PATENT PROFESSIONAL’S HANDBOOK
A Training Tool for Administrative Staff
By
Susan Stiles
Patent Legal Assistant
PREFACE
The purpose of this Patent Professional’s Handbook (“PP Handbook”) is to
be a handy, ready reference book for Patent Professionals or Administrative Staff
(“PP”) in the patent field, who provide administrative assistance for a Registered
Patent Practitioner (“RPP”). The PP can turn to it for assistance and guidance in
his/her many duties as an employee in a law office or IP Department. As a
reference book, it is hoped that it will reduce the amount of instruction time a RPP
must spend with his/her staff.
The Supreme Court calls a patent application one of the most difficult legal
instruments to prepare. RPPs have shelves of treatises and practice guides to help
them. What do PPs have? Until now, nothing. The PP Handbook is intended as a
compilation of the things a PP needs in one convenient source.
The PP Handbook lists requirements for Patent Office filings, and goes on to
show what the filing documents should contain and how they should be formatted.
The PP Handbook is intended as an easy-to-use guide with step-by-step
instructions for preparing, filing and prosecuting U.S. patent applications. By
describing each facet of patent law procedure from the PP’s viewpoint, the PP
Handbook can be a valuable tool for training new staff. With its checklists, tips
and sections on advanced topics, the PP Handbook can improve the efficiency of
experienced staff and reinforces best practices.
The PP Handbook can take much of the confusion out of the patent process
by providing checklists, step-by-step instructions, timelines, by answering common
questions, providing examples and giving detailed instructions.
PATENT PROFESSIONAL’S HANDBOOK
A Training Tool for Administrative Staff
Table of Contents
(A Step-by-Step Guide for Support Professionals in
Patent Law Firms and IP Departments)
Preface……………………………………………………………………………….…….…i
Acknowledgements .................................................................................................................. iii
About the Author ..................................................................................................................... iv
Disclaimer…………. ............................................................................................................... v
INTRODUCTION
1.
Introduction
1.1
What is a Patent? .............................................................................................. 1-1
1.2
A Patent Story ………………………………………………………………..1-3
1.2.1 Preparing and Filing the Patent Application .......................................... 1-3
1.2.2 Examining the Patent Application ......................................................... 1-6
1.2.3 Issuing the Patent ................................................................................... 1-12
1.3
America Invents Act ........................................................................................ 1-13
2.
The Role of the Patent Professional
2.1
Introduction .................................................................................................. 2-1
2.2
Administrative Support .................................................................................... 2-2
2.3
USPTO Filing ………………………………………………………………..2-2
2.4
Docket Management ........................................................................................ 2-3
2.5
Billing………. ................................................................................................. 2-4
2.6
Reporting……….............................................................................................. 2-5
2.7
File Management ............................................................................................. 2-5
2.8
Helpful Checklists ............................................................................................ 2-6
2.8.1 Opening New Matters ............................................................................ 2-7
2.8.2 Daily Checklist....................................................................................... 2-8
2.8.3 Monthly Checklist .................................................................................. 2-9
3.
Conducting Business With the USPTO
3.1
General Information ......................................................................................... 3-1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
Identification Before USPTO .......................................................................... 3-3
3.2.1 Filing Requirements ............................................................................... 3-3
3.2.1.1 Suggestions ............................................................................... 3-3
3.2.2 Customer Number Practice .................................................................... 3-3
3.2.2.1 Associating Applications with Customer
Number ...................................................................................... 3-5
3.2.3 Next Day Business Rule ......................................................................... 3-5
In Person - Centralized Hand Delivery ............................................................ 3-5
Mailing of Papers - Mailing Addresses ........................................................... 3-6
3.4.1 Verification - Certificate of Mailing ...................................................... 3-7
3.4.2 Express Mail .......................................................................................... 3-7
Centralized Facsimile....................................................................................... 3-7
3.5.1 Exceptions to the Centralized Facsimile ................................................ 3-8
3.5.2 Verification - Certificate of Transmission ............................................ 3-12
3.5.3 What Cannot Be Faxed ......................................................................... 3-13
Papers Requiring Immediate Attention ........................................................... 3-14
Correspondence for Which Centralized Delivery of HandCarried Papers is Not Required....................................................................... 3-16
Patent Electronic Business Center .................................................................. 3-22
3.8.1 Unregistered eFiler................................................................................3-23
3.8.2 Registered eFiler ...................................................................................3-24
3.8.3 EFS-Web ...............................................................................................3-25
3.8.3.1 Setting Up the Customer Number ............................................3-33
3.8.3.2 Digital Certificate .....................................................................3-34
3.8.3.3 Obtaining Access Codes ..........................................................3-35
3.8.3.4 Recovery of Access Codes .......................................................3-35
3.8.3.5 Accessing Private PAIR ...........................................................3-35
3.8.3.6 Document Descriptions ............................................................3-36
3.8.4 Filing Documents in Existing Application ...........................................3-37
3.8.5 Filing Pre-Grant Publications ...............................................................3-37
3.8.6 Reviewing Documents on File at the USPTO ......................................3-40
3.8.6.1 PAIR ......................................................................................... 3-40
3.8.6.2 Difference Between Public and Private PAIR ......................... 3-40
3.8.6.3 Public PAIR ............................................................................. 3-40
3.8.6.3.1 Description of Tabs .................................................. 3-40
3.8.6.3.2 How to Access Patent Application
Full Page Images ...................................................... 3-41
3.8.6.4 Private PAIR ............................................................................. 3-51
3.8.6.4.1 Description of Tabs ................................................... 3-51
3.9
3.10
3.11
3.12
3.8.6.5 Requesting Copies of Patent Applications
from the USPTO .......................................................................... 3-52
3.8.6.6 Frequently Asked Questions ........................................................ 3-52
3.8.7 Electronic Patent Assignment System ...................................................... 3-54
3.8.7.1 Assignments ................................................................................. 3-55
3.8.7.2 Requesting Copies of Assignment from
the USPTO ................................................................................... 3-55
Using Websites to Advantage .............................................................................. 3-56
3.9.1 USPTO Sites ............................................................................................... 3-56
3.9.1.1 Patent/Publication ......................................................................... 3-56
3.9.1.2 Employee Locator ......................................................................... 3-56
3.9.2 Other Patent Offices ..................................................................................... 3-56
3.9.2.1 Espacenet...................................................................................... 3-56
3.9.2.2 Japanese Patent Office ................................................................. 3-58
3.9.2.3 Canadian Patent Office ................................................................ 3-60
3.9.2.4 WIPO............................................................................................ 3-61
3.9.2.5 Korean Patent Office .................................................................... 3-62
3.9.3 Tools: PatentPal ............................................................................................. 3-63
3.9.4 Other Sites ............................................................................................. 3-63
3.9.4.1 Google Patents ......................................................................... 3-63
3.9.4.2 Free Patents Online .................................................................. 3-63
3.9.4.3 Pat2Pdf ..................................................................................... 3-64
3.9.4.4 Patent Retriever ......................................................................... 3-66
Power of Attorney Practice .................................................................................... 3-66
3.10.1 Power of Attorney – Customer Number ................................................... 3-68
3.10.2 Restriction on Customer Number .............................................................. 3-68
Withdrawal as RPP ............................................................................................... 3-68
Petition for Extension of Time.............................................................................. 3-69
INITIAL FILING
4.
