Attachment 13 - Front End Processing (FEP) Manual for Indexing and Scanning.docx

Front End Processing (FEP) Manual

September 17, 2019

Front End Processing (FEP)

· FEP entails the duties necessary to ensure that applicant/inventor submissions are correctly entered into the official electronic file wrapper.

· New applications are documents submitted to the USPTO for the first time comprising the initial patent application. Newly filed applications typically contain five to seven unique documents all with the same mailroom date.

· Follow on Documents are documents submitted after the initial filing of the application.

· Residual Applications are applications are in a paper file wrapper that is to be converted to images stored in the official electronic file wrapper.

· FEP also performs the duties necessary to ensure United States Patent and Trademark Office (USPTO) generated correspondence and documents are correctly entered into the official electronic file wrapper.

· FEP includes a customer service element to respond to requests to correct or update the official electronic file wrapper content.

Document Pickup and Tracking

· The contractor will pick up from the locations at prescribed intervals identified by the USPTO in APPENDIX ONE.

· The contractor will create and maintain a tracking database to log actual pick up dates, times and locations. The tracking information will be maintained in such a way that the pick-up information is linked to the document packages created during indexing and scanning.

Turnaround Time Requirements

· The contractor will deliver images and metadata according to the table below.

· Whenever the Government requests expedited service, the contractor will deliver images and metadata within one business day.

Patent Application Location and Monitoring (PALM) Data and Verification Requirements

The USPTO currently uses the PALM system to track and monitor patent applications. This electronic data base stores information about applications, including bibliographic data, file histories, statuses, locations, etc.

The contractor will ensure that each new application is initialized in this system and ensure an image file flag exists.

New U.S. Application Initialization

The contractor will capture the metadata needed to effect PALM initialization for each new U.S. application processed. The contractor may enter these fields directly into their own user interface during data preparation, or may wish to wait to extract and capture this data automatically using recognition software (e.g. OCR) by processing scanned images. The contractor will use USPTO provided service functions to update PALM. The metadata required to initialize a new application is listed below:

· Check the Image flag in EFW: the default value is Y; the flag should be changed to Y in older applications or upon request from the USPTO in order to deliver the application to IFW.

· Mail Room Date: this is the PTO RECEIVE DATE that is stamped in the top left area of the control sheet. However, if no PTO RECEIVE DATE is present on the control sheet, use the APPLICATION FILING DATE from the bar code label in the top right area of the control sheet.

· Effective Receipt Date: if present on the control sheet, this is the bar code label under the APPLICATION FILING DATE in the top right area of the control sheet.

· Express Mail Tracking Number: this typically located on the express mail envelope if present. Furthermore, it need only be captured if there an effective receipt date (APPLICATION FILING DATE) is earlier than PTO RECEIVE DATE. The contractor can scan these and extract the tracking number using electronic means, but the image of the envelope is not to be delivered to the official electronic file wrapper. In instances where the Express Mail Label cannot be captured but actual Express Mail envelope is present, the contractor will use earlier date specified on the Control Sheet as the filing date and will not capture tracking number.

· Application Number: this is located on the bar code label in the top center of the control sheet.

· Post Card Received: use to indicate whether or not the applicant submitted a self-addressed postcard for use as confirmation of receipt.

· Biotech: if the application is a biotechnology application, this value should be designated.

· Biochemical Diskette Received: if the applicant submitted a CRF (computer readable form of a Sequence Listing), this value must be set to Y.

· Application Type and Subject Matter: the table below shows the Application Type and Subject Matter codes and when each is used.

Note: Parent Continuity is not required.

Image File Wrapper Flag (New and Residual Applications)

· The contractor will verify that the application number exists in PALM using USPTO supplied services.

· If the application number is not found, then the contractor will forward the documents to the appropriate Government Representative.

· If the application number is not found for a new National Stage Application, the contractor shall deliver the package with an embedded message indicator (MBS 1428). The message indicator will allow for system delivery of a message to the IFW PCTUnmatched mailbox.

· If the application number is not found for a non-supported PCT Country code, the contractor shall deliver the package with an embedded message indicator (MBS 1428). The message indicator will allow for system delivery of a message to the IFW PCTUnmatched mailbox.

· The contractor will ensure that the official electronic file wrapper flag is activated indicating the application has been delivered to the official electronic file wrapper.

License and Review Secrecy Status (New and Residual Applications)

· The contractor will verify the application is not under secrecy order (L&R code = 4) prior to delivery to the official electronic file wrapper.

· If the case is under secrecy order, the contractor will process the documents according to Secrecy Order Process described later in this document.

Document Preparation

New Applications

· The contractor will remove all extraneous materials (i.e. staples paper clips, rubber bands etc.) prior to delivery to the official electronic file wrapper.

