application 
is not in accordance with the statutory directive. The USPTO 
appreciates this may cause a change in some applicant's practice, but 
agrees with the comments that state that applicants will adapt to the 
new timeline. Applicants should file their continuing applications as 
early as possible, preferably prior to payment of the issue fee to 
avoid any loss of rights.
    Comment 11: One comment asks whether the copendency requirements of 
MPEP 211.01(b) will still be valid such that the later-filed 
application may claim benefit to a prior filed nonprovisional 
application on the date of electronic patent issuance of the prior 
filed application. The comment goes on to also ask if there will be a 
time associated with the electronic patent issuance and will this 
publication time affect the ``1 year or less'' and ``before'' 
exceptions under 35 U.S.C. 102 now that the exact time of filing and 
publication times would be known.
    Response: In order to claim the benefit of an earlier filed 
application in the United States, the continuing application must be 
filed ``before the patenting or abandonment or termination of 
proceedings on the first application.'' 35 U.S.C. 120. This requirement 
has been interpreted such that the continuing application is copending 
if it is filed on the same date or before the date the earlier filed 
application issues as a patent. See Immersion Corp. v. HTC Corp., 826 
F.3d 1357, 1359, 119 USPQ2d 1083, 1084 (Fed Cir. 2016). The USPTO is 
not making any changes that would impact this statutory construction. 
Additionally, the electronic patent grant will include an issue date, 
but it will not include an issue time. Therefore, there will be no 
impact on 35 U.S.C. 120.
    Comment 12: One comment requests the USPTO create a fixed and 
definite time period a patent will issue after

[[Page 12564]]

payment of issue fee. The comment also asks the USPTO to address what 
happens when a patent electronically issues on a holiday or weekend for 
purposes of pendency with respect to filing continuing applications.
    Response: There are numerous factors that impact the issue date of 
a patent (e.g., data capture processing, post allowance amendments, 
timing of issue fee payment, etc.). Therefore, it is difficult for the 
USPTO to create a fixed time for issuance. Consistent with current 
practice, applicants will be provided the projected issuance date on 
the Issue Notification. The USPTO encourages applicants to use the e-
Office action program to ensure receipt of the Issue Notification prior 
to issuance of the patent. Patents will continue to issue weekly on 
Tuesdays, therefore, there will be no changes for purposes of filing 
continuing applications.

Electronic Document Issuance

    Comment 13: Some comments request the USPTO electronically issue 
certificates of correction similar to patent grants. Another comment 
asks how certificates of correction will be issued. Other comments 
suggest the USPTO extend the electronic issuance to other post-issuance 
patent documents including reexamination certificates.
    Response: At this time, certificates of correction will continue to 
issue by mailing the certificate of correction to the correspondence 
address of record. However, the USPTO is making efforts to also issue 
certificates of corrections electronically via Patent Center with the 
electronic patent grant. The USPTO will provide public notice before 
these certificates are issued electronically. As for post-issuance 
patent documents, the USPTO will continue to explore the feasibility of 
providing these documents electronically as well.
    Comment 14: Some comments ask the USPTO to make certified copies of 
U.S. applications as filed available electronically in Patent Center 
rather than providing such requested certified copies as paper copies 
or on CD-ROM.
    Response: The USPTO has no plans to make certified copies available 
electronically beyond the current practice of using CD-ROM media. The 
USPTO may consider this in the future as it continues to move to 
beginning-to-end electronic processing of patent applications.

Rulemaking Considerations

A. Administrative Procedure Act

    The changes in this rulemaking involve rules of agency practice and 
procedure, and/or interpretive rules. See 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 are procedural where they do not change the 
substantive standard for reviewing claims); 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).
    Accordingly, prior notice and opportunity for public comment for 
the changes in this rulemaking were not required pursuant to 5 U.S.C. 
553(b) or (c), or any other law. See 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))). However, the USPTO chose to seek public comment before 
implementing the rule to benefit from the public's input.

B. Regulatory Flexibility Act

    For the reasons set forth herein, the Senior Counsel for Regulatory 
and Legislative Affairs of the USPTO has certified to the Chief Counsel 
for Advocacy of the Small Business Administration that this rule will 
not have a significant economic impact on a substantial number of small 
entities. See 5 U.S.C. 605(b).
    The USPTO is amending the rules of practice to implement electronic 
publication, that is, issuing patents electronically through the 
USPTO's Patent Center rather than mailing a copy of the patent to the 
correspondence address on record. Patentees would then be able to print 
a copy of the issued patent in its entirety, including the cover sheet 
that matches the color and design currently used for patent grants on 
paper, directly from Patent Center.
    This change is procedural and is not expected to have a direct 
economic impact on small entities. The discontinuation of the paper 
patent grant is not expected to impact the ability of a patent owner to 
exercise their patent rights as a paper patent grant is not necessary 
to enforce or license a patent. Once issued, the paper patent grant is 
merely commemorative. Under electronic patent issuance, patent owners 
will be able to access their granted patent at any time. This includes 
the ability to print their own hard copy. Only when a patent owner 
would like the Office to print them a hard copy would any additional 
fee need to be paid (i.e., for a presentation copy or certified copy 
for submission to a legal proceeding). The additional fees for 
presentation and certified copies already exist today and would remain 
unchanged under this final rule. Therefore, for the reasons above, the 
changes in this final rule are not expected to negatively impact small 
entities.