Preparing New Patent Applications
4.1
Application Types ..........................................................................................4-1
4.1.1 Provisional Applications ......................................................................4-1
4.1.2 Nonprovisional Applications ...............................................................4-2
4.1.3 Continuing Applications ......................................................................4-2
4.1.3.1 Divisional Applications ...........................................................4-2
4.1.3.2 Continuation Applications ......................................................4-2
4.1.3.3 Continuation-In-Part Applications ..........................................4-3
4.2
4.3
4.1.4 Design Applications .............................................................................4-3
4.1.5 International Applications ....................................................................4-3
4.1.6 Plant Applications ................................................................................4-3
Provisional Applications ................................................................................4-4
4.2.1 Minimum Provisional Application Parts to Obtain a
Filing Date ............................................................................................4-4
4.2.2 Parts Required for a Complete Provisional
Application ...........................................................................................4-4
4.2.3 Provisional Application for Patent Cover Sheet ..................................4-5
4.2.3.1 Filling Out the Provisional Application for
Patent Cover Sheet ..................................................................4-5
4.2.4 Provisional Application Fees ...............................................................4-6
4.2.4.1 Small Entity Fee Reduction ....................................................4-6
4.2.5 Provisional Application Checklist .......................................................4-7
4.2.6 What if Something is Missing..............................................................4-8
4.2.7 Cautions……………………………………………………………... 4-8
Nonprovisional Applications .........................................................................4-9
4.3.1 Nonprovisional Application Requirements to
Receive a Filing Date ...........................................................................4-9
4.3.2 Minimum Requirements for Filing Nonprovisional
Application ...........................................................................................4-10
4.3.3 Parts Required for a Complete Nonprovisional
Application ............................................................................................4-10
4.3.4 Utility Patent Application Transmittal Form .......................................4-11
4.3.4.1 Filling Out the Utility Patent Application
Transmittal Form .....................................................................4-11
4.3.5 Fee Transmittal Form (Optional) and Appropriate Fees......................4-13
4.3.5.1 Filling Out the Fee Transmittal Form .....................................4-14
4.3.5.2 Patent Application Filing Fees ................................................4-14
4.3.5.3 Small Entity Fee Reduction ....................................................4-14
4.3.6 Application Data Sheet ........................................................................4-15
4.3.7 Paragraph Numbering and/or Line Numbering ...................................4-15
4.3.8 Calculating Patent Application Claims Fees........................................4-18
4.3.9 Drawing Requirements ........................................................................4-19
4.3.9.1 Identification of Drawings ......................................................4-20
4.3.9.2 Paper Size ................................................................................4-20
4.3.9.3 Numbering of Sheets of Drawings and
Views.......................................................................................4-21
4.3.9.4 Drawing Margins ....................................................................4-22
4.4
4.5
4.6
4.7
4.3.10 Inventor’s Oath or Declaration ..........................................................4-22
4.3.11 Obtaining a Postcard Receipt for Documents ....................................4-23
4.3.12 Nonprovisional Application Checklist ...............................................4-26
Divisional Applications .................................................................................4-30
4.4.1 Parts Required for a Complete Divisional
Application ...........................................................................................4-30
4.4.2 Inventor’s Oath or Declaration ............................................................4-31
4.4.3 Specification and Drawings .................................................................4-32
4.4.4 Cross Reference to Related Applications ............................................4-32
4.4.5 Utility Patent Application Transmittal Form .......................................4-33
4.4.5.1 Filling Out the Divisional Application
Transmittal Form ..............................................................................4-33
4.4.6 Divisional Application Checklist .........................................................4-36
Continuation Applications .............................................................................4-38
4.5.1 Parts Required for a Complete Continuation
Application ..........................................................................................4-38
4.5.2 Inventor’s Oath or Declaration ............................................................4-39
4.5.3 Specification and Drawings .................................................................4-40
4.5.4 Cross Reference to Related Applications ............................................4-40
4.5.5 Utility Patent Application Transmittal Form .......................................4-41
4.5.5.1 Filling Out the Continuation Application
Transmittal Form ......................................................................4-41
4.5.6 Continuation Application Checklist .....................................................4-44
Continuation-In-Part Applications .................................................................4-46
4.6.1 Parts Required for a Complete Continuation-InPart Application ...................................................................................4-46
4.6.2 Inventor’s Oath or Declaration ............................................................4-47
4.6.3 Specification and Drawings .................................................................4-47
4.6.4 Cross Reference to Related Applications ............................................4-48
4.6.5 Utility Patent Application Transmittal Form .......................................4-49
4.6.5.1 Filling Out the Continuation-In-Part
Application Transmittal Form ..................................................4-49
4.6.6 Continuation-In-Part Application Checklist ........................................4-51
Design Patent Applications ............................................................................4-54
4.7.1 The Difference Between Design and Utility Patents ...........................4-54
4.7.2 Elements of a Design Patent Application ............................................4-54
4.7.3 Drawings or Black and White Photographs .........................................4-55
4.7.4 Color Drawings or Color Photographs ................................................4-55
4.7.5 Inventor’s Oath or Declaration ............................................................4-55
4.7.6 Design Patent Application Transmittal Form ......................................4-56
4.7.6.1 Filling Out the Design Patent Application
Transmittal Form ....................................................................4-56
4.7.7 Fee Transmittal Form (Optional) and Appropriate Fees......................4-58
4.7.7.1 Filling Out the Fee Transmittal Form .....................................4-59
4.7.7.2 Patent Application Filing Fees ................................................4-59
4.7.7.3 Small Entity Fee Reduction ....................................................4-59
4.7.8 Design Patent Application Checklist ...................................................4-60
5.
