Attachment 22 - DataEntryManual-UTILITY-2020.doc

DATA ENTRY MANUAL FOR UTILITY PATENTS

Office of Data Management This document has been updated to incorporate the relevant portions of Office of Data Management Data Capture Bulletins No. 2019-1 through No. 2019-32 (that is, DCBs finalized during calendar year 2019).

TABLE OF CONTENTS

Section_I.

INTRODUCTION

Section_II.

FRONT PAGE – MASTHEAD

1.

Patent_Number_Bar_Code

2.

Office_Identification_and_Plain_Language Kind_Designation

3.

Code_US, Patent_Number, Kind_Code

4.

Inventor_Surname

5.

Patent_Date

Section_III.

FRONT PAGE – COLUMNS

6.

Title

7A. Applicant_Data

7B.

Inventor_Data

8.

Assignee_Data

9.

Term_Notice

CPA_Notice

Patent_Term_Adjustment_Extension PTA_PTE_Notice

Terminal_Disclaimer_TD_Notice

Multiple_Notices

One_Thirty_B_Text

10.

Application_Number

11.

Application_Filing_Date

12.

National_Stage_PCT_Data

13A. Prior_PreGrant_Publication_Data_B2_Only

13B. Related_US_Application_Data

13C.

Request_for_Continued_Examination RCE

13D. Continued_Prosecution_Application_CPA

14.

Foreign_Application_Priority_Data

15. International_Patent_Classification Reform_IPCR_Data

16.

Cooperative_Patent_Classification (CPC)

17.

Field_of_Classification_Search

18.

References_Cited

19.

Examiner_Data

20.

Attorney_Agent_Firm_Data

21.

Abstract

22.

Claim_Drawing_Sheet_Color_Sheet_Totals

22A.

Microfiche_Appendix_Information [***when microfiche appendix was filed before March 1, 2001***]

22B. Sequence_Listing_Statement Section_IV. REPRESENTATIVE DRAWING

23.

Representative_Drawing

Section_V. DRAWING(S)

24.

Drawings

Section_VI.

SPECIFICATION

25.

Overview

26.

Title_Spec

27. Reference_to_Prior_Related_Applications

28. Government_Interest_Statement

29. Reference_to_Compact_Disc

30.

Summary

31.

Brief_Description_of_Drawings

32. Detailed_Description

33.

Parts_of_Application_Filed on_Compact_Disc

34.

Sequence_Listing

35. Claims

Section_VII. TECHNOLOGY CENTER (GROUP) ART UNIT [Grant Red Book Only]

36.

Technology_Center_Group_Art_Unit [Grant Red Book Only]

Section_VIII. APPENDICES

Appendix_A: Two-Character Codes for U.S. States and Territories

Appendix_B : Two-Character Codes for Countries and Intergovernmental

Organizations

Appendix_C : Foreign City “Print Version” List

Appendix_D : WIPO Standard ST.10/C Tables Showing “Recommended

Presentation” Formats for Application Numbers

Appendix_E : Style Rules

Appendix_F : Application Data Sheet (ADS)

Appendix_G : Glossary

Appendix_H : Secreted Protein Database Initiative (SPDI) Applications

Appendix_I : Data Sources in Image File Wrapper (IFW) Applications

Appendix_J : Use of E-Signatures and E-Initials by Examiners, Other

Employees, and Contractors

Appendix_K: Exception Processing for Certificate of Correction When

Patent Grant’s Lengthy Table Section Was Not Published on PSIPS Appendix_L: Processing Instructions for Grant Red Book

Appendix_M: Notice to File Corrected Application Papers

Appendix_N: EFS-Web and SCORE (Grant and Pre-Grant) Appendix_O: Processing of Requests for Simultaneous Issuance of Patents Appendix_P: CPC-Related Changes to Electronic Official Gazette for Patents Appendix_Q: Lengthy Sequence Listings and Lengthy Tables in Patent Application (Pre-Grant) Publication and Grant Issuance Appendix_R: Yellow Book for Previously Issued Patents Section I. INTRODUCTION

For each item of information that needs to be captured and published, this data entry manual provides instructions that will be presented under the following headings (although additional headings are possible):

Data Source—Identification of the document or location to which the PaDaCap (Patent Data Capture) contractor will go to get the item of information.

Pre-Capture Verification—Instructions having to do with the PaDaCap contractor’s verification of the correctness of the item of information, including any guidelines for “printer rush” queries (although such guidelines may appear under other headings).

Composition— Instructions having to do with how the PaDaCap contractor will show the item of information in the Yellow Book and PostScript® products.

Although this manual does not address the Grant Red Book (searchable Full Text) products in a comprehensive way, for some items of information instructions will be provided under the heading Grant Red Book.

Nor does this manual address the electronic Official Gazette in a comprehensive way, but in a few instances instructions will be provided that pertain to the showing of an item of information in that product.

Section II. FRONT PAGE - MASTHEAD

1.

Patent Number Bar Code

Data Source

See 3. Code_US, Patent_Number, Kind_Code.

Pre-Capture Verification

Composition

The bar code for the U.S. patent number will appear in a horizontal direction on the patent front page. It will be centered above the patent number in the uppermost right-hand part of the front page.

Bar Code Characters

The bar code for a utility patent will consist of fifteen characters.

character 1 start code characters 2–3

US code character 4 one zero characters 5–12 eight-position utility patent number characters 13–14 two-character kind code (B1 or B2) character 15 stop code

For example: startUS010123456B1stop

Bar Code Type

Bar code type "Code 39" will be used, whereby each character is defined by a nine-character symbol consisting of five bars and four spaces. Each character is coded with three wide elements (bars and spaces) which represent "1" bits and six narrow elements (bars and spaces) which represent "0" bits.