· Unprocessed checks found within the documents will be returned to the sending location or forwarded to the appropriate Government Representative.

· Credit card authorization forms will not be delivered to the official electronic File Wrapper unless the credit card number has been redacted.

· The contractor will discard copies of U.S. patents and U.S. patent application publications that accompany an information disclosure statement document (Form PTO-1449, Form PTO/SB/08A, Form PTO/SB/08B, or equivalent forms created by the applicant) when the U.S. patents or U.S. patent application publications are listed on the information disclosure statement document. These documents may be discarded without shredding.

· The contractor will, on occasion, create an information disclosure statement document either manually on paper or electronically as part of the application package for any U.S. patent or U.S. patent application publication submitted without an information disclosure statement document or not listed on an accompanying information disclosure statement document. This information disclosure statement document will be delivered to the official electronic file wrapper. This process insures there is no discrepancies between the IDS in the application and the actual received documents.

· The contractor will deliver to the official electronic file wrapper any copies of foreign patent documents, copies of original application papers filed as references and copies of non-patent literature.

· The contractor will place an asterisk beside any foreign patent document or a non-patent-literature document reference citation on the information disclosure statement document if the copy of the reference does not accompany the submission. The contractor will annotate the bottom of the information disclosure statement document “PTO did not receive items marked with *.”

· The contractor will deliver to the official electronic file wrapper any U.S. patents and U.S. patent application publications that are submitted as part of any other document other than an information disclosure statement document.

Follow on Documents

Document Preparation and Inspection for Follow on documents is identical to new applications with the following exceptions:

· Express Mail envelopes (if present) are boxed but not scanned for follow on PCT (Patent Cooperation Treaty) documents only.

· Third Party or Protest (T844) documents will be indexed and scanned only when there is a routing sheet and documentation contains an initialed approval.

· If no routing sheet or approval is present, return to the sending location or appropriate Government Representative.

· If the follow on document is undelivered mail returned to the USPTO, then the contractor will copy the return mail envelope and the copy is scanned with the returned documents. The original should be placed in the back of the batch, such as behind a “Do Not Scan” sheet to prevent scanning with the rest of the package.

· Copies of patents or publications submitted with a reexamination application will not be discarded.

· Copies of US patents/Grants, any other references (including copy of the patent application prosecution history file wrapper), exhibits, attachments or court cases that are not part of an IDS filing will be treated as other references unless it is the surrender of the original patent grant for reexamination applications.

· Postcards will be returned to the sending office and not processed.

· The Office of Patent Application Processing (OPAP) will create and apply the barcode label to any CRF filed as part of a follow on document and forward the CRF to the appropriate location.

· The contractor will apply an annotation consisting of the application number and date on all PCT follow on documents (e.g. PCT/CCYY/0NNNNN DD.MM.YYYY)

Residual Applications

Document Preparation and Inspection for residual documents is identical to follow on applications, with the following exceptions.

· The paper file wrapper must be received in PALM by the contractor.

· Paper file wrappers with a PALM status 150 or 160-169 sent for delivery to the official electronic file wrapper must be accompanied by a request form from Office of Patent Legal Administration (OPLA) or the Office of Petitions.

· If a request form is not present, then the contractor will send the paper file wrapper application the Files Repository 9200 location.

· The contractor will photocopy, index, and scan certain portions of the paper file jacket whenever they contain information. Blank portions of the paper file jacket will not be photocopied, indexed, and delivered to the official electronic file wrapper: The following portion of the paper file jacket will be photocopied, indexed and delivered to the official electronic file wrapper.

· The Index of Claims

· The PREPARED AND APPROVED FOR ISSUE information, including the ISSUING CLASSIFICATION section

· The TERMINAL DISCLAIMER section

· The CLAIMS ALLOWED section

· The SEARCHED information.

· ALL paper copies of U.S. references found in the file wrapper should be discarded.

· Duplicate papers will be left in the jacket and not delivered to the official electronic file wrapper.

· The contractor will review the official electronic file wrapper to determine what documents are available in PCT Residual cases and only documents that are not available will be delivered to the official electronic file wrapper. If no documents were found to be scanned the Contractor will box the file jacket.

· If the documents include a postcard, the contractor will return to the sending location or appropriate Government Representative.

Blank pages, informational labels and pages only showing page numbers

· The contractor will discard blank pages after ensuring the page is completely blank.

· The contractor will not deliver the back pages of any documents (commonly drawings and specifications) containing labels attached by the applicant which only contain identifying information such as application/attorney information.

· The contractor will annotate any page showing a page number as the header or footer but is otherwise blank with “THIS PAGE IS BLANK”.

· The contractor will deliver this annotated page to the official electronic file wrapper.