Filing New Patent Applications
5.1 Provisional Applications ....................................................................................5-1
5.1.1 Steps in Filing a Provisional Application ................................................5-1
5.1.2 Ways to Submit a Provisional Application ..............................................5-2
5.1.2.1 By Mail.......................................................................................5-2
5.1.2.2 EFS-Web ....................................................................................5-2
5.2 Nonprovisional Applications .............................................................................5-5
5.2.1 Steps in Filing a Nonprovisional Application ..........................................5-5
5.2.2 Ways to Submit a Nonprovisional Application .......................................5-7
5.2.2.1 Express Mail................................................................................5-7
5.2.2.2 Hand Delivery/Courier ................................................................5-7
5.2.2.3 EFS-Web .....................................................................................5-7
5.3 Divisional Applications .....................................................................................5-12
5.3.1 Steps in Filing a Divisional Application .................................................5-12
5.3.2 Ways to Submit a Divisional Application ...............................................5-13
5.3.2.1 Express Mail ..............................................................................5-13
5.3.2.2 Hand Delivery/Courier ...............................................................5-13
5.3.2.3 EFS-Web ....................................................................................5-14
5.4 Continuation Applications .................................................................................5-18
5.4.1 Steps in Filing a Continuation Application ..............................................5-18
5.4.2 Ways to Submit a Continuation Application ...........................................5-19
5.4.2.1 Express Mail ..............................................................................5-19
5.4.2.2 Hand Delivery/Courier...............................................................5-20
5.4.2.3 EFS-Web ....................................................................................5-20
5.5 Continuation-In-Part Applications ......................................................................5-25
5.5.1 Steps in Filing a Continuation-In-Part Application ..................................5-25
5.5.2 Ways to Submit a Continuation-In-Part Application ................................5-26
5.5.2.1 Express Mail................................................................................5-26
5.5.2.2 Hand Delivery/Courier ................................................................5-26
5.5.2.3 EFS-Web .....................................................................................5-27
5.6 Design Patent Applications .................................................................................5-31
5.6.1 Steps in Filing a Design Patent Application .............................................5-31
5.6.2 Ways to Submit a Design Patent Application ...........................................5-32
5.6.2.1 Express Mail................................................................................5-32
5.6.2.2 Hand Delivery/Courier ................................................................5-32
5.6.2.3 EFS-Web .....................................................................................5-33
6.
Filing Fees and Method of Payments
6.1 Current Fee Schedule .....................................................................................6-1
6.2 Methods of Payments .....................................................................................6-1
6.2.1 Checks, Cashier's Checks, or Money Orders .......................................6-1
6.2.2 Credit Cards .........................................................................................6-1
6.2.3 Electronic Funds Transfer ....................................................................6-2
6.2.4 Deposit Account...................................................................................6-2
6.3 Maintenance Fee Payments............................................................................6-6
7.
Application Data Sheet
7.1 What is an Application Data Sheet? ..............................................................7-1
7.2 Submitting a Supplemental ADS ...................................................................7-2
7.3 PDF Fillable Form for ADS...........................................................................7-3
7.4 Web-Based ADS ............................................................................................7-3
8.
Information Disclosure Statements
8.1 What is an Information Disclosure Statement? .............................................8-1
8.2 IDS Requirements ..........................................................................................8-1
8.3 Timing ............................................................................................................8-1
8.4 Certifications ..................................................................................................8-3
8.5 Fees………………………………………………………………………….8-6
8.6 RCE Practice ..................................................................................................8-7
8.7 Formalities and Documents for Submission ..................................................8-7
8.7.1 IDS Transmittal Letter .........................................................................8-8
8.7.2 IDS Formatting ....................................................................................8-10
8.7.3 Documents for Submission ..................................................................8-17
8.7.3.1 Foreign Patent Documents .....................................................8-17
8.7.3.2 Non-Patent Literature .............................................................8-21
8.7.3.3 Exceptions to Document Submissions ...................................8-21
8.7.4 Manner of Filing ..................................................................................8-22
8.7.5 USPTO Consideration .........................................................................8-23
8.8
e-IDS ..............................................................................................................8-24
8.9
Family Monitoring .........................................................................................8-25
8.10
8.11
8.12
8.13
9.
Forms .............................................................................................................8-25
Ways to Submit an IDS..................................................................................8-26
8.11.1 Hand Delivery/Courier.......................................................................8-26
8.11.2 Certificate of Mailing .........................................................................8-26
8.11.3 Certificate of Transmission ................................................................8-27
8.11.4 EFS-Web ............................................................................................8-28
Third Party Submissions ................................................................................8-30
Quick Path IDS Pilot Program. .....................................................................8-32
Assignments
9.1
What is an Assignment?.................................................................................9-1
9.2
Steps to Prepare and Record an Assignment .................................................9-2
9.3
Identifying Applications and Patents in an Assignment
Document .......................................................................................................9-3
9.4
Preparing the Recordation Cover Sheet (PTO Form 1595) ...........................9-3
9.5
Ways to Submit an Assignment .....................................................................9-7
9.5.1 Hand Delivery/Courier.........................................................................9-7
9.5.2 Certificate of Mailing ...........................................................................9-7
9.5.3 Certificate of Transmission .................................................................9-7
9.5.4 Electronic Patent Assignment System .................................................9-8
9.6
Nature of Conveyance....................................................................................9-13
9.7
Corrective Assignments .................................................................................9-14
9.8
Correspondence Information .........................................................................9-14
9.9
Conveying Party.............................................................................................9-16
9.10
Receiving Party ..............................................................................................9-18
9.11
Property Number ............................................................................................9-20
9.12
Assignment of Divisional, Continuation, and ContinuationIn-Part Application.........................................................................................9-23
9.13
Assignment of Application Claiming Benefit of Priority
to a Provisional Application...........................................................................9-23
9.14
Correcting Errors in Recorded Assignment Documents ................................9-24
9.15
Identifying the Assignee on an Issued Patent ................................................9-25
9.16
Assignment Recordation Checklist ................................................................9-26
9.17
Reporting Assignment With Recordation of Assignment .............................9-27
DURING PROSECUTION
10.
Publication of Applications
10.1
18-Month Publication of Patent Applications................................................10-1
10.2
10.3
10.4
10.5
10.6
10.7
11.