Bar Code Minimum Requirements

To insure an optimum level of reading both with fixed scanners and with wand (hand-held) scanners, the following minimum requirements will be adhered to:

standard density

9.5 characters per inch (or 2.54 cm) minimum nominal width of narrow bars and spaces

0.190 mm (or 0.0075") minimum nominal width of wide bars and spaces

0.427 mm (or 0.0168") minimum bar height

6.10 mm (or 0.24") inter-character gap

1.52 mm (or 0.060") 2.

Office Identification & “Plain Language” Kind Designation

Data Source

The INID code (12), the office identification United States, and the “plain language” kind designation Patent are non-variable.

None.

The office identification and “plain language” kind designation are printed in the masthead, on the upper left side of the front page.

INID code (12) is printed as follows:

9-point

Times New Roman

United States Patent is printed as follows:

18-point uppercase and lowercase

Times New Roman Bold

The U vertically aligns with the first letter of the inventor’s surname (see 4. Inventor_Surname).

3.

Code US, Patent Number, Kind Code Data Source code US. This code is non-variable.

patent number. See 16. Cooperative_Patent_Classification (CPC), Grant Red Book. Each application will have one <main-cpc> block. Before the patent numbers are assigned, the utility applications to be issued will be sorted using their <main-cpc> blocks, as described below. For example:

<main-cpc>

<classification-cpc>

<cpc-version-indicator><date>20130101</date></cpc-version-indicator>

<section>H</section>

<class>05</class>

<subclass>H</subclass>

<main-group>1</main-group>

<subgroup>24</subgroup>

<symbol-position>F</symbol-position>

<classification-value>I</classification-value>

<action-date><date>20140909</date></action-date>

<generating-office><country>US</country></generating-office>

<classification-status>B</classification-status>

<classification-data-source>H</classification-data-source>

<scheme-origination-code>C</scheme-origination-code>

</classification-cpc>

</main-cpc>

NOTE: No CPC in section Y (like Y10S or Y10T) will be used as the <main-cpc>.

CPC “Section” (<section>, that is, A, B, C, D, E, F, G, or H) (Y will not be used for sorting)

CPC “Class” (<section><class> such as A47 or H05)

CPC “Subclass” (<section><class><subclass> such as A47F or H05H)

CPC “Main Group” (<section><class><subclass><main-group> such as A47F 5 or H05K 201)

CPC “Subgroup” (<section><class><subclass><main-group><subgroup> such as A47F 5/101 or H05K 201/0999 NOTE: After the slash, implied decimal after the second digit so that, for example, /101 = /10.1 and /0999 = /09.99

U.S. utility application number (such as 11995185)

Once the sorting has been completed, the utility patent numbers will be assigned in ascending sequence. For example:

A01B 1/022

10,222,997

A01B 1/04

10,222,998

A01B 1/225

10,222,999

A01B 1/24

10,223,000

A01B 71/08

10,223,001

A01B 73/06

10,223,002

A01B 73/062

10,223,003

A01B 79/005

10,223,004

A01B 79/02

10,223,005

A01N 65/44

10,223,006

A21B 1/02

10,223,007

A47L 601/06

10,223,008

A47L 601/20

10,223,009

A61B 5/02444 10,223,010

B01D 1/0094

10,223,011

B01D 1/02

10,223,012

B01D 3/205

10,223,013

B01D 3/22

10,223,014

B01D 11/04

10,223,015

B01D 11/0403 10,223,016

B01D 15/125

10,223,017 ( Appl. No. 14/123,456

B01D 15/125

10,223,018 ( Appl. No. 14/888,007

B01D 15/14

10,223,019

B02C 9/04

10,223,020

B02C 13/28663 10,223,021

B02C 13/288

10,223,022

B02C 13/29

10,223,023 kind code. The utility patent’s two-character kind code will be B1 if there was no pre-grant publication of the application, and will be B2 if pre-grant publication did take place.

· At the time of “issue build” the PaDaCap contractor will use its electronic pre-grant publication records to determine the kind code of each utility patent that is being placed in the issue. If the utility application has been published prior to “issue build” as an A1 document, the PaDaCap contractor will use kind code B2 for the utility patent. In all other situations the PaDaCap contractor will use kind code B1 for the utility patent.

· When the USPTO withdraws an A1 document after publication and the USPTO sufficiently prior to “issue build” notifies the PaDaCap contractor that the A1 withdrawal has taken place, the PaDaCap contractor will use kind code B1 for the utility patent.

See above.

The INID code (10), the Patent No.: heading, the code US, the eight-digit patent number, and the kind code are printed on the right side of the masthead, on the same line as the office identification and “plain language” kind designation.

INID code (10) is printed as follows:

The heading Patent No.: (including the colon) is printed as follows:

12-point

The code US, the eight-digit patent number, and the kind code are printed as follows:

14-point commas within the eight-digit patent number

For example: (10) Patent No.: US 10,234,432 B2 4.

Inventor Surname

Data Source

The sole or first-named inventor’s surname is printed in the masthead. See 7B. Inventor_Data.

NOTE:

See 7B. Inventor_Data, Data Source, ORDER of inventors. If the most recent PALM bibliographic data sheet (document code BIB)—or, if present, any later-dated corrected filing receipt (document code APP.FILE.REC)—shows multiple applicants and the first-named applicant is a legal representative, the PaDaCap contractor will treat as the first-named inventor the earliest-named applicant who is not a legal representative. For example, if the BIB/APP.FILE.REC shows the order as Corning (legal representative), Wheatley (inventor), Ryling (inventor), then the surname in the masthead will be “Wheatley et al.”