Damaged, Fragile and Odd Sized Pages

· The contractor will use a flatbed scanner or make a photo copy to use with hi-speed scanning equipment for any page that will likely not survive the normal scanning process.

· The contractor will retain the original and the copies in the evidence copy box.

· The contractor will transpose any undersized documents onto standard 8x11 paper as part of the scanning process.

· The contractor will reduce any oversized documents scaled to fit as appropriate. A4 is the preferred size for reduction, but 8.5x11 can be used when using a photocopy machine.

Documents Not Received

· The contractor will make sure that the documents and items listed on the transmittal and postcard(s) for new U.S. were actually received.

· The contractor will apply the NOT REC’VD (write in missing document) ink-stamp to the transmittal letter and postcard(s) if any listed documents or items are missing.

· The contractor will write the name of the missing document or item on the blank line of each stamped message.

Control Sheets

· The contractor will ensure that the Office of Patent Application Processing (OPAP) has assigned the application number to the control sheet (barcodes for new US applications and stamps for international and national stage applications).

· The contractor will return to the sending location or forward to appropriate Government Representative any control sheet that has a missing application number or date is and/or an incorrect application type is assigned.

Express Mail Envelopes

· The contractor will retain and box Express Mail envelopes for National Stage and New Patent Cooperation Treaty (PCT) applications.

· Express Mail envelopes for US applications are retained for use during initialization but do not require long term retention.

Poor Document Quality

· The contractor will attempt to improve the quality of any document that results in a poor image by using different scanner settings, image enhancement tools or photocopying.

· If the quality of the document is such that it cannot be corrected or improved by photocopying, scanner settings, or image enhancement tools, and results in a poor-quality scanned image, the contractor will follow the process outlined below.

Applicant submissions

· The contractor will apply a Best Available Copy annotation to each poor quality page when 10 or fewer pages of the document are of uncorrectable poor quality

· The contractor will apply the Best Available Copy annotation to the first page of the document and will insert a Best Available Image sheet (Appendix 4) after the last page of the document when more than 10 pages of the document are of uncorrectable poor quality,

· The contractor will mark the appropriate checkboxes on the Best Available Copy form to identify the specific problems with the poor-quality document.

· The contractor will write in the document problem in the space provided when the “OTHER” checkbox is marked.

· The contractor will include the Best Available Image sheet in the page count of the document.

· This process is not applicable for PCT applications.

USPTO documents

· The white fee sheet with the Revenue Accounting Management (RAM) fee posting for a new application does not need the Best Available Copy annotation, regardless of whether the RAM posting is unclear.

· PTO875 WFEE documents are also internal USPTO forms and do not need the Best Available Copy annotation.

· In some instances, the WFEE may be a document that was submitted by the applicant for fee purposes. RAM postings are recorded on the document and sent for delivery into the official electronic file wrapper. If the document submitted by the applicant is in poor condition, the Best Available Copy annotation should be used.

· Facsimile documents and documents printed from the official electronic file wrapper that have RAM fees posted will require the use of the Best Available Copy annotation

Document Indexing and Scanning

Indexing is defined as applying appropriate document descriptions and USPTO receipt dates to each unique document submitted by the applicant.

Scanning is defined as delivering images and appropriate metadata, such as document codes, and mailroom date to the official electronic file wrapper.

The contractor will provide clean image capture that meets the USPTO’s image capture specifications.

The contractor’s scanning system, scanner settings for first pass and second pass rework scanning, batch and flatbed, will be dictated by their choice of scanners, scanning control software and image capture and correction software.

Image Specifications

Footnotes:

1. The image variants are converted to PDF for SCORE delivery. The PDF must conform to any one of versions 1.1 -1.6 of the Adobe PDF specification.

2. A bi-tonal drawings will only be delivered to SCORE if the set contains other drawings that are color and/or grayscale. A complete set of bi-tonal drawings will not be delivered to SCORE, only to the official electronic file wrapper. Bi-tonal drawings will be delivered to SCORE for all design applications.

3. Color and grayscale versions of foreign priority documents will be delivered to SCORE.

Orientation

· The contractor will orient the images as described below.

Text

· The image should orientate such that the top left edge is the beginning of the text.

Drawings

· The orientation is determined by the presence and readability of the items listed below in order of priority.

· Label/Title (e.g. Replacement Drawings, “Coffee Cup” etc.)

· Page Number

· Figure Label: the examples below illustrate the correct orientation of a drawing when only a figure label is present on the drawing

Annotation

New US Applications

· The contractor will affix a barcode label or apply an electronic annotation to the first page of the transmittal letter that consists of the application number and effective filing date.

· If a transmittal letter is not present the label/annotation will be placed on the first page of the Specification.