Public PAIR Access .......................................................................................10-3
Request for Nonpublication Application .......................................................10-4
Request for Early Publication ........................................................................10-5
Published Application Checklist ....................................................................10-5
Corrections to Patent Application Publications .............................................10-6
Reporting Notice of Publication ....................................................................10-7
After Initial Filing
11.1
What is an Official Filing Receipt? ...............................................................11-1
11.1.1 Request for Corrected Filing Receipt ................................................11-1
11.1.2 Ways to Submit a RCFR ....................................................................11-1
11.1.2.1 Hand Delivery/Courier .......................................................11-1
11.1.2.2 Certificate of Mailing .........................................................11-2
11.1.2.3 Certificate of Transmission ................................................11-2
11.1.2.4 Private PAIR ......................................................................11-2
11.1.2.5 EFS-Web ............................................................................11-5
11.1.3 Foreign Filing License ......................................................................11-7
11.1.4 Assignment ........................................................................................11-8
11.1.5 Patent Official Filing Receipt Checklist ...........................................11-8
11.1.6 Reporting Official Filing Receipt – Nonprovisional ........................11-9
11.2
Notice to File Missing Parts of Nonprovisional Application –
Filing Date Granted........................................................................................11-10
11.2.1 Extended Missing Parts Pilot Program ..............................................11-11
11.2.2 Ways to Submit a Response to the Notice .........................................11-12
11.2.2.1 Hand Delivery/Courier .......................................................11-12
11.2.2.2 Certificate of Mailing .........................................................11-12
11.2.2.3 Certificate of Transmission ................................................11-12
11.2.2.4 EFS-Web ............................................................................11-13
11.3 Notice to File Corrected Application Papers – Filing
Date Granted ..................................................................................................11-16
11.3.1 Ways to Submit a Response to the Notice .........................................11-16
11.3.1.1 Hand Delivery/Courier .......................................................11-16
11.3.1.2 Certificate of Mailing .........................................................11-16
11.3.1.3 Certificate of Transmission ................................................11-17
11.3.1.4 EFS-Web ............................................................................11-17
11.4 Notice of Omitted Item(s) in a Nonprovisional
Application .....................................................................................................11-20
11.4.1 Ways to Submit A Response to the Notice ........................................11-20
11.4.1.1 Hand Delivery/Courier .......................................................11-20
11.5
11.6
11.7
11.8
12.
11.4.1.2 Certificate of Mailing ..........................................................11-20
11.4.1.3 Certificate of Transmission .................................................11-21
11.4.1.4 EFS-Web .............................................................................11-21
Notice of Incomplete Application – Filing Date Not
Granted ...........................................................................................................11-24
Time to Respond Chart ..................................................................................11-25
Petition for Extension of Time .......................................................................11-25
Checking Status in Private PAIR ...................................................................11-26
Amendments
12.1 What is an Amendment? ................................................................................12-1
12.2 Amendment Format .......................................................................................12-2
12.3 Preliminary Amendment ................................................................................12-12
12.3.1 What is a Preliminary Amendment? ...................................................12-12
12.3.2 Ways to Submit a Preliminary Amendment ......................................12-12
12.3.2.1 Hand Delivery/Courier .......................................................12-12
12.3.2.2 Certificate of Mailing .........................................................12-12
12.3.2.3 Certificate of Transmission ................................................12-13
12.3.2.4 EFS-Web ............................................................................12-13
12.4 Non-Final Amendment ..................................................................................12-16
12.4.1 What is a Non-Final Amendment? ....................................................12-16
12.4.2 Ways to Submit a Non-Final Amendment .........................................12-16
12.4.2.1 Hand Delivery/Courier .......................................................12-16
12.4.2.2 Certificate of Mailing .........................................................12-17
12.4.2.3 Certificate of Transmission ................................................12-17
12.4.2.4 EFS-Web ............................................................................12-17
12.5 After Final Amendment .................................................................................12-20
12.5.1 What is an After Final Amendment? .................................................12-20
12.5.2 After Final Consideration Pilot Program 2.0 ....................................12.22
12.5.3 Ways to Submit an After Final Amendment......................................12-23
12.5.3.1 Hand Delivery/Courier ........................................................12-23
12.5.3.2 Certificate of Mailing ..........................................................12-23
12.5.3.3 Certificate of Transmission .................................................12-24
12.5.3.4 EFS-Web .............................................................................12-24
12.6 Request for Reconsideration ..........................................................................12-27
12.6.1 What is a Request for Reconsideration? ............................................12-27
12.6.2 Ways to Submit a Request for Reconsideration ................................12-27
12.6.2.1 Hand Delivery/Courier ........................................................12-27
12.6.2.2 Certificate of Mailing ..........................................................12-27
12.6.2.3 Certificate of Transmission .................................................12-28
12.6.2.4 EFS-Web .............................................................................12-28
12.7 Ex parte Quayle Action .................................................................................12-30
12.7.1 What is an Ex parte Quayle Action ...................................................12-30
12.7.2 Ways to Submit a Response to an Ex parte Quayle
Action .................................................................................................12-31
12.7.2.1 Hand Delivery/Courier ........................................................12-31
12.7.2.2 Certificate of Mailing ..........................................................12-31
12.7.2.3 Certificate of Transmission .................................................12-32
12.7.2.4 EFS-Web .............................................................................12-32
12.8 Amendment Checklist ....................................................................................12-34
12.9 Time to Respond Chart ..................................................................................12-35
12.10 Petition for Extension of Time .......................................................................12-36
12.11 Reporting Amendment ...................................................................................12-37
13.
Restriction Requirement
13.1 What is a Restriction Requirement? ..............................................................13-1
13.2 Ways to Submit a Response to Restriction Requirement ..............................13-1
13.2.1 Hand Delivery/Courier.......................................................................13-1
13.2.2 Certificate of Mailing .........................................................................13-2
13.2.3 Certificate of Transmission ................................................................13-2
13.2.4 EFS-Web ............................................................................................13-3
13.3 Restriction Requirement Checklist ................................................................13-5
13.4 Time to Respond Chart ..................................................................................13-6
13.5 Petition for Extension of Time .......................................................................13-6
13.6 Reporting Response to Restriction Requirement ...........................................13-7
14.
Request for Continued Examination
14.1 What is a Request for Continued Examination? ............................................14-1
14.2 Fillable RCE Form for Use in EFS-Web .......................................................14-2
14.3 Ways to Submit RCE and Accompanying Documents..................................14-3
14.3.1 Hand Delivery/Courier.......................................................................14-3
14.3.2 Certificate of Mailing .........................................................................14-3
14.3.3 Certificate of Transmission ................................................................14-4
14.3.4 EFS-Web ............................................................................................14-4
14.4 Request for Continued Examination Checklist ..............................................14-8
14.5 Petition for Extension of Time .......................................................................14-10
14.6 Reporting RCE, Amendment and IDS ...........................................................14-11
15.