If no BIB or APP.FILE.REC is present in the allowed application at the time of export, the PaDaCap contractor will generate a BIB showing the at-allowance PALM data.

See 7B. Inventor_Data.

The surname is printed in the masthead, directly below the office identification and the “plain language” kind designation. There is no INID code.

The surname in the masthead is printed as follows:

The first letter of the surname vertically aligns with the U in the office identification.

additional instructions:

Follow the source with respect to Jr., III, etc. and with respect to diacritical marks such as acutes, umlauts, etc.; with respect to hyphenated surnames such as Smith-Jones; and with respect to unhyphenated Hispanic surnames such as Lopez Portillo.

If there are joint inventors, et al. will be printed after the surname.

5.

Patent Date Data Source

See Technical Reference 15: FILE MAINTENANCE AND FINAL DATA CAPTURE ISSUE BUILD REQUIREMENTS.

See above.

The INID code (45), the Date of Patent: heading, and the patent date itself are printed on the right side of the masthead, on the same line as the inventor surname, and directly beneath the Patent No.: data.

INID code (45) is printed as follows:

The Date of Patent: heading (including the colon) and the patent date itself are printed as follows:

month abbreviated as follows:

Jan. Feb. Mar. Apr. May Jun. Jul. Aug. Sep. Oct. Nov. Dec.

term notice indicator (asterisk) in masthead

For example:

(45) Date of Patent: * Dec. 14, 1984 In a utility patent or plant patent, when a terminal disclaimer (TD) notice appears on the front page or when a 20-year-term (CPA) notice appears on the front page, a term notice indicator (asterisk) will be printed in the masthead to the left of the patent date in the INID code (45) data.

Otherwise, inasmuch as each utility patent front page and each plant patent front page will show a patent term extension/adjustment (PTE/PTA) notice, no term notice indicator (asterisk) will be printed in the masthead when the PTE/PTA notice is the only notice.

Also, the presence of 37 CFR 1.130(b) text will not generate a term notice indicator (asterisk) in the masthead.

NOTE:

An asterisk within parentheses (in place of an INID code within parentheses) will be printed beside the sole or first-occurring notice. See 9. Term_Notice.

Section III.

FRONT PAGE - COLUMNS

6.

Title Data Source

With respect to the data source for the invention title in Image File Wrapper (IFW) applications, the relevant document codes are BIB (PALM bibliographic data sheet), APP.FILE.REC (in this instance, any corrected filing receipt with document code APP.FILE.REC dated later than most recent PALM bibliographic data sheet), ADS (application data sheet), SPEC (specification), NOA (Notice of Allowance and related papers, including Notice of Allowability with examiner’s amendment), and A.NA (post-allowance amendment under Rule 312).

If no BIB or APP.FILE.REC is present in the allowed application at the time of export, the PaDaCap contractor will generate a BIB showing the at-allowance PALM data.

The title of the invention is printed twice on the patent—on the front page (see here in 6. Title) and at the beginning of the specification (see 26. Title).

applicant supplies title on ADS or first page of specification. According to 37 CFR 1.76(b)(3), the applicant(s) may use an application data sheet (ADS) to provide application information, including the title of the invention. 37 CFR 1.72(a) says that, if the title of the invention is supplied on an ADS, then there is no requirement that the applicant show the title of the invention "as a heading on the first page of the specification." If the title is not supplied on an ADS, then the applicant should show the title as a heading on the first page of the specification.

USPTO policy of removing certain words and phrases from PALM versions of invention titles. When the title of the invention is entered into PALM, the Office of Patent Application Processing instructions are that the following word(s) will be removed as the first word(s) of the title (unless the word is part of a proper name—for example: New Guinea Impatiens Variety XYZ):

A

An

The

Improved

Improvements in

New

Novel

Related to

Design

Design for/of (a)

Ornamental design

Ornamental most recent PALM bibliographic data sheet—or, if present, any later-dated corrected filing receipt—to be used as source for title, with ADS/specification/amendment to be used as source for special characters and spelling corrections in title. The data source for the title of the invention will be the title as shown on the most recent PALM bibliographic data sheet (document code BIB)—or, if present, any later-dated corrected filing receipt (document code APP.FILE.REC)—which must be verified against the title as shown on the ADS or on the first page of the specification or on an at-allowance examiner’s amendment attached to the Notice of Allowability or on a post-allowance Rule 312 amendment that has been approved by the examiner.

special characters. Characters with diacritical marks, off-line characters, etc. that appear in the ADS/specification/amendment version of the title will be captured and printed. See Pre-Capture Verification information below.

spelling corrections. When there is a typographical error in the PALM (BIB or APP.FILE.REC) version of the title (for example, ELECTRCAL), the correctly spelled word will be captured and printed based on the spelling that is shown in the ADS/specification/amendment version of the title (for example, ELECTRICAL). NOTE: Unless the PaDaCap contractor is updating PALM during the entry of an at-allowance examiner’s amendment that changes the title (below see at-allowance amendment to title) or is updating PALM after the examiner has approved the entry of a post-allowance Rule 312 amendment that changes the title (below see post-allowance amendment to title), the PaDaCap contractor is not required to correct typographical errors in the title in PALM.

pre-allowance amendment to title. At the time of allowance, any pre-allowance amendments to the title should have been entered into PALM by the USPTO Technology Center. However, if the PaDaCap contractor should encounter a pre-allowance amendment to the title that was not entered into PALM, the PaDaCap contractor will proceed in accordance with the instructions for at-allowance amendments to the title (that is, correct the title in PALM Pre-Exam, generate a corrected filing receipt, etc.) Otherwise, in the absence of at-allowance and post-allowance amendments to the title, if the PALM version of the title and the ADS/specification version of the title are not identical but are obvious variants of the same title, then no "printer rush" query is necessary and the PaDaCap contractor will use the PALM bibliographic data sheet as the source for the title (except for special characters and spelling corrections, as described above). For example:

