USPTO發出最終核駁後的回應筆記

本篇筆記AA（advisory action）一些事項。

一般可知，接獲Final Office Action後，可於USPTO發出OA後兩個月內提交修正或答辯書，此時USPTO將於第三個月內發出AA（諮詢意見）或直接發出核准通知（notice of allowance），以AA為例，會針對提交的修正或答辯書回應：可核准但應修正、審查委員依職權修正（以下有範例）、不准應提RCE、Appeal或修正，或有新議題(new issue)應提RCE等意見。

舉例來說，當申請人在接獲最終審查意見（Final Office Action）之後兩個月內回覆USPTO（一般狀況是未提RCE，要等AA），審查委員應於第3個月終了之前發出Advisory Action，所謂"shortened statutory period"就是發出Final Office Action的3個月。若審查委員在此狀況下並未及時在第3個月發出Advisory Action，所謂"shortened statutory period"就算到AA發出的那天，也就是AA發出隔天才算延期費。但回覆Final Office Action總的期限仍不能超過發出日（mailing date）後6個月。

"3次Advisory Action"案例：

申請號：12/103,418

---申請人於FOA後2個月內回覆，USPTO於隔月發出AA---

03-02-2015 Advisory Action

03-02-2015 Amendment After Final or under 37CFR 1.312, initialed by the examiner

02-16-2015 Response After Final Action

01-16-2015 Final Rejection

申請人在未提出RCE的情況下提交修正，USPTO回應AA包括"有效意見"，審委考量了申請人提交的修正內容，也回應一大篇，只是仍不准專利。

---申請人於FOA後第2個月最後一天回覆，USPTO隔月發出AA---

01-24-2014 Request for Continued Examination (RCE)

01-17-2014 Advisory Action

01-17-2014 Amendment After Final or under 37CFR 1.312, initialed by the examiner

12-30-2013 Amendment Submitted/Entered with Filing of CPA/RCE

10-30-2013 Final Rejection

申請人提交修正後（未提RCE），AA中表示USPTO考量後仍維持原核駁意見。之後申請人提出RCE。

---申請人於FOA後2個月內回覆，USPTO在1個月內發出AA---

08-04-2010 Request for Continued Examination (RCE)

07-29-2010 Advisory Action

07-29-2010 Amendment After Final or under 37CFR 1.312, initialed by the examiner

07-13-2010 Amendment Submitted/Entered with Filing of CPA/RCE

05-14-2010 Final Rejection

審委在AA中表示申請人提交的修正並未論述112(a)(b)議題，關於103的意見需要進一步考量（暗示要提RCE），特別的是，申請人在本次修正刪除了請求項中步驟編號(a)(b)...，這部分被認為是放大專利範圍～

其他參考：

- MPEP 706.07(f) Time for Reply to Final Rejection（https://enpan.blogspot.com/2009/01/mpep-70607f-time-for-reply-to-final.html）

- AA的Q&A筆記（https://enpan.blogspot.com/2020/03/aaq.html）

- 諮詢意見後的修正建議（https://enpan.blogspot.com/2015/01/blog-post_35.html）

USPTO資料：https://www.uspto.gov/web/offices/pac/mpep/s710.html

710.02(e) Extension of Time

...

I. FINAL REJECTION — TIME FOR REPLY

If an applicant initially replies within 2 months from the date of mailing of any final rejection setting a 3-month shortened statutory period for reply and the Office does not mail an advisory action until after the end of the 3-month shortened statutory period, the period for reply for purposes of determining the amount of any extension fee will be the date on which the Office mails the advisory action advising applicant of the status of the application, but in no event can the period extend beyond 6 months from the date of the final rejection. This procedure applies only to a first reply to a final rejection. The following language must be included by the examiner in each final rejection.

A SHORTENED STATUTORY PERIOD FOR REPLY TO THIS FINAL ACTION IS SET TO EXPIRE THREE MONTHS FROM THE DATE OF THIS ACTION. IN THE EVENT A FIRST REPLY IS FILED WITHIN TWO MONTHS OF THE MAILING DATE OF THIS FINAL ACTION AND THE ADVISORY ACTION IS NOT MAILED UNTIL AFTER THE END OF THE THREE-MONTH SHORTENED STATUTORY PERIOD, THEN THE SHORTENED STATUTORY PERIOD WILL EXPIRE ON THE DATE THE ADVISORY ACTION IS MAILED, AND ANY EXTENSION FEE PURSUANT TO 37 CFR 1.136(a) WILL BE CALCULATED FROM THE MAILING DATE OF THE ADVISORY ACTION. IN NO EVENT WILL THE STATUTORY PERIOD FOR REPLY EXPIRE LATER THAN SIX MONTHS FROM THE DATE OF THIS FINAL ACTION.

For example, if applicant initially replies within 2 months from the date of mailing of a final rejection and the examiner mails an advisory action before the end of 3 months from the date of mailing of the final rejection, the shortened statutory period will expire at the end of 3 months from the date of mailing of the final rejection. In such a case, if a petition for extension of time is granted, the due date for a reply is computed from the date stamped or printed on the Office action with the final rejection. See MPEP § 710.01(a). If the examiner, however, does not mail an advisory action until after the end of 3 months, the shortened statutory period will expire on the date the examiner mails the advisory action and any extension of time fee may be calculated from the mailing date of the advisory action. In no event will the statutory period for reply expire later than 6 months from the mailing date of the final Office action.

See also MPEP § 706.07(f).

Ron