Appeal
15.1 Notice of Appeal ............................................................................................15-1
15.1.1 Acknowledgement .............................................................................15-1
15.1.2 Defective Notice of Appeal ...............................................................15-2
15.1.3 Ways to Submit a Notice of Appeal ..................................................15-2
15.1.3.1 Hand Delivery/Courier .......................................................15-2
15.1.3.2 Express Mail.......................................................................15-3
15.1.3.3 Certificate of Mailing .........................................................15-3
15.1.3.4 Certificate of Transmission ................................................15-3
15.1.3.5 EFS-Web ............................................................................15-4
15.2 Appeal Brief ...................................................................................................15-6
15.2.1 Ways to Submit an Appeal Brief .......................................................15-8
15.2.1.1 Hand Delivery/Courier ........................................................15-8
15.2.1.2 Certificate of Mailing ..........................................................15-8
15.2.1.3 Certificate of Transmission .................................................15-8
15.2.1.4 EFS-Web .............................................................................15-9
15.3 Examiner's Answer ........................................................................................15-11
15.4 Reply Brief .....................................................................................................15-11
15.4.1 Ways to Submit a Reply Brief ...........................................................15-12
15.4.1.1 Hand Delivery/Courier........................................................15-12
15.4.1.2 Certificate of Mailing ..........................................................15-12
15.4.1.3 Certificate of Transmission .................................................15-12
15.4.1.4 EFS-Web .............................................................................15-13
15.5 Request for Oral Hearing ...............................................................................15-15
15.5.1 Ways to Submit a Request for Oral Hearing .....................................15-16
15.5.1.1 Hand Delivery/Courier .......................................................15-16
15.5.1.2 Express Mail.......................................................................15-16
15.5.1.3 Certificate of Mailing .........................................................15-17
15.5.1.4 Certificate of Transmission ................................................15-17
15.5.1.5 EFS-Web ............................................................................15-17
15.6 Supplemental Examiner's Answer .................................................................15-19
15.7 At the PTAB ..................................................................................................15-19
15.8 Pre-Appeal Brief Conference .........................................................................15-20
15.9 Time to Respond Chart ..................................................................................15-21
16.
Petitions
16.1 Petition for Extension of Time Under 37 CFR 1.136(a) ................................16-1
16.2 Petition for Extension of Time Under 37 CFR 1.136(b) ...............................16-1
16.3 Petition for Express Abandonment Under 37 CFR 1.138..............................16-1
16.4
16.5
16.6
16.7
16.8
16.9
16.10
16.11
16.12
16.13
16.14
16.15
16.16
Petition for Express Abandonment to Avoid Publication
Under 37 CFR 1.138(c)..................................................................................16-2
Petition for Express Abandonment to Obtain a Refund.................................16-2
Petition to Make Special Under Accelerated Examination
Program ..........................................................................................................16-2
Petition for Revival of an Application for Patent Abandoned
Unintentionally Under CFR 1.137(b) ............................................................16-2
Petition for Revival of an Application for Patent Abandoned
For Failure to Notify the Office of a Foreign or International
Filing (37 CFR 1.137(f)) ................................................................................16-3
Petition to Accept Unintentionally Delayed Payment of
Maintenance Fee in an Expired Patent (37 CFR 1.378(c)) ............................16-3
Petition to Make Special Based on Age for Advancement of
Examination Under 37 CFR 1.102(c)(1) .......................................................16-5
Petition Under 37 CFR 1.313(c)(2) to Withdraw Application
From Issue ......................................................................................................16-6
Petition Under 37 CFR 1.324(a) for Correction of
Inventorship ...................................................................................................16-7
Petition Under 37 CFR 1.48 for Correction of Inventorship
in a Patent Application ...................................................................................16-7
Petition Under 37 CFR 1.78(a)(3) (Unintentionally Delayed
Claim) ............................................................................................................16-10
Petition Under 37 CFR 1.84(a)(2) for Color Drawings .................................16-11
Petition to Obtain or Correct a Filing Date ....................................................16-11
AFTER PROSECUTION
17.
After Prosecution
17.1 What is a Notice of Allowance? ....................................................................17-1
17.2 Notice of Allowance Checklist ......................................................................17-2
17.3 Issue Fee Payment..........................................................................................17-5
17.3.1 Ways to Submit an Issue Fee Payment ..............................................17-5
17.3.1.1 Hand Delivery/Courier .......................................................17-5
17.3.1.2 Certificate of Mailing .........................................................17-6
17.3.1.3 Certificate of Transmission ................................................17-6
17.3.1.4 EFS-Web ............................................................................17-6
17.4 Docketing After Payment of Issue Fee ..........................................................17-8
17.5 Amendments After Notice of Allowance ......................................................17-8
17.6 Issue Notification ...........................................................................................17-9
18.
After Issuance
18.1 Utility Letters Patent ......................................................................................18-1
18.1.1 Utility Letters Patent Checklist ..........................................................18-2
18.2 Design Letters Patent .....................................................................................18-3
18.2.1 Design Letters Patent Checklist .........................................................18-4
18.3 Certificate of Correction ................................................................................18-5
18.4 Reissue ...........................................................................................................18-5
18.5 Reexamination ...............................................................................................18-5
18.6 Maintenance Fees...........................................................................................18-5
18.6.1 Maintenance Fee Payments................................................................18-7
18.6.2 “Fee Address” Indication Form .........................................................18-8
MISCELLANEOUS
19.
Patent Term Adjustment ......................................................................................19-1
20.
Terminal Disclaimers
20.1 What are Terminal Disclaimers? ...................................................................20-1
20.1.1 Forms .................................................................................................20-1
20.1.2 Ways to Submit a Terminal Disclaimer .............................................20-2
20.1.2.1 Hand Delivery/Courier.......................................................20-2
20.1.2.2 Certificate of Mailing .........................................................20-2
20.1.2.3 Certificate of Transmission ................................................20-3
20.1.2.4 EFS-Web ............................................................................20-3
21.
Claim for Foreign Priority
21.1 Claim for Foreign Priority .............................................................................21-1
21.2 Certified Copy of Foreign Priority Document ...............................................21-2
21.3 Ways to Submit a Certified Copy of Foreign Priority
Document .......................................................................................................21-3
21.3.1 Hand Delivery/Courier.......................................................................21-3
21.3.2 Certificate of Mailing .........................................................................21-3
21.4 Retrieving Documents from the EPO, JPO,
or KIPO ..........................................................................................................21-4
22.
Accelerated Examination Applications.................................................................22-1
23.
Track One Prioritized Examinations. ...................................................................23-1
24.
Supplemental Examinations ..................................................................................24-1
Appendix A: Glossary of Patent Terms
Index
CHAPTER 1
INTRODUCTION
This PP Handbook is geared toward Patent Professionals or Administrative
Staff (“PP”), who are not licensed, but provide service for the administrative side
of the Registered Patent Practitioner (“RPP”).
1.1
WHAT IS A PATENT?
So the inventor has come up with a great idea for a new invention. How will
your RPP keep competitors from unfairly capitalizing on the inventor’s great idea?
The answer is to get a patent for the invention.
Patent law is a sub-set of the broad category of intellectual property (IP) law.
IP law serves to protect creations of the mind, whether they are intangible or
ethereal products. In addition to patents, there are several other types of IP, such as
trademarks, copyrights, and trade secrets. This PP Handbook will focus on patents.