New PCT Applications

· The contractor will apply an electronic annotation to the upper right hand corner of every page of the package. The annotation consists of application number (PCT/CCYY/0NNNNN).

Residual Applications

· The contractor will not annotate residual US applications but will follow the annotation instructions for New PCT Application if the Residual application is a PCT application.

Indexing Requirements

Application Number

· The contractor will use the supplied number on the cover routing sheet.

· The contractor will use the first encountered application number on the document when documents are received without a cover routing sheet.

· The contractor will not process documents from the Board of Appeals and Interferences that are received without the cover routing sheet.

· The contractor will forward these documents should be forwarded to the appropriate Government Representative.

· If the document does not have an application number, the contractor will forwarded to the appropriate Government Representative.

· If the application number is illegible and/or invalid on the routing sheet or document, the contractor will forward to the appropriate Government Representative.

· If the document does not have an application number, the contractor will forwarded to the appropriate Government Representative.

· The contractor will use the application number provided on the file jacket label for residual applications.

Date

The contractor will determine the document date from one or more of the following sources.

· The contractor will use the supplied document date on the cover routing sheet.

· The contractor will use the date indicated by the stamp on the first page of the document when documents are received without a cover routing sheet.

· The contractor will use the barcode label date provided with new applications

· The contractor will use the fax endorsement date for documents received via facsimile transmission.

· The contractor will use the earliest receipt date when multiple date stamps and/or fax endorsements are shown.

· The contractor will use multiple sources to determine the date if the document is a fee document and no date is provided.

· The latest accounting date from the fee endorsement

· The current date (received date)

· The contractor will use multiple sources to determine the date of a query response document (doc code XRUSH) document when no date is

· The date of the initialed response.

· The current date (received date)

· The contractor will forward all outgoing documents without dates to the appropriate Government Representative.

· The contractor will forward all documents for which a date cannot be determined based on the criteria outlined above, to the appropriate Government Representative.

· The contractor will use multiple receipt dates corresponding to each document in a residual application.

· The contractor will use the file wrapper annotations when the date cannot be determined from the document.

Document Code (doc code)

· The contractor will use the doc code provided on the cover routing sheet.

· The contractor will determine the correct doc code for each document according to established USPTO standards. See Appendix 5: MASTER DICTIONARY OF official electronic file wrapper DOCUMENT CODES AND IMAGES. In addition the contractor will follow processes as established by USPTO (see Appendix 8; SUPPLEMENTAL GUIDANCE)

· The contractor will correct invalid doc codes according to SUPTO standards.

· The contractor will not determine or correct the doc code for documents received from the Board of Appeals and Interferences but will instead forward these documents to the appropriate Government Representative.

· The contractor will determine the correct document code for each document according to established USPTO standards. See Appendix 5: MASTER DICTIONARY OF OFFICIAL ELECTRONIC FILE WRAPPER DOCUMENT CODES AND IMAGES.

· The contractor will use the file wrapper annotation when the document code cannot be determined from the document.

Document Packaging

· A package consists of documents that have the same application number and the same receipt date. A package sheet (which may simply be a separator sheet) is advisable and can remain with the package in the box, along with any batch cover and batch end sheets.

· All contractual packages, such as new applications, will be delivered to the USPTO in whole, not fragmented over multiple deliveries.

Document Page Counting

· The contractor will provide an accurate page count for each document in the delivered metadata and that page count must match the actual number of images provided for each document.

· The contractor will count only the front side of each page in a simplex document, but will count both sides of the page (except for the last page if blank) in a duplex document.

· The contractor will not include any package, batch cover or batch end sheets in the page count.

· The contractor will insure that the actual image file count matches the count provided in the metadata for each doc code.

Documents requiring specialized handling

Certain types of document filings require additional processing other than strictly indexing and scanning.

· Certified Copies of Foreign Applications

Applicants are required to submit copies of applications filed in a foreign country that are related to the application being filed in the United States. A foreign priority document is a prior non-U.S. application on which the claim for foreign priority is based.

· The contractor will deliver an image document comprising the cover page of the foreign priority document with the unbroken ribbon and seal followed by the remaining pages of the priority document.

· The contractor may break the seal and remove the ribbon from the priority document after capturing or copying the front page.

· The contactor will store in the evidence copy box all original documents and photocopies that may be made as part of the capture process, but there is no requirement to make and retain a photocopy of the original, unbroken seal version of the priority document cover page.

· The contractor will place the original document in the back of the batch, behind a “Do Not Scan” sheet, to prevent scanning with the rest of the package.

· The contractor will return certified copies of foreign priority documents found in a PCT application to the sending location or forward the certified copies to the Government Representative.

· The contractor will deliver and load any certified copy of a foreign application that contains color/grayscale illustrations the color version of certified copy to the Supplemental Complex Repository for Examiners (SCORE).