PALM version

ELECTRICAL CONNECTOR WITH GROUND CLIP

1st-page-of-spec version

CONNECTOR WITH GROUND CLIP

print version

ELECTRICAL CONNECTOR WITH GROUND CLIP

at-allowance amendment to title. If the Notice of Allowability includes an examiner’s amendment to the title of the invention, the PaDaCap contractor will correct the title in PALM Pre-Exam (unless the USPTO has already done so). The PaDaCap contractor will select “Print Corrected Filing Receipt” (that is, the PaDaCap contractor will not select “Print Bibliographic Data Sheet”). The corrected filing receipt generated by the PaDaCap contractor will be processed for mailing to the applicant or for e-notification of the applicant. See OPPIB No. 2007-8, ELECTRONIC DELIVERY MODE FOR OUTGOING CORRESPONDENCE, and see DCB No. 2007-22, CHANGES IN PALM PRE-EXAM. The corrected filing receipt (document code APP.FILE.REC) generated by the PaDaCap contractor will serve as the data source for the title (except for special characters and spelling corrections, as described above).

discrepancy between utility application’s title on PALM bibliographic data sheet and title in specification, resulting from amendment not having been entered. As stated above, the PaDaCap contractor will capture the title as it appears on the PALM bibliographic data sheet, as verified against the title as shown on an Application Data Sheet or on the first page of the specification or an amendment to the specification or on an at-allowance examiner’s amendment attached to the Notice of Allowability or on a post-allowance Rule 312 amendment that has been approved by the examiner, with special characters and spelling corrections taken from the ADS/specification/amendment version of the title.

At the time of allowance, it is assumed that any pre-allowance amendments to the title will have been entered into PALM by the USPTO Technology Center, and that the most recent PALM bibliographic data sheet (BIB) will show the correct wording for the title.

If the Notice of Allowability includes an examiner’s amendment to the title, the PaDaCap contractor will correct the title in PALM Pre-Exam. The PaDaCap contractor will select “Print Corrected Filing Receipt” (that is, the PaDaCap contractor will not select “Print Bibliographic Data Sheet”). The corrected filing receipt generated by the PaDaCap contractor will be processed for mailing to the applicant or for e-notification of the applicant. See OPPIB No. 2007-8, ELECTRONIC DELIVERY MODE FOR OUTGOING CORRESPONDENCE, and see DCB No. 2007-22, CHANGES IN PALM PRE-EXAM. The corrected filing receipt (document code APP.FILE.REC) generated by the PaDaCap contractor will serve as the source for the title, as described above.

· post-allowance amendment to title. A post-allowance Rule 312 amendment that changes the title must via RUSH be placed in the control of the appropriate USPTO Technology Center, so that the examiner can act upon the Rule 312 amendment and so that the Rule 312 action notification can be mailed to the applicant. When the examiner has approved the Rule 312 amendment and the application has been returned via XRUSH to the control of the PaDaCap contractor, the contractor will make sure the title has been corrected in PALM, making the PALM Pre-Exam correction if necessary. The PaDaCap contractor will select “Print Corrected Filing Receipt” (that is, the PaDaCap contractor will not select “Print Bibliographic Data Sheet”). The corrected filing receipt generated by the PaDaCap contractor will be processed for mailing to the applicant or for e-notification of the applicant. See OPPIB No. 2007-8, ELECTRONIC DELIVERY MODE FOR OUTGOING CORRESPONDENCE, and see DCB No. 2007-22, CHANGES IN PALM PRE-EXAM. The corrected filing receipt (document code APP.FILE.REC) generated by the PaDaCap contractor will serve as the data source for the title (except for special characters and spelling corrections, as described above).

applications filed under 35 U.S.C. 371. The U.S. National Stages of PCT applications use the application papers received from the International Bureau of the World Intellectual Property Organization, as well as papers filed by the applicant. The publication of the international application by WIPO (the pamphlet) may not be in English, but it contains a cover page that is an important source of the correct application data. See MPEP Section 1893.03(e) Papers Received from the International Bureau and Placed in a U.S. National Stage Application File. In such an application, there may be a difference between the title in PALM and the title provided on the first page of the specification (or on an ADS), particularly if the specification is an English translation, because the title in PALM is taken from the cover page of the international publication, and the specification translator's version of the title may differ from the version of the title that appeared on the international publication (or the applicant who files an ADS may show the title with different wording than was used on the international publication). The PALM bibliographic data sheet version of the title( authoritative since it was taken from the international publication's cover page, or any Application Data Sheet( will be the data source. Although the first page of the specification (or ADS) may not have been the document from which the USPTO entered the title into PALM, the PaDaCap contractor nevertheless will go to the first page of the specification (or ADS) for any special characters or any spelling corrections, as described above, although it is recognized that all of the same words may not be present in both versions of the title. For example, the first page of the specification shows the title as METHOD OF MAKING H2O. The international publication's cover page showed the title as DEVICE AND METHOD OF MAKING H2O, and so the USPTO entered the title into PALM as DEVICE AND METHOD OF MAKING H20. The PaDaCap contractor will capture the PALM bibliographic data sheet's version of the title, and will capture the subscript 2 as shown on the first page of the specification's version, and will print the title as DEVICE AND METHOD OF MAKING H20.

trademarked names. MPEP 608.01(v), Trademarks and Trade Names, states:

However, the presence of a trademarked name in the title of the invention in an allowed application will not be questioned by the PaDaCap contractor as long as the title source shows the appropriate symbol ® or ™ or the equivalent in words. The PaDaCap contractor will initiate a printer RUSH when what appears to be a trademarked name is shown in the title source without ® or ™ or the equivalent in words. The PaDaCap contractor will proceed in accordance with the XRUSH, even if the XRUSH confirms/approves the trademarked name’s presence in the title of the invention without ® or ™ or the equivalent in words. Below see Pre-Capture Verification, “printer rush” guidelines length of title. 37 CFR 1.72(a) limits the length of the title of the invention to 500 characters. (The length limitation of 255 characters is no longer in effect.) See the fourth “printer rush” query guideline below.