A patent document delineates an inventor’s idea in sufficient detail such that
the public can make and use the invention. This is part of the quid pro quo of the
patent system. In return for the full disclosure of the invention, the inventor has
the right to exclude others from making, using and selling, importing, offer to sell
his/her invention. The continual disclosure of new ideas through the patent system
is designed to promote a constant evolution of technology, both in serving as a
foundation for new ideas and in motivating innovation in concurrent technology to
avoid infringement.
Once issued, a patent gives the patent owner the right to exclude other
people from making, using, and selling, importing, offering to sell the patent
described in the invention. Contrary to popular belief, however, obtaining a patent
may not enable the inventor to make, use or sell his/her invention, if his/her
patented invention incorporates patented inventions of others.
There are essentially three categories for patent protection: utility, design
and plant. The most common type of patents are utility patents, which are granted
for any new and useful process, machine, manufacture, composition of matter, or
improvements. Design patents protect the non-functional appearance or design of
a manufactured article. Plant patents are granted for a new and distinct variety of
plant.
This PP Handbook will focus on utility and design patents, as these are the
most common in traditional patent practice and the ones most likely to be
encountered by the inventor. However, the PP should be aware of other types of
patents and IP protection, especially since the guidance provided in this PP
Handbook may not be applicable to the other types of patents and IP protection.
Accordingly, the PP should consult with a RPP in these instances to determine the
appropriate prosecution methodology for the inventive subject matter.
The term "USPTO" will be used throughout this PP Handbook referring to
the U.S. Patent and Trademark Office. The USPTO, also referred to as the Patent
and Trademark Office (PTO) or the Patent Office or just the Office. The USPTO is
an agency of the U.S. Government that examines patent and trademark applications
with authority to grant patents and trademark registrations.
1.2
A PATENT STORY
As you become experienced in the field of patent prosecution, the
terminology commonly employed will become second nature to you. However, the
variety of specialized terms may seem daunting. To assist in your understanding,
this PP Handbook will endeavor to explain the parlance associated with the patent
practice, as well as variations, in an appropriate place in this PP Handbook. In
Sections 1.2.1 to 1.2.3, certain fundamental terminology, which will be used
throughout the remainder of this PP Handbook, is introduced.
We present in Sections 1.2.1 to 1.2.3 a patent prosecution story for a typical
invention. The following is by no means intended to be exhaustive, as various
deviations, additions, and omissions from the following story are possible and
often occur. Rather, it is meant to be informative for the PP on what to expect in
typical patent prosecution, from beginning to end.
1.2.1 PREPARING AND FILING THE PATENT APPLICATION
Jaime is working on his car during a hot day in August. He is trying
to change the oil in his car, but, between the heat and the cramped
engine interior, he is having trouble removing the oil filter using the
oil filter wrench he bought at the local auto supply store. In a
moment of desperation, he yanks too hard on the wrench and bangs
his head on the engine hood. While recovering from his injury,
Jaime has a moment of inspiration and comes up with a new idea for
an oil filter wrench which will, among other things, prevent him
from banging his head in the future. He immediately begins to think
about obtaining a patent for his new oil filter wrench.
In order to obtain a patent, a patent application must be filed with the
USPTO. An inventor may draft the patent application himself/herself or consult
with a RPP. When working with a RPP, an inventor may draft an invention
disclosure, which documents the relevant details of the invention. Such relevant
details may include a background of the invention, how it was developed, the
components and description of the invention, and if the invention was discussed
with others. The RPP may also interview the inventor to discover the relevant
details of the invention.
A RPP is a person who has been registered by the USPTO to represent
clients in matters related to patent prosecution before the USPTO. Thus, a RPP
may be a Patent Agent (a practitioner who does not have a law degree or who is not
a member of a state bar) or a patent attorney (a member of a State bar). In terms of
representation before the USPTO, there are few differences between a Patent
Attorney and a Patent Agent. The difference is that a Patent Agent can never
practice law. The RPP may employ the assistance of PPs (legal assistants,
paralegals, or secretaries) in the drafting and subsequent prosecution of the patent
application for the RPP's review. Note that the PPs do not give legal advice and
the RPP has the ultimate responsibility to oversee the work that is being done on
his/her client's behalf.
Jaime meets with the RPP, Kim, who is a patent attorney in
California. Jaime has not had a chance to write down any details
of his invention, but is very excited about getting a patent.
“There’s nothing like this out there on the market,” Jaime tells
Kim. Kim proceeds to interview him about the details of the
invention. Kim also confirms that Jaime has not told anyone else
about the invention. The details of the interview are documented
by Kim and appended to a file for Jaime’s matter. Kim and Jaime
agree on a budget for the patent application, after which Kim
begins work on drafting a suitable patent application.
In general, the patent application includes several parts related to the
invention and several formal aspects. The formal aspects will be addressed in
greater detail later in this PP Handbook. The specification, together with the
drawings, describes the invention in sufficient detail that the public can recreate the
invention from the application. The abstract provides a brief summary of the
invention and is often used to determine the relevance of the patent in a specific
search. The claims are the most important part of the patent application, as they set
forth the legal definition of the invention the inventor wants to protect.
Kim finishes the draft patent application, including the claims.
Because Jaime asserts that no one else has ever done this, she
drafts fairly broad claim language. She then submits the draft
application to Jaime for review. Jaime notices a few errors in the
application and also wants to include some additional ideas that he came
up with but did not discuss in the interview. Jaime makes a note of
the changes on the draft application and sends it back to Kim. Kim
has her assistant, Lara, make the appropriate changes. Kim also
instructs Laura to draft a Declaration and Power of Attorney for the
patent application.
After Laura completes the changes, she forwards the patent
application to Jaime for final review and execution of the
declaration. Jaime reads the final draft application and is pleased
with the results. Having read the application, he signs the
declaration attesting that the invention is his. He also signs the
Power of Attorney giving Kim the power to represent him before the
USPTO.
The patent application must be filed by the inventor, or his/her representative
on his/her behalf. In U.S. practice, the Applicant for the patent application is the
inventor. The Applicant (the “Assignor”) may transfer ownership (the “Assignee”)
of the invention in the patent application by filing an assignment with the USPTO.
The patent owner (or the Applicant, if the application is not assigned) may
designate a RPP to receive USPTO correspondence and to prosecute the
application on behalf of the patent owner by filing a Power of Attorney with the
USPTO. After filing a Power of Attorney, the USPTO will only communicate with
the designated representative or someone who represents they have authority,
unless the Power of Attorney is subsequently revoked.
Laura receives the executed Declaration and Power of Attorney from
Jaime and notes his approval of the final draft. Laura then prepares
the application for filing with the USPTO by uploading the patent
application to the USPTO electronic filing system (“EFS-Web”).