· Sequence Listings

Sequence Listings are listings of biosequences such as nucleotide and/or amino acid sequences. If a patent application contains biosequences, it must contain a “Sequence Listing” (the “paper” copy) as a separate part of the application; also a computer readable form (CRF) of the sequence listing must be filed.

The contractor will review and process transfer requests as outlined below and in accordance with the Transfer Request Participant’s Handbook.

A sequence listing in a new U.S. application must contain the following:

The official application copy of the sequence listing submitted as an ASCII text file via EFS-Web, on compact disc, as a PDF submitted via EFS-Web, or on paper.

An additional copy submitted in computer readable form (CRF) as an ASCII text file. The computer readable form may be submitted on a diskette(s), magnetic tape, 8mm Data Cartridge, Compact disc or Optical disc. This copy is intended for storage in the ABSS data base by the by the STIC (Scientific and Technical Information Center) Systems Branch.

· The CRF intended for storage may be a new submission

· The CRF intended for storage may be transferred from a related application by filing a transfer request document on which the applicant requests that a CRF previously submitted in a related application be transferred to the application at hand. This is referred to as a transfer request

· The contractor will initially identify the transfer request during indexing and scanning. The contractor will also receive an electronic communication identifying IFW documents that contain transfer requests that were either previously missing or not identified during indexing and scanning

· The new application must be accompanied by a letter making such reference to the other application and computer readable form, both of which shall be completely identified. In the new application, applicant must also request the use of the compliant computer readable “Sequence Listing” that is already on file for the other application and must state that the paper or compact disc copy of the “Sequence Listing” in the new application is identical to the computer readable copy filed for the other application.

· Examples: General Statement received by Applicant – taken from sample requests:

· In accordance with 37CFR 1.821(e), please use the last-filed computer readable form which was filed in that application on July 2, 2004 as the computer readable for the instant application. It is understood that the Patent and Trademark Office will make the necessary change in the application number and filing date for the instant application.

Or

· Applicant respectfully requests that the compliant computer-readable Sequence Listing filed in application XX/XXX,XXX filed XX-XX-XXXX now, USP 6,123,456 be used as the computer-readable Sequence Listing for the present, above identified application.

Paper Sequence Listing + CRF

· The contractor will process the paper Sequence Listing with the other papers that will be scanned and indexed.

· The contractor will apply a barcode indicating the Effective Receipt Date and the Application Number to the CRF.

Paper Sequence Listing + Transfer Request

· The contractor will process the paper Sequence Listing with the other papers that will be scanned and indexed.

· The contractor will locate the statement indicating the transfer request in the papers by reviewing the:

· TRNA – Transmittal Letter

· A.PE – Preliminary Amendment

· PEFR – Pre Exam Formalities Response (follow on submissions only)

· CRFL – CRF Sequence Listing / Standalone Transfer Request Document

· CRFS – CRF Statement from Applicant – Paper and CRF are the same

· The contractor will affix a barcode to the statement or electronically annotate the image indicating the transfer request.

· The contractor will process the original transfer request with the other papers that will be indexed and scanned.

CD Sequence Listing + CRF

· The applicant is required to submit the CD in duplicate (Copy 1 and Copy 2).

· The contractor will process the CD version of the Sequence Listing (Copy 1 and Copy 2) as an artifact.

· The CRF may be a diskette, tape, etc., in these particular circumstances it is most likely to be another CD (Copy 3).

· The contractor will apply a barcode to CRF indicating the Effective Receipt Date and the Application.

Processing the Transfer Request

· The contractor will determine if the CRF transfer request was previously processed by searching the Transfer Load Tracking Matrix

· The contractor will determine if the document being reviewed is actually a transfer request

· The contractor will determine if the transfer request was filed with a CRF

· The contractor will determine if the transfer request was filed in a 371 national stage application and if the transfer is being requested from a PCT international application

· The contractor will determine if the transfer request is compliant with the regulations

· The contractor will determine if the CRF in the related application to be transferred is compliant

· The contractor will determine if the properly filed transfer request requires special processing by SCORE Support

· The contractor will process the CRF transfer in SCORE if no special processing by SCORE Support is necessary

· The contractor will enter the CRFE transaction in PALM

· The contractor will update the Transfer Load Tracking Matrix

· The contractor will prepare the Raw Sequence Listing for indexing and scanning

· The contractor will report all application for which a CRF transfer was processed

Assignment Documents submitted in paper

If the applicant wishes to assign an application to a third party, they must submit an assignment document and appropriate fee. Assignment documents must contain either a label or annotation indicating the application number and effective filing date.

· The contractor will pull assignment documents and send them to Assignment Branch via inter office mail without delivering to the official electronic file wrapper.