“printer rush” query guidelines. The PaDaCap contractor will initiate a "printer rush" query if:

SYMBOL 220 \f "Wingdings" The PALM (most recent BIB or, if present, later-dated APP.FILE.REC) version of the title and the ADS/specification/amendment version of the title reflect different subject matter. For example, the PALM version is ELECTRICAL CONNECTOR WITH GROUND CLIP and the specification or specification amendment version is CUTTING HEAD FOR LAWN MOWER.

The title is insufficiently descriptive—that is, the title in its entirety is a nonspecific word like MACHINE, PROCESS, APPARATUS, DEVICE, or the like.

The title appears to contain a trademarked name without a trademark symbol (or the equivalent in words). For example, any of the following titles should be the subject of a RUSH:

LOWER-DIGIT PIXELATION FOR LAMISIL USERS

DISPLAY CASE FOR OSCAR-TYPE STATUETTES

CONFIGURATION OF COMPONENTIZED ADOBE SOFTWARE PRODUCTS

The PaDaCap contractor will proceed in accordance with the XRUSH, even if the XRUSH confirms/approves the trademarked name’s presence in the title of the invention without ® or ™ or the equivalent in words.

The length of the title is more than 500 characters.

required modifications to title. The PaDaCap contractor must make the following changes to the title before capturing it (no "printer rush" query is necessary, and PALM does not need to be updated):

An article—that is, A, AN, or THE—is to be removed as the first word of the title. For example, A MOLDING MACHINE WITH PATTERN VENTING must be changed to MOLDING MACHINE WITH PATTERN VENTING.

Terms such as NEW (see EXCEPTION below), RELATED TO, IMPROVED, or IMPROVEMENTS IN are to be removed as the first word(s) of the title. For example, IMPROVED STEM CUTTING DEVICE should be changed to STEM CUTTING DEVICE.

EXCEPTION:

When NEW is part of a proper name, it will not be removed as the first word of the title. For example, if the title of the utility or plant patent is NEW GUINEA IMPATIENS VARIETY XYZ, the word NEW will not be removed.

· British spellings in the title will not be Americanized.

special characters in title should be printed. The PALM version of a title sometimes reflects the limitations of the PALM database:

off-line characters. The PALM version of the title may not show off-line characters. For example, H20 may appear in the PALM version of the title while H2O appears in the ADS/specification/amendment version of the title. The PaDaCap contractor will print H2O.

Greek letters. The PALM version of the title may spell out Greek characters that appear as symbols in the specification/ADS version of the title. If ALPHA appears in the PALM version of the title but α appears in the ADS/specification/amendment version, the PaDaCap contractor will print α.

punctuation. If the PALM version of the title and the ADS/specification/amendment version of the title differ as to punctuation, the PaDaCap contractor will print the punctuation as shown in the ADS/specification/amendment version. For example, if the PALM version shows the character [ where the ADS/specification/amendment version shows the character { then the PaDaCap contractor will print the { .

degree symbols. The PALM version of the title may show a space (80 C) where the ADS/specification/amendment version shows a degree symbol (80°C). The PaDaCap contractor will print the degree symbol .

diacriticals. The PALM version of the title may not show acutes, umlauts, etc. For example, if the PALM bibliographic data sheet version of the title shows the word AEDES while the ADS/specification/amendment version renders the word as AËDES, the PaDaCap contractor will print AËDES.

italics. The PALM version of the title may not show the italics that appear in the ADS/specification/amendment version. Therefore, if the PALM version is BACILLUS THURINGIENSIS ISOLATE ACTIVE AGAINST DEPTERAN PESTS but the ADS/specification/amendment version is BACILLUS THURINGIENSIS ISOLATE ACTIVE AGAINST DEPTERAN PESTS, the PaDaCap contractor will print the italics.

trademark symbols. When present in the title source, a symbol such as ® or ™ will be printed. When the title source shows the equivalent in words—Registered Trademark, Reg. Trademark, Trademark, or the like—the words will be printed.

An ampersand in the title will be changed to the word AND. For example, SYSTEM & METHOD OF HEATING SWIMMING POOLS & SPAS WITH STEAM must be changed to SYSTEM AND METHOD OF HEATING SWIMMING POOLS AND SPAS WITH STEAM.

Composition

The title of the invention is printed as the first item in the left column of the front page. The INID code is (54).

INID code (54) is printed as follows:

flush left

The title of the invention is printed as follows:

uppercase

NOTE:

When the title at INID code (54) includes the scientific (Latin) name of an organism, use uppercase Italic Bold for genus, species, and variety (subspecies). However, use uppercase Roman Bold for the abbreviation SP. when it appears in place of a species name and for the abbreviation VAR. when it precedes the variety (subspecies).

Additional printing instructions:

Print multiple-line titles flush left with the first line. Use no hyphenation. Use ragged right-hand margin.

Abbreviations are acceptable in the title—for example, SQ., IN., ETC., P.S.I., P.P.M.