Kim reviews the patent application for formal requirements one last
time, signs the appropriate transmittal, and files the application via
EFS-Web. The USPTO immediately indicates receipt of Jaime’s
patent application and assigns it Application Number 99/999,999.
The patent application can be filed in person, by mail, or electronically via
the EFS-Web. The EFS-Web employed by the USPTO is becoming an
increasingly popular option and thus will be explained in detail later in this PP
Handbook.
The other options will also be explained to a lesser extent in appropriate
sections. Once received, the USPTO assigns an application number, which
consists of a two-digit serial code followed by a six-digit serial number. All
subsequent correspondence directed to the USPTO must include the patent
application number, as well as the name of the first listed inventor, filing date, and
a confirmation number assigned by the USPTO.
1.2.2 EXAMINING THE PATENT APPLICATION
The USPTO sends Jaime’s application to the Office of Patent
Application Processing ("OPAP") to make sure it complies with
certain formal requirements. OPAP confirms that the basic formal
requirements are present and sends an Official Filing Receipt to
Kim. Kim instructs Laura to confirm that the information on the
Official Filing Receipt matches the information in the file for
Jaime’s matter.
When the USPTO receives patent applications from inventors, it examines
the applications for compliance with the relevant patent laws and rules. The
Manual of Patent Examining Procedure ("MPEP"), which is based on the patent
laws and rules, provides guidance for the public and the USPTO on patent
prosecution. When in doubt on how to proceed with a pending patent matter, the
PP should always consult with the RPP for guidance.
The USPTO is organized into several divisions to make the prosecution of
patent applications more efficient. When initially filed, a patent application is
reviewed by OPAP to determine if the application complies with certain formal
requirements. A complete patent application is then forwarded for examination on
the merits. The Office of Licensing and Review (“L&R”) also reviews for foreign
licensing and national security purposes before going to examiner.
The USPTO sends a copy of Jaime’s application to the publication
division. The publication division prepares the application for
publication by the USPTO eighteen months after the filing date.
In order to comply with statutory requirements, the USPTO is obligated to
publish filed patent applications within 18 months from the earliest filing date.
This requirement only applies to patent applications for inventions which the
Inventor or Assignee desires to apply for patents outside of the U.S. A request can
be made for nonpublication at the time of filing, but if a counterpart foreign
application or PCT is filed, it would be improper only if inventor knows at the time
of filing request, to request nonpublication. See Chapter 10 - Publication of
Applications.
Simultaneously, the application is routed to Examiner Monroe, who
specializes in the art of oil filter wrenches. Examiner Monroe will
pick up Jaime’s application for examination in the order it was
received.
The examination divisions of the USPTO are organized into various
Technology Centers (“TC”) based on a general technology, such as biotechnology,
chemistry, electrical, computers, communications, and mechanical. There is also a
TC which examines design applications. There is also another TC that handles
plant applications. One or more Group or Center Directors are in charge of each
TC. Each TC is further subdivided into various Art Units (“AU”) based on more
specific technologies. One or more Supervisory Patent Examiners (“SPE”) are in
charge of each AU.
The AUs are composed of a number of examiners, who have scientific and
technical training. Individual examiners within an AU are the ones who actually
evaluate a particular patent application. An examiner may be a Primary Examiner
or an Assistant Examiner. Primary Examiners are experienced examiners who
have been certified by the USPTO and thus have the ability to sign official USPTO
communications without supervisory review. Assistant Examiners are less
experienced and do not have the ability to sign official USPTO communications.
Accordingly, Assistant Examiners generally work under the supervision of a SPE
or Primary Examiner, who will sign their communications.
A Legal Instruments Examiner (“LIE”) serves as an assistant to the
examiners. In particular, the LIE forwards communication from the patent
application (or representative) to the Examiner and vice versa. The LIE also
reviews communication for compliance with certain formal requirements, such as
compliance with amendment guidelines.
After two years, Jaime is getting anxious that he hasn’t heard back
about his patent application. Kim reassures him that this time
frame is normal. Serendipitously, Examiner Monroe picks up
Jaime’s case for examination. Examiner Monroe reads Jaime’s
specification and claims, after which he performs a search for the
claimed subject matter. Examiner Monroe easily finds a single
patent reference, issued to Noah, which discloses all the elements of
the broad claims. He thus composes a first Non-Final Office Action
rejecting Jaime’s claims as being anticipated under patent statute
35 U.S.C. § 102(b) by Noah’s patent. Kim receives the Non-Final
Office Action and forwards it to Jaime for his review.
After the initial examination, the Examiner in charge of the case will
perform a search for the claimed invention to find any references that predate the
Applicant’s filing date and disclose all or portions of the Applicant’s invention.
These references are called prior art. These references need not be patents; they
can be any type of publication or disclosure. If the Examiner finds a reference that
discloses some or all of the elements of the Applicant’s claim, the Examiner can
reject the claims as being anticipated or unpatentable.
Jaime receives the Non-Final Office Action forwarded by Kim.
After his initial shock over the rejection wears off, he realizes that
there is a key distinction between his oil filter wrench and Noah’s
oil filter wrench. Unfortunately, this distinction never got put into
the claims, but Kim had included it in the specification based on the
initial interview. After consultation with Jaime, Kim decides to
rewrite the claims to emphasize this distinction. Kim revises the
claims to include Jaime’s distinction and drafts Remarks
corresponding thereto. She then signs the Amendment and has
Laura efile the signed Amendment with the USPTO via EFS-Web.
After receiving a Non-Final Office Action from the USPTO, the RPP has a
chance to respond to the rejections or objections noted therein. Rejections are
based on statute or judge-made law (e.g., obviousness-type double patenting) and
are typically directed to the claims, while objections are based on rules and
typically relate to formal matters. The RPP may request reconsideration of the
patent application and files a response to the Office Action with or without changes
to the specification, claims, or drawings. If changes are made, these changes are
termed Amendments. The response includes remarks pointing out support for the
changes and arguments as to why the Examiner’s rejections or objections are in
error. This response is labeled an “Amendment”. A response without any
amendments is labeled a “Response”.
A request for reconsideration or response is filed and is routed to
Examiner Monroe by the LIE for his AU. Within 2 months,
Examiner Monroe reviews the Amendment and agrees that Noah’s
patent is deficient with regard to the new feature of Jaime’s claims.
Examiner Monroe thus confirms that this new feature is supported
by Jaime’s original specification and performs an additional search
for this new feature. Examiner Monroe finds a Japanese patent to
Oshi which discloses the new feature. The translated abstract of
Oshi’s patent clearly suggests the new feature and the attending
advantages. Examiner Monroe prepares a Final Office Action,
rejecting Jaime's claims as being unpatentable over Noah’s patent
in view of Oshi’s patent. The LIE then forwards the Final Office
Action by mail or electronically together with Oshi’s Japanese
patent to Kim. Kim receives the Final Office Action and Japanese
patent and reports the Office Action to Jaime for his review.