· The contractor will pull any physical check payments for the assignment out of the package and send the check to the Assignment Branch via inter office mail along with the original assignment document.

· The contractor will print any fee payment paperwork (such as credit card authorization or deposit account information) intended for payment of other fees in addition to the assignment fee after scanning has occurred and send it to the Assignment Branch via inter office mail.

Postcards

New US Applications

· The contractor will apply a barcode indicating the effective receipt date and application number to any return receipt postcard submitted with a new U.S. application.

· The contractor will ensure that the postcard has the sender’s address listed; if not provided, the contractor will handwrite the address found on the Transmittal Letter or Oath on the postcard.

· The contractor will deliver the postcards daily to Randolph Square (RSQ) 6D30.

Follow on Documents

· The contractor will ensure that the postcard has the sender’s address listed; if not provided, the contractor will handwrite the address found on the Transmittal Letter or Oath on the postcard.

· The contractor will deliver the postcards daily to Randolph Square (RSQ) 6D30.

Central Reexamination Unit New Applications

Reexamination is a process by which, either on "his own initiative" or in response to the filing of a request by "Any person at any time," the Commissioner of Patents and Trademarks can order the reexamination of a patent grant to decide a "substantial new question of patentability affecting any claim" of that patent.

New reexamination applications are to be processed in the same manner as new US applications with the following exceptions:

· The contractor is not required to initialize in PALM.

· The contractor is not required to set the official electronic file wrapper flag.

· The contractor is not required to process any postcards.

· The contractor is not required to process any Monarch labels.

International Industrial Design Applications under the Hague agreement

The Hague Agreement is an international registration system which offers the possibility of obtaining protection for up to 100 industrial designs in designated member countries and intergovernmental organizations (referred to as "Contracting Parties") by filing a single international application in a single language either directly with the International Bureau of the World Intellectual Property Organization (WIPO) or indirectly through the office of applicant's Contracting Party.

International industrial design applications are to be processed in the same manner as new applications with the following exceptions.

Document Coding

· An international industrial design application will typically contain a DM/1 form and drawings.

· The DM/1 form will receive the document code of REQ.HAGUE.

· The drawings will receive the document code DRW.

· Applicants will submit any additional requirement imposed by the originating country as annexes to the DM/1 form.

· Each annex will receive the HAGUE.ANX document code when filed with a new application.

· Each annex will receive the normal document code when received as follow on document.

· Annex I documents are filed by the applicant to comply with USPTO inventor oath requirements. For a new Hague application, all of the Annex I documents including the transmittal letter, inventor oaths, substitute statements and other related documents should be combined into one HAGUE.ANX document. For a follow on submission, the documents should be split and coded normally. The Hague Annex transmittal may be coded as TRAN.LET.

· Annex II documents are not used by the USPTO so these should always receive the HAGUE.ANX document code. All documents that comprise the Annex II should be combined in one document.

· Annex III documents are filed by the applicant to comply with USPTO IDS requirements. For a new Hague application, all of the Annex III documents including the transmittal letter, 1449, references, non-patent literature, remarks and other related documents should be combined into one HAGUE.ANX document. For a follow on submission, the documents should be split and coded normally. The Hague Annex transmittal may be coded as TRAN.LET.

· Annex IV documents are filed by the applicant to comply with USPTO entity status entitlement requirements. For a new Hague application, all of the Annex IV documents including the transmittal letter, small entity or micro entity certification forms, and other entity status related documents should be combined into one HAGUE.ANX document. For a follow on submission, the documents should be split and coded normally. The Hague Annex transmittal may be coded as TRAN.LET.

· The USPTO will send new Hague applications to WIPO for processing. WIPO will send accepted applications back to the USPTO for processing. OPAP will split the annexes and apply the normal US document codes after the applications are received from WIPO during formalities review.

· Follow-on documents are usually not transmitted to WIPO (unless received prior to the completion of the transmittal review of the 35-series application by OPAP), and are processed as described in Follow on documents.

Additional Image File Delivery

The contractor will deliver an image file package to a PALM system mount for transfer to WIPO in addition to the normal delivery to the EAI Hub of images to be loaded into official electronic file wrapper. The file package will be identical to the package prepared for the official electronic file wrapper except that the file will contain jpg images of the drawings instead of tif images.