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. Executive Order 13563 (Improving Regulation and Regulatory Review)

    The USPTO has complied with Executive Order 13563 (Jan. 18, 2011). 
Specifically, to the extent feasible and applicable, the USPTO has: (1) 
reasonably determined that the benefits of the rule justify its costs; 
(2) tailored the rule to impose the least burden on society consistent 
with obtaining the agency's regulatory objectives; (3) selected a 
regulatory approach that maximizes net benefits; (4) specified 
performance objectives; (5) identified and assessed available 
alternatives; (6) involved the public in an open exchange of 
information and perspectives among experts in relevant disciplines, 
affected stakeholders in the private sector, and the public as a whole, 
and provided online access to the rulemaking docket; (7) attempted to 
promote coordination, simplification, and harmonization across 
Government agencies and identified goals designed to promote 
innovation; (8) considered approaches that reduce burdens while 
maintaining flexibility and freedom of choice for the public; and (9) 
ensured the objectivity of scientific and technological information and 
processes.

E. Executive Order 13132 (Federalism)

    This rulemaking does not contain policies with federalism 
implications sufficient to warrant preparation of a Federalism 
Assessment under Executive Order 13132 (Aug. 4, 1999).

F. Executive Order 13175 (Tribal Consultation)

    This rulemaking will not (1) have substantial direct effects on one 
or more Indian tribes, (2) impose substantial direct compliance costs 
on Indian tribal governments, or (3) preempt tribal law. Therefore, a 
tribal summary impact

[[Page 12565]]

statement is not required under Executive Order 13175 (Nov. 6, 2000).

G. Executive Order 13211 (Energy Effects)

    This rulemaking is not a significant energy action under Executive 
Order 13211 because this rulemaking is not likely to have a significant 
adverse effect on the supply, distribution, or use of energy. 
Therefore, a Statement of Energy Effects is not required under 
Executive Order 13211 (May 18, 2001).

H. Executive Order 12988 (Civil Justice Reform)

    This rulemaking meets applicable standards to minimize litigation, 
eliminate ambiguity, and reduce burden as set forth in sections 3(a) 
and 3(b)(2) of Executive Order 12988 (Feb. 5, 1996).

I. Executive Order 13045 (Protection of Children)

    This rulemaking does not concern an environmental risk to health or 
safety that may disproportionately affect children under Executive 
Order 13045 (Apr. 21, 1997).

J. Executive Order 12630 (Taking of Private Property)

    This rulemaking will not effect a taking of private property or 
otherwise have taking implications under Executive Order 12630 (Mar. 
15, 1988).

K. Congressional Review Act

    Under the Congressional Review Act provisions of the Small Business 
Regulatory Enforcement Fairness Act of 1996 (5 U.S.C. 801 et seq.), the 
USPTO will submit a report containing the final rule and other required 
information to the United States Senate, the United States House of 
Representatives, and the Comptroller General of the Government 
Accountability Office. The changes in this rulemaking are not expected 
to result in an annual effect on the economy of $100 million or more, a 
major increase in costs or prices, or significant adverse effects on 
competition, employment, investment, productivity, innovation, or the 
ability of United States-based enterprises to compete with foreign-
based enterprises in domestic and export markets. Therefore, this 
rulemaking is not expected to result in a ``major rule'' as defined in 
5 U.S.C. 804(2).

L. Unfunded Mandates Reform Act of 1995

    The changes set forth in this rulemaking do not involve a Federal 
intergovernmental mandate that will result in the expenditure by State, 
local, and tribal governments, in the aggregate, of $100 million (as 
adjusted) or more in any one year, or a Federal private sector mandate 
that will result in the expenditure by the private sector of $100 
million (as adjusted) or more in any one year, and will not 
significantly or uniquely affect small governments. Therefore, no 
actions are necessary under the provisions of the Unfunded Mandates 
Reform Act of 1995. See 2 U.S.C. 1501 et seq.

M. National Environmental Policy Act of 1969

    This rulemaking will not have any effect on the quality of the 
environment and is thus categorically excluded from review under the 
National Environmental Policy Act of 1969. See 42 U.S.C. 4321 et seq.

N. National Technology Transfer and Advancement Act of 1995

    The requirements of section 12(d) of the National Technology 
Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) are not 
applicable because this rulemaking does not contain provisions that 
involve the use of technical standards.

O. Paperwork Reduction Act of 1995

    The Paperwork Reduction Act of 1995 (44 U.S.C. 3501) requires that 
the USPTO consider the impact of paperwork and other information 
collection burdens imposed on the public. This rule does not involve an 
information collection requirement that is subject to review by the 
Office of Management and Budget under the Paperwork Reduction Act of 
1995.

P. E-Government Act Compliance

    The USPTO is committed to compliance with the E-Government Act to 
promote the use of the internet and other information technologies, to 
provide increased opportunities for citizen access to Government 
information and services, and for other purposes.

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.


Sec.  1.315  [Removed and Reserved]

0
2. Section 1.315 is removed and reserved.

Katherine K. Vidal,
Under Secretary of Commerce for Intellectual Property and Director of 
the United States Patent and Trademark Office.
[FR Doc. 2023-03809 Filed 2-27-23; 8:45 am]
BILLING CODE 3510-16-P