After an Amendment or Response is submitted to the USPTO, the Examiner
will evaluate the changes and/or arguments in view of the prior Office Action. The
Examiner may perform an additional search based on the changes and/or
arguments. The Examiner may continue to reject the claims on the same grounds,
or may make a new ground of rejection and issue a Final Office Action. A Final
Office Action significantly limits further prosecution, and the application will go
abandoned unless a Request for Continued Examination (“RCE”) or an appeal of
the final rejection is filed.
Jaime receives the Final Office Action forwarded by Kim and is
shocked and dismayed by this latest rejection. Kim consults with
Jaime about his options in view of this new rejection.
Unfortunately, it does not appear that appeal is a plausible route, as
Oshi’s patent does suggest this new feature and Noah’s oil filter
wrench anticipates the remaining aspects of Jaime’s claim.
However, Kim notices another feature in the specification that
doesn’t appear to be suggested by either Noah and Oshi. This
feature is similar to one
presented in a dependent claim in Jaime’s current claim set, but
with some variations. Based on the similarities, Kim suggests that
they file an After Final Amendment with these changes. Jaime
agrees. Kim revises the claims as discussed and drafts Remarks
corresponding thereto. She then signs the After Final Amendment
and has Laura efile the signed Amendment with the USPTO via
EFS-Web.
After a Final Office Action is received, the prosecution options for the RPP
are limited. The RPP can file an Amendment after Final, but such Amendments are
not entered as a matter of right. Rather, the Examiner has discretion to permit the
Amendment to be entered. The Examiner will only enter the Amendment if it puts
the application in not the standard-used condition for allowance without further
examination. Such Amendments are typically very time sensitive, since the
application will go abandoned if certain actions are not taken within six months
from the issuance of the Final Office Action.
The Amendment is routed to Examiner Monroe by the LIE for his
AU. Within 10 days, Examiner Monroe reviews the Amendment and
agrees that the combination of Noah’s patent and Oshi’s patent is
deficient with regard to the new feature of Jaime’s claims.
However, the Examiner notes that he would have to do an additional
search to evaluate the patentability of this new feature.
Accordingly, he prepares an Advisory Action stating that the claim
amendments have not been entered because they require further
search and consideration. The LIE then forwards the Advisory
Action to Kim within 30 days after Kim submitted the After Final
Amendment. Kim receives the Advisory Action and forwards the
Advisory Action to Jaime for his review.
Kim consults with Jaime about the Advisory Action and reassures
him that this isn’t an evaluation of the patentability of the revised
claims. She thus suggests that they file an RCE to have Examiner
Monroe consider these new amendments to the claims. Jaime
agrees. Kim instructs Laura to prepare the RCE. Kim signs the
RCE. At Kim’s direction, Laura efiles the signed RCE and pays the
appropriate fees via EFS-Web.
Another option, in order to prevent an application from going abandoned,
the RPP may file the RCE and pay the appropriate fees or file a Notice of Appeal
with the appropriate fees. In practice, an RCE continues prosecution and removes
the finality of the Final Office Action. Any Amendments submitted with the RCE
are thus entered as a matter of right. If any Amendments submitted after the Final
Office Action was not entered, these Amendments are entered with the filing of the
RCE. The Examiner would either allow the claims or continue to reject the claims
in a Non-Final Office Action.
The USPTO also has a separate adjudicating division for resolving legal
disputes between the Examiner and the RPP on a particular patent application.
This division is called the Patent Trial and Appeal Board (“PTAB”) and is
composed of a number of Administrative Patent Judges (“APJ”). When a patent
application continues to be rejected by an Examiner, for example, after a Final
Office Action, the RPP may appeal the Examiner's decision of unpatentability to
the PTAB, if the RPP believes the Examiner's decision is in error.
The LIE receives the RCE, changes the status of the application,
and then enters the previously filed After Final Amendment. The
LIE then forwards the Amendment to Examiner Monroe. Within two
months, Examiner Monroe reviews the Amendment and confirms
that the combination of Noah’s patent and Oshi’s patent is deficient
with regard to the new features. After performing an additional
search, he is unable to find the new features of Jaime’s claims in the
prior art. Examiner Monroe therefore issues a Notice of Allowance
indicating that the claims proposed in the RCE are allowable over
the prior art of record. The LIE takes the Notice of Allowance and
appends a “Notice of Allowance and Fees Due” form before
sending it to Kim. Kim receives the Notice of Allowance and
forwards the Notice of Allowance and Fees Due form to Jaime for
his review.
Jaime is ecstatic and instructs Kim to pay the Issue and Publication
Fees. Kim instructs Laura to review the application file history to
make sure all formal matters are complied with. After confirming
that the application is in good order, Kim signs the Issue Fee
Transmittal. At Kim’s direction, Laura efiles the signed Issue Fee
Transmittal and pays the appropriate Issue and Publication Fees
via EFS-Web.
If the Examiner finds that the claims pending in an application are patentable
over the prior art, the Examiner issues a Notice of Allowance. After the Notice of
Allowance is issued, prosecution is effectively closed. Within three months of the
Notice of Allowance, the Issue Fee must be paid in order to receive a patent for the
claimed invention. In cases in which the application has been published before
allowance, a Publication Fee is also due along with the Issue Fee. If the Issue Fee
is not timely paid, the patent application becomes abandoned.
1.2.3 ISSUING THE PATENT
After payment of the Issue and Publication Fees, Kim receives an
Issue Notification from the USPTO indicating that the patent for
Jaime’s invention will issue in two weeks. On the indicated date,
Jaime’s patent issues as U.S. Patent No. 9,999,999. Kim receives a
formal copy of U.S. Patent No. 9,999,999, which she instructs Laura
to forward to Jaime. Kim also notifies Jaime that he can begin
enforcing his patent and that he will need to pay maintenance fees
at 3 1/2 years, 7 1/2 years, and 11 1/2 years to keep his patent in
force.
A patent is the actual issued document from the USPTO to grant patent
rights for the claimed invention. The USPTO publishes the patent in its final form
on the issue date. The published patent is assigned a reference number, termed the
patent number.
In order for the patent to remain in force, the USPTO requires the payment
of a maintenance fee at 3 1/2, 7 1/2, and 11 1/2 years. There is a six-month grace
period for each maintenance fee. Thus, if the maintenance fee is not paid by the 4,
8, or 12 year marks, the patent will lapse and be unenforceable. The maintenance
fees increase significantly the longer the patent is in force.