Mock-up example xml structure:

<?xml version="1.0" encoding="utf-8" standalone="yes" ?>

- <eai-ifw-interface>

- <submission sys-name="RTIS" submission-type="NEW" submission-id="11555938" application-number="35074444" legal-date="20140923" country-code="US" unix-mount="/EAI/FEP/subm" windows-mount="\rtis" rtis-package="35074444.0001000" rtis-package-type="New US"> <document attachment-pos="1" doc-code="WFEE" rtis-doc="47165630" page-count="1" file-location="/2014-09-30/35074444/11555938/tiff/doc-1" file-name="doc1.tif" file-type="tif" /> <document attachment-pos="2" doc-code=" REQ.HAGUE " rtis-doc="47165631" page-count="9" file-location="/2014-09-30/35074444/11555938/tiff/doc-2" file-name="doc2.tif" file-type="tif" /> <document attachment-pos="3" doc-code=" HAGUE.ANX " rtis-doc="47165632" page-count="6" file-location="/2014-09-30/35074444/11555938/tiff/doc-3" file-name="doc3.tif" file-type="tif" /> <document attachment-pos="4" doc-code=" HAGUE.ANX " rtis-doc="47165633" page-count="4" file-location="/2014-09-30/35074444/11555938/tiff/doc-4" file-name="doc4.tif" file-type="tif" /> <document attachment-pos="5" doc-code="DRW" rtis-doc="47165636" page-count="12" file-location="/2014-09-30/35074444/11555938/jpg/doc-5" file-name="doc5.jpg" file-type="jpg" /> /submission> </eai-ifw-interface>

The contractor will deliver the image files for each new international industrial design application to this windows mount:

FEP-URL-1 – <will be provided to vendor at contract award>

The contractor will deliver the image files for each follow on document for an international industrial design application to this windows mount:

FEP-URL-2 – <will be provided to vendor at contract award>

Artifacts and SCORE content

An artifact is an item that cannot be scanned (i.e. CD, model, video tape etc.) or should not be scanned, such as:

· Documents marked as “Trade Secrets,” “Proprietary Material,” “Material under Protective Order,” “Information disclosure statements marked as Confidential”, and “Material Submitted under MPEP 724.04” and delivered in a sealed envelope should be placed in an artifact folder. If an open envelope is received and marked as confidential, the Government Representative will determine whether the envelope should be re-sealed or the contents scanned and delivered.

· A U.S. patent grant (bound in a cover with an official seal) that a reissue applicant may have surrendered as part of a reissue application or as returned mail of US Patent grants.

· Bound documents in general: books, magazines, etc.

· In all applications except provisional, NPL (non-patent literature) and FOR that contain gray scale, color, fine lines, screen shots, computer-generated images, photographs, etc.

Requirements for Artifacts and SCORE content

· A SCORE Placeholder Sheet will automatically load on the PTO side when a document is delivered to SCORE.

· The contractor will create and deliver an Artifact Sheet (Appendix 3) for each item placed in an artifact folder.

· The contractor will follow the instructions contained in Appendix 13 for each type of artifact.

Artifact types

· The contractor will determine the type of artifact from the table below:

Barcode Label

· The contractor will create a barcode label for artifact folders that consists of ten characters. Example: 12345678CA

· Positions 1 – 8 are numeric and represent the application number

· Position 9 is alphabetic and indicates the type of artifact

· Position 10 indicates the order of the sets of artifacts of a particular type, with A being the first set received of an artifact of the particular type, B being the second set received of an artifact of that same type, etc.

· The contractor create a system to maintain the artifact folders automatically, and synchronize this data with PALM.

Artifact Folder

· The contractor will attach the barcode label to folder in the upper left hand corner

· The contractor will place the artifact inside the artifact folder.

· The contractor will validate that the artifact number captured for an application does not already exist in the PALM data maintained by the contractor.

· The contractor will cause the initialization of the artifact folder in the PALM/Pre-Exam database by transferring an update record electronically to the USPTO.

Delivery to Locations

· The contractor will record the PALM location shown below using PALM (Dispatch and Receive) EXPO Dispatch to Location folder and inputting the dispatch PALM location and the application number.

· The contractor will deliver the artifact folders to the appropriate delivery location as shown below.

Package Batching, Boxing and Storage

Batching

· The contractor will batch together all original document packages after the images are delivered to the official electronic file wrapper.

· The contractor may limit the size of a batch to fit in a box so that there is only one box number per the official electronic file wrapper document record.

· The batched packages will be boxed as described below.

Boxing

New application and follow on documents

· The contractor will interface with USPTO systems to track the boxes. The data will consist of:

· a box number

· package ID for every package contained in the box

· document ID for every document contained in a package contained in the box

· The contractor will box the batches after all package documents within the batch are successfully delivered to the official electronic file wrapper.

The contractor will generate a new box number (date plus sequential number) from a contractor electronic tracking database.