E X A M P L E S of composed titles (front page)

(54)

HIGH STRENGTH AND DENSITY

TUNGSTEN-URANIUM ALLOYS

TETRAZOLEACETIC ACID DERIVATIVES

AND METHOD OF ALDOSE REDUCTASE

INHIBITION THEREWITH

ROD CUTTER

PROCESS FOR THE PREPARATION OF

2'-DEOXY-(-ADENOSINE

ELASTIC MOUNT HAVING MAIN FLUID

CHAMBER COMMUNICATING WITH

AUXILIARY FLUED CHAMBER PARTIALLY

DEFINED BY OSCILLATING PLATE

PROCESSING ARRANGMENT FOR

OPTICAL RATE SENSOR

DEVICE FOR TRAPPING MUS MUSCULUS

METHOD FOR CLONING E. COLI

PROCESS FOR PRODUCING

PICHIA SP.

TREATMENT FOR STREPTOCOCCUS

INFECTION

PROCESS FOR PRODUCING

LACTOBACILLUS CASEI VAR.

RHAMNOSUS

ALKALOPHOBIC BACILLUS SP. AC99

ENZYME FROM FLAVOBACTERIUM

SP. STRAIN AG007

7A.

Applicant Data Background—applications filed on or after September 16, 2012

For 35 U.S.C. 111(a) applications the operative filing date is the U.S. filing date.

For 35 U.S.C. 371 (national stage) applications the operative filing date is the PCT filing date.

In 7B. Inventor_Data see

Application Data Sheets and Oaths under the America Invents Act.

applicant versus inventor. Under the America Invents Act (AIA), in an application filed on or after September 16, 2012, the applicant and the inventor are not necessarily the same entity. For an application filed on or after September 16, 2012, the applicant may be any of the following:

· inventor

· legal representative (under 35 U.S.C. 117) of deceased or legally incapacitated inventor

· assignee

· obligated assignee (“a party to whom the inventor is under an obligation to assign”)

· proprietary party (“party who otherwise shows sufficient proprietary interest in the claimed invention”)

In an application filed on or after September 16, 2012, there can be multiple applicants. An inventor must be an individual. A non-inventor applicant—legal representative, assignee, obligated assignee, or proprietary party—may be either an individual or an organization.

See 37 CFR 1.46 and see 37 CFR 1.424.

As stated in the final rulemaking, “AIA disconnects being the applicant from being the person who must execute the oath or declaration.”

The assignee, obligated assignee, or proprietary party may file the application and be identified as, and treated as, the applicant even when the inventor is living, is not legally incapacitated, is available, and is willing to sign an oath/declaration.

When the applicant is somebody other than the inventor:

· In an application filed under 35 U.S.C. 111(a), when the assignee, obligated assignee, or proprietary party is the applicant, that party is required to file a signed application data sheet (document code ADS) on which the Applicant Information section has been completed.

NOTE: The PTO/AIA/14 and other application data sheets typically show an Applicant Information section for establishing an applicant who is other than the inventor, and a separate section called Assignee Information including Non-Applicant Assignee Information for identifying the assignee that’s to be printed on the patent application (pre-grant) publication. However, it sometimes happens that an application data sheet will show a combined section heading like Applicant/Assignee Information or like Applicant and/or Assignee Information. An application data sheet with such a combined heading—as long as the required information is present under that heading, the sheet is properly signed, etc.—is proper for establishing the assignee, obligated assignee, or proprietary party as the applicant. For example, the following establishes the obligated assignee as the applicant:

· In a 35 U.S.C. 371 national stage PCT application, the original applicant(s) are the parties identified as the applicant(s) for the US on the international publication’s front page (ABST or 371P or P.PAMPHLET). When the assignee, obligated assignee, or proprietary party is the applicant, the front page of the international publication must show that assignee, obligated assignee, or proprietary party at the sole INID (71). When there is only one INID code (71) on the international publication’s front page, it indicates the applicant(s) for all designated countries (“States”) including the US. An applicant indicated by the sole code (71) on the international publication’s front page will be a party other than the inventor. Below see Data Source & Pre-Capture Verification—applications filed on or after September 16, 2012, where there is further discussion, including examples, of how the international publication’s front page indicates the applicant for the United States.

· When the legal representative of a deceased or legally incapacitated inventor is the applicant, an ADS is recommended but not required. A legal representative who executes a substitute statement (OATH) on behalf of a deceased or legally incapacitated inventor is an applicant. If an ADS is present in the application, it is not required to identify the legal representative in its Applicant Information section, even if other applicant(s) are identified there.

· If the assignee or obligated assignee is the original applicant, documentary evidence of ownership such as an assignment is not required at that point. (The assignment should be recorded in the USPTO no later than payment of the issue fee. For when “an assignee who is not the original applicant” wants to become the applicant, see changing the applicant below.)

· If the applicant is a proprietary party, the applicant must also file a petition and fee plus documentary evidence of proprietary interest and a “statement” that the filing “is appropriate to preserve the rights of the parties.” As shown below under Pre-Capture Verification—applications filed on or after September 16, 2012, the PaDaCap contractor is required to verify that the proprietary party has filed a proper petition and that the petition has been granted. NOTE: In an international (PCT) application, the documentary evidence and the rights-of-the-parties “showing” are required in the national stage.

correcting or updating the name of the applicant. Per 37 CFR 1.46(c)(1), “Any request to correct or update the name of the applicant after an applicant has been specified … must include an application data sheet … specifying the correct or updated name of the applicant in the applicant information section.”

A change in the corporate name (for example, from Poetry in Motion Ltd. to Villanelle Inc.) is such a correction/update. Typically a transmittal letter (see R46C.REQ code below) accompanying the application data sheet will make clear that this is a change of company name and not a change of applicant.

A 3.73(c) statement is not required to correct or update the name of the applicant. Below under Data Source & Pre-Capture Verification—applications filed on or after September 16, 2012, see additional verification guidelines – applicant data and see when applicant change comes in after IFEE payment.

R46C.REQ is the IFW code for the cover letter or other document that may accompany the application data sheet (ADS) that is “specifying the correct or updated name of the applicant.”

changing the applicant. Per 37 CFR 1.46(c)(2), “Any request to change the applicant after an original applicant has been specified … must include an application data sheet … specifying the applicant in the applicant information section … and comply with §§ 3.71 and 3.73 [prosecution of application by assignee].”

That is, in addition to the ADS, the “assignee who is not the original applicant” must submit a signed 3.73(c) statement—formerly a 3.73(b) statement—to establish ownership and take over the prosecution.

If the application is the national stage under 35 U.S.C. 371 of an international PCT application, and if the front page of the international publication (ABST or 371P or P.PAMPHLET) shows (72) Inventors; and (71) Applicants (for US only) information, then the inventor(s) are the original applicant(s), which means that a properly signed ADS showing the assignee (or obligated assignee or proprietary party) as the applicant—even if such ADS was submitted at the beginning of the U.S. national stage—must be accompanied by a proper 3.73(c) statement. (However, if it accompanies the international application as it enters the U.S. national stage, the ADS does not have to show underlining, striking through, or bracketing.) There is more about this below under Data Source & Pre-Capture Verification—applications filed on or after September 16, 2012.

For an extended period the previous document code R3.73B was used for 3.73(c) statements, but more recently the document code R3.73 is being used. Exception: If the applicant files a combination power-of-attorney and 3.73(c) statement, the 3.73(c) statement may be shown under document code PA.. .) Below under Data Source & Pre-Capture Verification—applications filed on or after September 16, 2012, see additional verification guidelines – applicant data and see when applicant change comes in after IFEE payment.

R46C.REQ is the IFW code for the “request to change the applicant” cover letter or other document that may accompany the ADS and the R3.73.

Another scenario: If the two original applicants are Exe Inc. and inventor Wye, and if there is a request under 1.46 to change the applicant by removing Exe Inc. and making inventor Wye the sole applicant, the 1.46 request must include a proper ADS plus a 3.73(c) statement showing the chain of title transferring Exe Inc.’s interest back to inventor Wye. However, the 1.46 requirements would not need to be met if there was a grantable petition under 1.182 (see next).

applicant-related petition under 1.182. It is possible for an applicant-related petition to be filed under 37 CFR 1.182 (Questions not specifically provided for). If such a petition is granted, the applicant information can be corrected or changed without the necessity of meeting the requirements of 37 CFR 1.46. For example, if a granted 1.182 petition removes an applicant who was never a proper applicant under 1.46(c), an R.373 and a marked-up ADS would not be needed.

applicant information change on form PCT/IB/306. Below see 14. Form PCT/IB/306 (Notification of the Recording of a Change) and applicant changes. When the P.306 (form PCT/IB/306) provides an applicant information change, and when the most recent APP.FILE.REC/BIB reflects the applicant information change shown on the P.306 (form PCT/IB/306), the PaDaCap contractor will use the P.306 (form PCT/IB/306) as the data source for the applicant information.

PLT Model Request Form. Beginning December 18, 2013, as a consequence of the Patent Law Treaties Implementation Act of 2012 (PLTIA), the PLT Model Request Form—that is, the MODEL INTERNATIONAL FORM UNDER THE PATENT LAW (PLT) called REQUEST FOR THE GRANT OF A PATENT (Form PLT/request)—is an acceptable version of the application data sheet for the purpose of naming a non-inventor applicant. The PLT Model Request Form will be coded as ADS in the Image File Wrapper system. On the PLT Model Request Form, the area for showing the name and residence of the applicant is Name and address sub-box in Box No. II APPLICANT(S). On the PLT Model Request Form, the area for showing the signature is Box No. XII SIGNATURE OR SEAL OF APPLICANT OR REPRESENTATIVE; DATE.

Data Source & Pre-Capture Verification—applications filed on or after September 16, 2012

The applicant information consists of the applicant’s name and residence (city + state code + code US; or city + foreign country code).

However, below see exception with respect to applicant’s residence.

When the following instructions refer to the international publication’s front page (ABST or 371P or P.PAMPHLET) as the source for the applicant information, and when there are multiple front pages (for example, A2 and A3 documents), the later/latest front page (in this example, the A3 document) will be used.

Also, below see 14. Form PCT/IB/306 (Notification of the Recording of a Change) and applicant changes.

· applicant who is not an inventor When the applicant is not an inventor:

· application data sheet required (however, see exceptions 2 and 3 below) for assignee obligated assignee proprietary party(

· application data sheet recommended for legal representative(( of deceased/incapacitated inventor

As shown below under PaDaCap contractor’s verification of “proprietary party” petition, the PaDaCap contractor is required to verify that the proprietary party has filed a proper petition and that the petition has been granted.

The “legal representative”—under 35 U.S.C. 117, which see below—is the person (such as heir, executor, or administrator) who acts on behalf of a deceased or legally incapacitated inventor. However, the legal representative may be an institution, in which case the institution itself, not the person who signs the ADS or OATH (substitute statement) on the institution’s behalf, is the legal representative.

With three exceptions, the INID (71) Applicant data source for the name and residence of an applicant who is not an inventor is the signed ADS that establishes the applicant(s) or shows changes in its Applicant Information section (Box No. II APPLICANT(S) on the PLT Model Request Form). As stated in 37 CFR 1.76, “An unsigned application data sheet will be treated only as a transmittal letter.” Once a signed ADS has been filed and/or once data has been made of record in PALM from any source (such as an OATH), any later-filed ADS will not be used as a data source unless it is signed and unless it is marked up to show the changes and also accompanied by a signed and complete 3.73(c) statement when applicable.

The three exceptions are these:

1. On a substitute statement (OATH) executed by a legal representative on behalf of a deceased or legally incapacitated inventor, the PERSON EXECUTING THIS SUBSTITUTE STATEMENT section will be the source for the name and residence of the legal representative. Such a legal representative will be printed in the (71) Applicant data whether or not that legal representative is identified in the Applicant Information section of an ADS.

2. In a 35 U.S.C. 371 national stage PCT application, the original applicant(s) are the parties identified as the applicant(s) for the US on the international publication’s front page (ABST or 371P or P.PAMPHLET). When there is only one INID code (71) on the international publication’s front page, it means that the identified applicant(s) are the applicant(s) for all designated countries including the US. When there is only one INID code (71) on the international publication’s front page, the applicant will be a party other than an inventor. For example:

NOTE: If the front page of the international publication (ABST or 371P or P.PAMPHLET) shows (72) Inventors; and (71) Applicants (for US only) information, then the inventor(s) are original applicant(s), which means that a signed ADS showing the assignee (or obligated assignee or proprietary party) as the applicant—even if such ADS was submitted at the beginning of the U.S. national stage—must be accompanied by a proper 3.73(c) statement. (Underlining, striking through, or bracketing is not required for an ADS that accompanies an international application that is entering the U.S. national stage. An ADS filed after the national stage has begun must meet the markup requirements.)

3. An application data sheet is not required in a 35 U.S.C. 371 national stage PCT application. If there is no application data sheet in the national stage application, the applicant(s) printed at INID (71) are the parties identified as such on the front page of the international publication (ABST or 371P or P.PAMPHLET).

If the national stage application lacks an international publication front page (ABST or 371P or P.PAMPHLET) the PaDaCap contractor will obtain the international publication’s front page from either of the following:

WIPO website: http:/patentscope.wipo.int/search/en/advancedSearch.jsf; or

Espace: http://worldwide.espacenet.com/advancedSearch?locale=en_EP

If the international publication’s front page cannot be obtained from one of these sources, the original applicant(s) will be established by the signed ADS that accompanies the application as it enters the national stage.

See Form PTO/AIA/14, Application Data Sheet 37 CFR 1.76. The non-inventor applicant will complete the form’s Applicant Information section, the beginning of which shows the instructions for its completion:

The PaDaCap contractor’s source for the non-inventor applicant’s NAME will be the Given Name, Middle Name, Family Name, Suffix fields or the Organization Name field in the Applicant Information section of the application data sheet:

The PaDaCap contractor’s source for the non-inventor applicant’s RESIDENCE (city, U.S. state, US; or foreign city and country) will be the City, State/Province, and Country fields in the Mailing Address Information sub-section of the Applicant Information section of the application data sheet ADS.

On the PLT Model Request Form, the PaDaCap contractor’s source for the non-inventor applicant’s NAME and RESIDENCE (city, U.S. state, US; or foreign city and country) will be the Name and address sub-box in Box No. II APPLICANT(S) and any sheets with the heading Continuation of Box No. II FURTHER APPLICANT(S):

When the legal representative of a deceased/incapacitated inventor has executed a substitute statement—whether or not the legal representative is identified in the Applicant Information section of an ADS—then the legal representative is an applicant, and the source document for the applicant data with respect to the legal representative is the substitute statement (OATH) and, possibly, the ADS. For example, see Form PTO/AIA/04, SUBSTITUTE STATEMENT IN LIEU OF AN OATH OR DECLARATION FOR UTILITY OR DESIGN PATENT APPLICATION (35 U.S.C. 115(d) AND 37 CFR 1.64). In the section called PERSON EXECUTING THIS SUBSTITUTE STATEMENT, the source for the legal representative’s NAME will be the Name field and the source for the legal representative’s RESIDENCE will be the Residence section’s City, State, and Country fields, except that—inasmuch as the substitute statement signer’s residence may be provided on the ADS only (see second highlight below)— the Applicant Information section of the ADS may be the source of the legal representative’s RESIDENCE:

Also, for non-inventor applicants in general, below see exception with respect to applicant’s residence.

NOTE: For an application filed on or after September 16, 2012, the correct USPTO-provided application data sheet form is PTO/AIA/14. In an application filed on or after September 16, 2012, if the applicant incorrectly uses the USPTO-provided application data sheet form PTO/SB/14, the information in the Assignee Information section of the PTO/SB/14 should not be entered into PALM as applicant data. When the PaDaCap contractor sees that the Assignee Information section of the PTO/SB/14 has been used as the PALM source for applicant data, the PaDaCap contractor will make the necessary corrections to PALM and will send out a corrected APP.FILE.REC.

· inventor-applicant Each inventor who is also an applicant will be identified on the patent front page in both INID (71) Applicant data and INID (72) Inventor data.

In an application filed under 35 U.S.C. 111(a), the inventor-applicant is established by the first signed ADS or first signed OATH. If the first signed ADS is submitted on the same day as the first signed OATH, the first signed ADS will govern. In an application filed on or after September 16, 2012, the ADS is the more likely establisher of the inventorship for two reasons: an ADS may be required for other reasons (domestic benefit claim, foreign priority claim), and the OATH is not due until the time of payment of the issue fee.

In the national stage under 35 U.S.C. 371 of an international PCT application, the inventor-applicant is established by the front page of the international publication (ABST or 371P or P.PAMPHLET), where INID code (71) may appear multiple times.