· The format is YYYYMMDD5NNN where,

· YYYY is the year

· MM is the month

· DD is the day of the week

· 5 indicates that the box is from the FEP Operation

· NNN is a numeric sequential string

· The contractor will print the box label with the box number, and affix the box label to the side of the box marked FRONT

· The contractor will use a black-ink marker to write the box number (date plus sequential number) beneath the box label to facilitate the reading of the box number from a distance and provide a backup should the label become lost or unreadable;

· The contractor will scan the bar code on the batch sheet (the top sheet in the batch) to enter the batch number into the electronic tracking database and associate the batch and its contents to the new box number;

· The contractor will place the batched paper documents inside the box;

· The contractor will continue to box batches until approximately one inch of space remains in the box; and close the box and record it in the electronic tracking database.

· The contractor will retain and box Express Mail envelopes for National Stage and New PCT applications.

Residual applications

· Residual applications are boxed like new applications and follow on documents except that the original paper file jacket will be placed in the box with the documents.

Box Inspection Process

Boxes with documents that have been scanned into the electronic file wrapper are housed at the contractor facility. The documents in the assigned boxes are to be reviewed by a Government Representative to insure they are in the electronic file wrapper accurately.

· Each Monday the contractor will send the designated USPTO persons a list of the inventory of boxes being held. This list should contain the box ID, the box creation date, and the box location.

· The designated USPTO person(s) will supply a list of boxes to be pulled by End of Day Wednesday.

· When the boxes are pulled and staged for delivery, the contractor will dispatch the boxes in PALM to location 7560.

· The contractor will deliver the boxes to Randolph Square room 9D58 each Friday morning. At this time, the contractor will also pick up the boxes delivered the previous week.

· The USPTO will dispatch the boxes back once the review is completed to location 0540. The receive process for the contractor is the same as dispatching/receiving file wrappers.

Changes to the schedule due to holidays will be discussed as needed.

Storage

· The contractor will retain the boxes for a minimum of 12 months at its facility.

· The contractor will notify the USPTO with the number of boxes ready to be picked up at the end of the 12 month holding time.

· The contractor will provide application number data for each application in the boxes to be picked up and request the USPTO verify that no outstanding petitions connected to the applications in the boxes being prepared for pick up.

· The contractor will continue to retain any boxes that contain applications with outstanding petitions.

· The contractor will dispatch the boxes in the PALM database to location 9290(Files Repository-destroyed boxes) by manually scanning the bar code label using PALM Expo Dispatch function of through an interface to the USPTO using the FOS system functions.

· The contractor will place the boxes in a designated area either for pickup.

· The boxes will be stacked on pallets in a safe manner.

· The set of boxes on the pallet will be wrapped in plastic.

· The palletized, plastic wrapped boxes will be made available not more than twice monthly for transportation to a warehouse, or for pickup by Government QC staff, or by a Government approved representative from a document destruction company.

· The contractor will send the USPTO a full listing of the boxes dispatched as well as the oldest and newest box creation date.

Batch Retrieval

· The contractor will retrieve the batches when requested by the USPTO.

· The contractor will retrieve the batches when necessary to correct image discrepancies.

Secrecy Order Process

General

· The contractor will monitor the USPTO FEP Outlook Mailbox for messages indicating that an application has been placed under secrecy order.

· All documents processed in the FEP system are checked for secrecy order status (L&R code = 4) in PALM prior to delivery to the USPTO.

Types

· Class A: Secrecy Order received via USPTO Outlook Mailbox

· Class B: Secrecy Order identified during production process

Requirements

· All images and OCR files must be removed from all productions systems, including workstations, file servers, backups etc.

· The contractor will record each document for which a Class A or Class B Secrecy order was identified and indicate the date when all images were removed from all production systems.

Equipment Maintenance

Routine Maintenance

The contractor will perform routine maintenance to ensure equipment runs optimally while minimizing downtime.

· Scan the calibration sheet to ensure successful scanning and to detect image deficiency.

· Open the scanning machine and vacuum the scanner’s interior system. Do additional vacuuming as needed whenever the monitor shows spots, lines, etc.

· Open the scanning machine, remove the image guide, and wipe the image guide with “Staticide” cleaning wipes. Repeat this activity as needed whenever the monitor shows spots, lines, etc.

Customer Support Team (CST) Issue Source

· Emails to the Scanning Customer Support/FEP (Secrecy Orders) mailboxes

· Messages sent to OIPEProblemImage mailbox in the official electronic file wrapper

· Discrepancy Report from Formalities Review

· Submissions of physical items (documents, artifacts, cases, etc.) from Government Representatives (GR) or USPTO contractors

Turnaround Requirement

· New issues received in the Scanning Customer Support mailbox must be responded to within four business hours

· Issues are required to be resolved within five business days. If an issue cannot be resolved within this timeframe, the CST will send a follow-up acknowledgement to the customer Exceptions: Discrepancy Report, submissions of physical items, FEPRTIS mailbox (Secrecy Orders)

Email Communication

When sending an e-mail to a customer, the CST will follow these Subject line guidelines: