Attachment 17a - DPMpgpub-2019.doc

Table of Contents

Section_I. OVERVIEW OF DATA PREPARATION

A. Data_Sources B. Compact_Disc_Submissions_and_Submissions via_EFS_Web_of_txt_Files C. Order_of_Major_Elements_of Composed_Publications D. Publication_Processing_of_Secreted Protein_Database_Initiative SPDI_Applications E. Gap_Illegibility_in_IFW_Image_of Abstract_Specification_Claim_or_Drawing F. Application_Red_Book_ICE_Deliverable G. Pre_Grant_Publication_of Amended_Applications H. [removed]

I. Creation_of_CORRECTION_AUTHORIZATION by_Office_of_Data_Management Section_II. MASTHEAD

Bar_Code_Version_of_Application Publication_Number Country_Name – INID Code (19)

Plain_Language_Kind_Designation – INID Code (12)

Publication_Number_Including_Kind_Code – INID Code (10)

Inventor_Surname Publication_Date – INID Code (43) or INID Code (48)

Supplemental_Plain_Language Kind_Designation Section_III. BIBLIOGRAPHIC COLUMNS

Title_of_Invention – INID Code (54)

Latin_Name_and_Varietal_Denomination (Plants_Only) – INID Code (50)

Applicant_Names_and_Residences – INID Code (71)—applications filed on or after September 16, 2012

Inventor_Names_and_Residences – INID Code (72)—applications filed on or after September 16, 2012

Inventor_Applicant_Names_and_Residences – INID Code (75) or (76)—applications filed before September 16, 2012 Correspondence_Name_and_Address Continued_Prosecution_Application CPA_Notice Assignee_Names_and_Residences – INID Code (73)

Application_Number – INID Code (21)

US_Filing_Date – INID Code (22) OR PCT_Filing_Date – INID Code (22)

Rule_47_Indicator – No INID Code

Date_371c124 US_National_Stage_PCT_Data – INID Code (86) and INID Code (87)

PG_Correction_Data – INID Code (15); Prior_PG_Publication_Data – INID Code (65)

Related_US_Applications – INID Codes (60), (62), (63), (66)

Foreign_Application_Priority_Data – INID Code (30)

International_Patent_Classification Reform_IPCR_Data – INID Code (51)

Cooperative_Patent_Classification_CPC and US_Patent_Classification_USPC – INID Code (52)

Abstract – INID Code (57)

Sequence_Listing_Statement Representative_Drawing – No INID Code

Multi_Sheet_Front_Page Section_IV. DRAWINGS

Drawings Section_V. SPECIFICATION AND CLAIMS

Overview_of_Specification_and_Claims Numbering_of_Paragraphs_in_Specification Composition_of_Specification_and_Claims Attorney_Docket_Numbers Omitted_Document_Numbers Omitted_Biological_Deposit_Data Omitted_Sequence_Identification_Numbers References_to_Applicants_Pagination Scheme_or_Paragraph_Numbering_Scheme Reference_Citations_within_Body of_Specification Computer_Program_Language Embedded_in_Specification Gap_or_Illegiblity_in_IFW_Image Unconventional_Material Drawings_Flow_Charts_Graphs_etc in_Violation_of_Rule Squares_and_Boxes_in_Specification Claims_or_Abstract Pagination_of_Abstract_Specification_and Claim_Set_in_Applications_Filed_via USPTOs_eMod_Patent_Center Rule_Lines_in_Table_Headings_Yellow_Book Style_Guidelines_for_Specification and_Claims Title_of_the_Invention First_Sentence_Reference_to Prior_Related_Applications Statement_of_Government_Interest Incorporation_by_Reference_of_Material Submitted_on_CD_or_via_EFS_Web Copyright_Authorization Latin_Name_and Varietal_Denomination

Background_and_or_Summary_of the_Invention Brief_Description_of_the_Drawings Detailed_Description_of_Invention (Utilities) or Detailed_Botanical_Description (Plants) Lengthy_Tables_Submitted_on_CD or_via_EFS_Web_as_txt_File Sequence_Listing_Published_as_Part of_Patent_Application_Publication Sequence_Listing_Published_at_uspto_gov Exception_Processing_When_Sequence Listing_is_One_Gigabyte_or_More Claims Section_VI. SAMPLE DOCUMENTS

Sample_1: Plant Patent Application Publication

Sample_2: Plant Patent Application Publication Republication

Sample_3: Plant Patent Application Publication Corrected Publication

Sample_4: Patent Application Publication

Sample_5: Patent Application Publication – U.S. National Stage Application

Sample_6: Patent Application Publication – Rule 47 Application

Sample_7: Patent Application Publication Republication

Sample_8: Patent Application Publication Corrected Publication

Section_VII. PROCESSING INSTRUCTIONS FOR APPLICATION RED BOOK Section_VIII. ADDITIONAL GUIDELINES FOR APPLICATION RED BOOK AND APPLICATION YELLOW BOOK

Section I. OVERVIEW OF DATA PREPARATION

This data preparation manual sets forth the standards necessary to produce composed (Yellow Book) Pre-Grant Publication documents. It was created based on the guidelines provided by the Pre-Grant Publication Concept of Operations (PGPub ConOps). This manual is a living document. It will be reviewed and updated annually or as needed. The PaDaCap (Patent Data Capture) contractor is encouraged to provide feedback to the Office of Data Management.

The manual is organized as follows:

· Masthead (Section II)

· Bibliographic Columns (Section III)

· Drawings (Section IV)

· Specification and Claims (Section V)

· Sample Documents (Section VI)

Sections II-V define the following for each data element: the data source, the pre-capture verification steps, the composition instructions for the image, and examples of the composed image.

The following subsections here in Section I supplement Sections II–VI with specific references and definitions of key data preparation components.

A. Data_Sources B. Compact_Disc_Submissions_and_Submissions via_EFS_Web_of_txt_Files C. Order_of_Major_Elements_of Composed_Publications D. Publication_Processing_of_Secreted Protein_Database_Initiative SPDI_Applications E. Gap_Illegibility_in_IFW_Image_of Abstract_Specification_Claim_or_Drawing F. Application_Red_Book_ICE_Deliverable

G.

Pre_Grant_Publication_of Amended_Applications

H. [Removed]

I.

Creation_of_CORRECTION_AUTHORIZATION by_Office_of_Data_Management A. Data Sources

Required Data Sources: The data sources exported to the PaDaCap contractor will be as follows:

new application filed in paper form

· Primary BIB source (PALM)

· Supplemental BIB source (PALM)

· IFW source (paper documents scanned into IFW) new application filed via EFS-Web (Web-based Electronic Filing System)

· Primary BIB source (PALM)

· IFW source (PDF documents loaded into IFW) amended application, redacted application, application for voluntary publication, application for republication, application for early publication—applications filed by EFS -Web (Web-based Electronic Filing System) [“amended” and “redacted” and “voluntary” and “republication” must be filed via EFS-Web, while “early” may be filed via either EFS-Web or paper]

· EFS-Web bibliographic source

· EFS-Web PDF source application for early publication filed in paper form [If requester of early publication does not submit via EFS-Web, then the early publication will be based on the application papers as filed on the filing date of the application.]

· Primary BIB source (PALM)

· IFW source (paper documents scanned into IFW) corrected publication

· Primary BIB source (PALM)

· IFW source

Memorandum of Authorization for Corrections in A9 or P9 Publication

Each of the above-listed data sources is described below.

Primary BIB source (PALM), shown with XML tagging, bibliographic data supplied by the applicant and entered by the USPTO into PALM.

NOTE:

However, in Section III. BIBLIOGRAPHIC COLUMNS under Related_US_Applications – INID Codes (60, 62, 63, 66), see the information under the heading EXCEPTION TO “Primary BIB” AS SOURCE FOR RELATED U.S. APPLICATION DATA EXCEEDING “Primary BIB” STORAGE LIMIT.

Supplemental BIB source (PALM), shown with XML tagging, bibliographic data determined by the USPTO, such as classification data, designation of representative drawing, etc.

IFW (Image File Wrapper) source. The IFW export serves as the data source for the abstract, specification, claims, drawings, etc. The image of each type of document is identified by an IFW document code. Documents coded NPL and FOR are not exported for Pre-Grant (or EDC) purposes. See the table beginning on the next page showing IFW Doc Code, Description, and Instructions (exports may include document codes that do not appear in this table).

EFS-Web PDF source, that is, Portable Document Format images of abstract, specification, claims, drawings, oath/declaration, etc. filed by applicant via the web-based Electronic Filing System. (In 2006 EFS-Web replaced the previous XML-based Electronic Filing System.)

EFS-Web bibliographic source, shown with XML tagging, created by the USPTO from the applicant’s PDF “fillable form” Application Data Sheet (ADS).

Memorandum of Authorization of Corrections for A9 or P9 Publication, to be provided by the USPTO’s Pre-Grant Publication Division — This is the sole source for the A9 or P9 publication’s identification of the locations of the corrections (for example, “See Paragraph [0009]” or “See Claim 10”). In Section III. BIBLIOGRAPHIC COLUMNS see PG_Correction_Data INID Code (15); Prior_PG_Publication_Data INID Code (65), under Data Source, under (2) source for identifying the location(s) of the correction(s).

IFW Doc Code Description Instructions

ABST

Abstract The Pre-Grant data source is the latest-dated abstract. See G. Pre_Grant_Publication_of Amended_Applications. Also, at the end of this table see Note B – unconventional material and see Note D – drawings, flow charts, graphs, etc. in violation of 37 CFR 1.58(a).

ADS

Application Not a Pre-Grant data source.

Data Sheet

A.PE

Preliminary Possible Pre-Grant data source. See

Amendment G. Pre_Grant_Publication_of Amended_Applications.

APPENDIX

Appendix to the May or may not be a Pre-Grant data source.

Specification -- If the appendix contains pages that are included within the consecutive page numbering of the specification, those pages will be captured.

-- If the appendix contains pages that are not included within the consecutive page numbering of the specification (that is, with separate pagination or with no pagination at all), those pages will not be captured.

-- If the appendix’s content is unconventional, see Note B – unconventional material at the end of this table.

-- If there is a question about whether the

APPENDIX image is to be captured, the

PaDaCap contractor will QUERY.

IFW Doc Code Description Instructions

ARTIFACT

Artifact Sheet An Artifact Sheet is shown on the next page of this table.

-- If the Artifact Sheet indicates that the applicant filed a computer program listing on compact disc, the computer program listing will not be captured.

-- If the Artifact Sheet indicates that the applicant filed a Sequence Listing on compact disc, USPTO SCORE will export the most recent CRF Sequence Listing to the PaDaCap contractor for use as the data source. If the most recent CRF Sequence Listing is not received, the PaDaCap contractor will QUERY.

-- If the Artifact Sheet indicates that the applicant filed table(s) on compact disc, the USPTO will export the compact disc to the PaDaCap contractor for use as the data source. If the compact disc is not received, the PaDaCap contractor will QUERY.

-- If the Artifact Sheet indicates that the compact disc contains a computer program listing and/or a Sequence Listing but not table(s), then the PaDaCap contractor does not need to query to get a copy of the compact disc, inasmuch as the compact disc is not needed as a data source.

-- If the Artifact Sheet is not clear about which parts of the application were filed on compact disc, the PaDaCap contractor will QUERY.

Description Instructions

CLM

Claim(s) The Pre-Grant data source is the latest-dated complete claim set.

See G. Pre_Grant_Publication_of

Amended_Applications. Also, at the end of this table see Note B – unconventional material and see Note D – drawings, flow charts, graphs, etc. in violation of 37 CFR 1.58(a).

CRFE

Applicant’s CRF Not a Pre-Grant data source. This document

(computer readable (the “STIC copy” in earlier instructions) form) of Sequence shows the first five pages or so of the

Listing entered by Sequence Listing. If a CRFE image is

USPTO into STIC present is present but the USPTO did not database separately export from SCORE the most recent CRF Sequence Listing for use as the data source, the PaDaCap contractor will QUERY.

DRW

Drawing(s) The Pre-Grant data source is the latest-dated drawings. However, there is no requirement for the applicant to supply a complete set of replacement drawings, so the sources may be the latest-dated (partial) set plus the next-most-recently dated set.

See G. Pre_Grant_Publication_of Amended_Applications.

LET.

Miscellaneous Normally not a Pre-Grant data source.

Incoming Letter However, see Note A – when the

From Applicant entire as-filed application is treated as a miscellaneous incoming letter at the end of this table.

Instructions M905 Notice of DO/EO

Missing

Requirements

OATH

Oath/Declaration Not a Pre-Grant data source.

PEFN

Pre-Exam

Formalities Notice

PEFR

Applicant Response to Pre-Exam

Formalities Notice

PGEA.G

Petition Decision Not a Pre-Grant data source. If the PGEA.G for Express image shows that the USPTO granted the

Abandonment to the petition, the application never should

Avoid Publication the application never should have been exported for Pre-Grant processing, and the

PaDaCap contractor will QUERY.

PGP

Mail Stop Pre-Grant These are replacement drawings submitted

DRAWINGS

Drawings by the applicant for inclusion in the pre-grant publication. See the instructions above under DRW.

REM

Remarks See Note C – one document divided among multiple part_id numbers at the end of this table. In an amendment, it sometimes happens that the page on which the REMARKS section begins is given code

REM even though the page also contains data that must be captured. In such an instance, the REM document will serve as a Pre-Grant data source.

Description Instructions

SEQLIST

Sequence Listing Not a Pre-Grant data source. This is the applicant-submitted “paper” copy of the Sequence Listing. If a SEQLIST image is present but the USPTO did not separately export the most recent CRF Sequence Listing for use as the data source, the PaDaCap contractor will QUERY.

SPEC

Specification The Pre-Grant data source is the latest-dated complete specification.

See G. Pre_Grant_Publication_of Amended_Applications. Also, at the end of this table see Note B – unconventional material and see Note D – drawings, flow charts, graphs, etc. in violation of 37 CFR 1.58(a).

TRNA

Transmittal of

New Application

Instructions The following documents are not part of the Image File Wrapper export for PGPub processing but are documents that the PaDaCap contractor in certain circumstances may need to access in the Image File Wrapper.

Below see I. Creation of CORRECTION AUTHORIZATION by Office of Data Management and see PG Correction Data – INID Code (15); Prior PG Publication Data—INID Code (65).

IMIS

Correction Prepared by Office of Data Management. Identifies

Authorization document (such as the three identified below) specifying correction(s) that need to be shown on the corrected publication (code A9 or P9), and authorizes PaDaCap contractor to make the correction(s).

PET.DEC.PUBS

Petition Decision May pertain to corrected/added information—for Routed to ODM example, Related U.S. Application Data.

PET.OP.DEC

Petition Decision May pertain to corrected/added information—for by Office of Petitions example, Related U.S. Application Data.

PGA9

Request for Applicant’s request for a corrected patent application

Authorization publication. USPTO grants such a request when the mistake was made by the Office, when the mistake was material, and when the request was submitted within two months from the date of the patent application publication.

Note A when the entire as-filed application is treated as a miscellaneous incoming letter In some instances, the entire application as filed (abstract, specification, claims, drawings, preliminary amendments, etc.) will have been scanned into the Image File Wrapper system and indexed under the single document code LET. (Miscellaneous Incoming Letter from Applicant) so that the appropriate document code for each document (ABST, SPEC, CLM, etc.) is not used. Therefore, when such an application is exported for Pre-Grant processing, the images under document code LET. will show all of the as-filed documents, which means that the PaDaCap contractor will be required to identify the various documents without the aid of the appropriate document codes.

Note B unconventional material definitions. “Unconventional material” is defined as follows:

(i) material that departs from standard specification text and table formats – a magazine article, an academic paper, a textbook chapter, a promotional brochure, a set of laboratory notes, a user manual, etc.

(ii) a section of the specification or an appendix to the specification when that section or appendix has its own separate pagination or has no pagination at all.

Unconventional material is typically an externally created document that the applicant has imported into the specification. Magazine articles, promotional brochures, and the like are readily identifiable as unconventional material, while other kinds of imported documents (like user manuals) may contain features that somewhat mimic standard specification text and table formats. It is not standard for a section of the specification to have its own table of contents, its own numbered drawings, etc., even if its pagination continues the pagination of the specification. Such a section should be treated as unconventional material.

Example 1 (unconventional material). See (i) above. This material under code APPENDIX begins with a title page:

The next APPENDIX page shows a table of contents:

Most of the APPENDIX shows text and tables:

The APPENDIX ends with sample leaflets:

Example 2 (unconventional material). See (i) above. The following in isolation resembles an excerpt from a conventional specification.

However, what is shown above is excerpted from another section of the same APPENDIX document that was described in Example 1, a section that precedes the “PRODUCT MONOGRAPH” described in Example 1.

With respect to unconventional material defined as (i) and (ii) above, the PaDaCap contractor will follow the guidelines shown below.

Note that these guidelines for unconventional material do NOT involve queries.

SPEC document or APPENDIX document when the pages containing the unconventional material are included within the consecutive page numbering of the specification. The PaDaCap contractor will capture the entire section as images (“camera-ready copy”) and will publish it in the body of the specification in the same location at which the source shows it.

SPEC document or APPENDIX document when the unconventional material is a section with its own separate pagination or with no pagination at all. The PaDaCap contractor will not capture a section of unconventional material when the section is separately paginated or unpaginated.

EXCEPTION: If the separately paginated or unpaginated section shows conventional tables only, the PaDaCap contractor will capture those tables in the conventional manner and will publish them at the end of the specification. However, if the separately paginated or unpaginated section shows any text at all (except for a descriptive label or title of the tables) in addition to the conventional tables, then the PaDaCap contractor will not capture the section. That is, a separately paginated or unpaginated section consisting of a mixture of conventional tables and conventional text will not be captured.

ABST or CLM. The PaDaCap contractor will not capture unconventional material (magazine article, academic paper, promotional brochure, laboratory notes, etc.) when it appears in the Pre-Grant abstract or in a Pre-Grant claim.

when tables are included within the pagination scheme of the application but (a) the tables are indexed as other than SPEC and/or (b) the pagination scheme scrambles the normal order of the parts of the application. Such tables are not considered to be “unconventional material.” They will be moved from their incorrect location and published at the end of the specification.

Example One:

SPEC

Pages 1-81

CLM

claims on Pages 82-101 + tables on Pages 102-198

ABST

Example Two :

SPEC

Pages 1-123

CLM

Pages 124-145

APPENDIX

tables on Pages 146-166

ABST

In each of the examples above, the incorrectly located tables would be published at the end of the specification.

Note C one document divided among multiple document codes The USPTO’s Image File Wrapper document coding procedures sometimes divide a given document so that one part of the document is indexed under one document code while another part of the document is indexed under a different document code. For example, if the document is a preliminary amendment that provides a new claim set, the first page of the amendment may be indexed under document code A.PE (Preliminary Amendment) while the second and succeeding pages may be indexed under document code CLM (Claim(s)). When such a document is exported for Pre-Grant processing, the first page would therefore be present under document code A.PE (Preliminary Amendment) while the second and succeeding pages would be present under document code CLM (Claim(s)). Therefore the PaDaCap contractor may need to go to multiple document codes so that a given document can be assembled in its entirety.

Note D

“drawings or flow diagrams” in the “specification, including the claims” 37 CFR 1.58(a) says, in part, “The specification, including the claims, may contain chemical and mathematical formulae, but shall not contain drawings or flow diagrams. The description portion of the specification may contain tables … . Claims may contain tables … .”

For the purposes of these Note D instructions, “drawings or flow diagrams” are defined as illustrations that the PaDaCap contractor cannot create as chemical, mathematical, or tabular complex work units.

When one or more “drawings or flow diagrams” as defined above are present in the Pre-Grant abstract, in the Pre-Grant specification, or in a Pre-Grant claim, the PaDaCap contractor will send an e-mail QUERY to the Office of Data Management.

In response to the query, the Office of Data Management will check to see if the application has been docketed to an examiner.

· If the application has been docketed to an examiner, the Office of Data Management will instruct the PaDaCap contractor to publish the specification “as is” by capturing the “drawings or flow diagrams” as camera-ready copy (CRC).

· If the application has not yet been docketed to an examiner, the Office of Data Management will see that the application is withdrawn from Pre-Grant processing so that the USPTO may then send to the applicant a notice of non-compliant “drawings or flow diagrams” in the specification.

NOTE: It is acceptable when “Figure” labels are used to identify mathematical expressions or chemical formulas, including complex work units, as long as the specification (including the claims) does not also contain one or more “drawings or flow diagrams.” For example, the following use of “Figure” labels in the specification would not be the subject of a query:

Note B and Note D make a distinction in Pre-Grant Publication processing between unconventional material in the specification (magazine article, textbook chapter, promotional brochure, etc.), which the PaDaCap contractor, per the guidelines that are provided and with no need for a query, either will capture as camera-ready copy (CRC) or will not capture at all versus

“drawings or flow diagrams” in the specification, for which a query is required, in response to which the Office of Data Management either will have the application withdrawn from Pre-Grant processing or will instruct the PaDaCap contractor to capture the drawing or flow diagram as camera-ready copy (CRC).

B.

Compact Disc Submissions and Submissions via EFS-Web of .txt Files For additional information about the processing of computer program listings, lengthy tables, and Sequence Listings filed via EFS-Web, see DATA ENTRY MANUAL FOR UTILITY PATENTS, Appendix N: EFS-Web and SCORE (Grant and Pre-Grant).

Under USPTO rules, applicants may file certain parts of their applications—computer program listings, large tables, and Sequence Listings—in the form of compact discs (CDs) or via EFS-Web in the form of ASCII .txt files.

computer program listing

When the computer program listing is in excess of 300 lines, the applicant is required to submit the computer program listing either in CD form or via EFS-Web in the form of an ASCII .txt file. The computer program listing will not be captured and published.

lengthy table(s)

When a table is in excess of 50 pages long, or when the total number of table pages in the application exceeds 100 pages, the applicant either may submit the table in CD form or may via EFS-Web submit the table in the form of an ASCII .txt file.

The USPTO will export such a CD to the PaDaCap contractor, or the USPTO’s SCORE will export the .txt file to the PaDaCap contractor. The CD or .txt file will be the PaDaCap contractor’s source for the capture of the lengthy table. If the needed CD or .txt file is not received, the PaDaCap contractor will QUERY.

In Section_V. SPECIFICATION AND CLAIMS see the information under the heading Lengthy_Tables_Submitted_on_CD or_via_EFS_Web_as_txt_File.

Sequence Listing The applicant is required to submit the Sequence Listing in computer readable form (CRF).

The sole source for the capture of the Sequence Listing is the copy of the CRF that will be exported by the USPTO to the PaDaCap contractor.

C. Order of Major Elements of Composed Publications

· utility PAP (Patent Application Publication) [A1 document] or republication of utility PAP [A2 document] or corrected publication of utility PAP [A9 document]

The composed utility application publication will consist of the following elements in this order:

(1) front page:

masthead bibliographic data representative drawing [if present]

(2) drawing page(s) [if present]

(3) specification/claim(s) page(s):

specification text [beginning with title of invention]

“large table(s)” appendix [if present]

Sequence Listing [if present] claim(s) text

· PPAP (Plant Patent Application Publication) [P1 document] or republication of PPAP [P4 document] or corrected publication of PPAP [P9 document]

The composed plant application publication will consist of the following elements in this order:

front page:

masthead

· bibliographic data

[no representative drawing] specification/claim text [no title of invention at beginning of specification] second and succeeding specification/claim page(s) [if needed]

(3) drawing page(s)

D.

Publication Processing of Secreted Protein Database Initiative

(SPDI) Applications

As of this writing approximately two thousand (2,000) so-called Secreted Protein Database Initiative (SPDI) applications have been filed in the USPTO. There are thirteen SPDI “family” groupings. The hundreds of applications within each SPDI family are identical with respect to their drawings, abstracts, specifications, claims, and Sequence Listings.

The USPTO will provide the PaDaCap contractor with a diskette dated 4/7/03 on which the file labeled “Interference” contains thirteen spreadsheets, one for each SPDI family, and each spreadsheet identifies that family’s members by docket number (the File No. column) and U.S. application number (the Application No. column). From time to time, as additional SPDI applications are filed, the USPTO will provide the PaDaCap contractor with information for the updating of the thirteen spreadsheets.

NOTE:

The information on the SPDI spreadsheets is provided by the applicant and is annotated by examiners with current examination information (restriction elections, etc.), and so should be considered confidential.

The PaDaCap contractor will use the above-described spreadsheets to identify applications that are members of the same SPDI family, in order to carry out the procedures described below.

export. Each SPDI application will be exported to the PaDaCap contractor in the established manner – that is, the export will include Primary (PALM) bibliographic data, Supplemental (PALM) bibliographic data, IFW image data, plus the computer readable form (CRF) of the Sequence Listing.

capture of PALM data. In accordance with the existing procedures, the bibliographic data for each SPDI application will be captured from the Primary (PALM) bibliographic source and the Supplemental (PALM) bibliographic source.

re-use of SPDI “family” data. However, if the PaDaCap contractor has previously captured and archived a member of the relevant SPDI family, the contractor may elect not to use as data sources the current SPDI application’s IFW and CRF exports. Instead, the PaDaCap contractor may re-use the following elements of the previously captured SPDI family member in the publication processing of the current SPDI application:

drawings abstract specification claims

Sequence Listing

E.

Gap or Illegibility in IFW Image of Abstract, Specification, Claim, or Drawing query procedure When the IFW image of an abstract page, specification page, claims page, or drawing page contains a gap or an illegibility, the PaDaCap contractor will notify the USPTO (Pre-Grant Publication Division).

If the gap or illegibility was created during the IFW scanning process, the USPTO will provide the missing or illegible data for capture by the PaDaCap contractor.

· If the gap or illegibility was present on the page as filed by the applicant, the USPTO will confirm that the IFW image is the best available image, and the PaDaCap contractor will follow the procedures shown below.

· If the gap or illegibility was present within the Federal Research Statement, the USPTO will provide the missing or illegible data for capture by the PaDaCap contractor.

gap or illegibility in TEXT

All legible characters will be captured, including legible characters that appear in incomplete words or incomplete numeric expressions.

The custom character described below will be used at the location of each gap or illegibility, regardless of the size or length of the gap or illegibility. For example, one custom character will be used for a continuous block (word, phrase, sentence, paragraph, page, etc.) of missing or illegible data, and one custom character will be used for a missing or illegible letter in an otherwise legible word.

In Application Yellow Book the custom character will trigger an ASCII string of flowing text that will appear as the text below, in 9-point Helvetica Bold:

[text missing or illegible when filed]

In Application Red Book the same custom character becomes an external TIFF image using the custom-character element. The “alt” attribute of the custom-character element will contain “text missing or illegible when filed” (no square brackets).

gap or illegibility in COMPLEX WORK UNIT

All legible data within a complex work unit (math, chemistry, and tables) will be captured.

The custom character as described below will be used to indicate a gap or illegibility.

In Application Yellow Book the custom character will trigger the symbol that will appear at the location of each gap or illegibility, and at the end of the complex work unit the following footnote will appear in 6-point Times New Roman:

indicates text missing or illegible when filed

In Application Red Book

Math—The gap or illegibility markup will be exported to the images used by Application Red Book and saved within the NB file. The xml MathML data file will include the footnote, but all symbols will be converted to the ASCII question mark, since images are not currently supported in MathML. The “alt” attribute of the math CWU image element will contain “text missing or illegible when filed” (no square brackets).

Chemistry—The gap or illegibility markup will be saved within the CDX file. It will not be included within the exported mol file because the standard does not support images. The “alt” attribute of the chemistry CWU image element will contain “text missing or illegible when filed” (no square brackets).

Tables—In Application Red Book each custom character will become an external TIFF image using the “custom-character” element within the table cell. The “alt” attribute of the custom-character element will contain “text missing or illegible when filed” (no square brackets). The footnote is added as text appended at the end of the table.

indicates text missing or illegible when filed gap or illegibility in DRAWING

The drawing will be captured so that the caption BEST AVAILABLE IMAGE in Helvetica Bold appears at the top center of the drawing in the same orientation (portrait or landscape) as the drawing.

In Application Red Book the “alt” attribute of the image element will contain:

BEST AVAILABLE IMAGE

F.

Application Red Book Deliverable

Document Type Definition for Open Index

<!--Document Type Definition for Open Index

Reference this DTD as PUBLIC "-//USPTO//DTD open-index v1.2 2006-11-09//EN"

Contact: Bruce B. Cox

U.S. Patent and Trademark Office bruce.cox@uspto.gov

***** Revision History *****

2006-11-09

.Bruce B Cox

..Added file-original attribute to file element. Used only when contractor changes file name. If the

...original file name has a character invalid in attribute values, it will be replaced with underscore.

2006-10-17

.Bruce B Cox

..Added withdrawn element as an alternative to doc-archive and doc-supp-folders

2006-10-16

.Bruce B Cox

..Renamed main-path to main-archive-path; supplemental-path to supplemental-archive-path

..Deleted s-path, s-file, m-path, m-file and replaced with path, file.

..Changed content model of doc to (doc-number, doc-archive, doc-supp-folders?)

..Added doc-archive (path,file*)

..Added doc-supp-folders (doc-supp-folder+)

..Added doc-supp-folder (path, file+)

..Multiple folders in doc-supp-folders needed to accomodate multiple mega tables and a possible

...mega sequence listing.

2003-12-08

.First public release.

.Open-index concept from WIPO Standard ST.40.

***** End Revision History *****

A list of documents in the payload indicating their path.-->

<!ELEMENT open-index (from,volume-id,volume-label,main-archive-path, supplemental-archive-path?,open-index-file,(image-content | xml-content)) >

<!ATTLIST open-index lang CDATA #REQUIRED dtd-version CDATA #IMPLIED file CDATA #IMPLIED status CDATA #IMPLIED date-produced CDATA #IMPLIED >

<!--the office that sends the document-->

<!ELEMENT from (country) >

<!--WIPO Standard ST.3 two-letter country code for the office or organization issuing the documents.-->

<!ELEMENT country (#PCDATA) >

<!--Volume identifier for the physical carrier of the payload described in this open index.-->

<!ELEMENT volume-id (#PCDATA) >

<!ELEMENT volume-label (#PCDATA) >

<!--The full path and file name of the file containing either all the image files or all the XML instances and associated external entities.-->

<!ELEMENT main-archive-path (#PCDATA) >

<!--The full path and file name of the file containing all the mega content supplementary files.-->

<!ELEMENT supplemental-archive-path (#PCDATA) >

<!--The full path and file name of this open index file. The open index file points to itself.-->

<!ELEMENT open-index-file (#PCDATA) >

<!ELEMENT image-content (documents) >

<!ELEMENT documents (doc+) >

<!--One doc record per document on the carrier.-->

<!ELEMENT doc (doc-number,((doc-archive,doc-supp-folders?) | withdrawn)) >

<!--The number of the document. For US patent documents, the following formats are used:

<!ELEMENT doc-number (#PCDATA) >

<!ELEMENT doc-archive (path,file+) >

<!--The full path to a file. Used primarily with archive files or dismountable physical volumes.-->

<!ELEMENT path (#PCDATA) >

<!--File name without path information. Includes file name extension, if any, indicating file type.-->

<!ELEMENT file (#PCDATA) >

<!ATTLIST file file-original CDATA #IMPLIED >

<!ELEMENT doc-supp-folders (doc-supp-folder+) >

<!ELEMENT doc-supp-folder (path,file+) >

<!ELEMENT withdrawn EMPTY >

<!ELEMENT xml-content (documents) >

Red Book File-Naming Conventions (Pre-Grant)

Create file names according to this pattern for a Pre-Grant:

AACCCCCCCCCCCAN-NNNNNNNN-ANNNNN-NNNN.AAA

Where:

CCCCCCCCCCCAN

Pre-Grant:

4-digit year + 7 digits zero-left-padded

Followed by kind code: one LETTER, one digit

as YYYYMMDD

MM and DD zero-left-padded

D Drawings

C Chemistry

M Math

P image/character Pullout

T Table

S Sequence listing

L program Listing

XML

an XML instance file

JPG

JPEG image file (drawings)

TIF

TIFF image file (drawings, math, chemistry, tables, pullouts)

CDX

ChemDraw (CambridgeSoft) chemistry file

MOL

molfile (Elsevier MDL) chemistry file

NB

Mathematica (Wolfram Research) file

TXT

ASCII text file (sequence listings, program listings, tables)

G.

Pre-Grant Publication of Amended Applications

Pre-grant publication at one time was on an “as filed” basis. Under this “as filed” publication practice, preliminary amendments were generally not published.

Now, however, as announced by the Official Gazette notice with the title Patent Application Publications May Now Include Amendments (April 13, 2004; Vol. 1281, No. 2), the USPTO will publish patent applications with amendments made on filing and subsequently-filed amendments that expedite the publication process.

An applicant who files amendments to be included in the specification of the Patent Application Publication should file a new specification that includes all desired or required amendments. The PaDaCap contractor will capture and publish the latest-dated specification. Similarly, the PaDaCap contractor will capture and publish the latest-dated abstract, the latest-dated drawing set (for exception see Section (C) below), and the latest-dated complete claim set (for exceptions see Section (E) below). If the applicant did not incorporate the amendments into a substitute specification, or did not supply replacement drawings, or did not supply an amended abstract, or did not submit a complete new set of amended claims, the amendments will not be included in the Patent Application Publication.

(A)

GENERAL

handwritten changes: In the pre-grant publication data source, handwritten changes are not permitted and should be ignored by the PaDaCap contractor.

vertical lines in margin: “Recognizing that some word processing software will automatically generate a vertical line in the margin adjacent [to] marked-up changes, the Office will not object to the inclusion of a vertical line in the margin of amendments to the specification or claims.” Such lines will not be captured by the PaDaCap contractor.

(B)

ABSTRACT

The PaDaCap contractor will capture and publish the latest-dated abstract indexed under Image File Wrapper document code ABST. If the latest-dated abstract is an amended abstract, it may be either a replacement abstract incorporating the amendment(s) or a marked-up abstract with

ADDED subject matter indicated by UNDERLINING;

DELETED subject matter indicated by STRIKETHROUGH or, when the deletion is small or when a hard-to-perceive character is being deleted, by DOUBLE

BRACKETS.

If the applicant uses SINGLE BRACKETS and there is sufficient evidence that the single brackets are intended to indicate deletions, then the PaDaCap contractor will delete the single-bracketed text. Otherwise, if there is doubt about the significance of single brackets or any other markings, the PaDaCap contractor should query.

The PaDaCap contractor will publish the abstract in clean form.

For example, if the source showed this marked-up abstract text:

A system for recording the depths of dowel channels in sliding glass doors or the like includes [[a]] functionality that stores channel depths and recalls each dowel channel depth in response to a user pressing a button on a device.

then the following clean abstract text would be published:

A system for recording the depths of dowel channels includes functionality that stores channel depths and recalls each depth in response to a user pressing a button on a device.

multiple ABST documents with same latest date.

If there are multiple same-latest-dated ABST documents, the PaDaCap contractor’s source for the abstract should be a clean copy rather than a marked-up copy, or an applicant-supplied document rather than a WIPO/IB document. If all of the same-latest-dated ABST documents are WO publication front pages, the PaDaCap contractor’s source for the abstract should be a higher-kind-coded document rather than a lower-kind-coded document (for example, an A3 document rather than an A2 document), or should be a document labeled CORRECTED VERSION or the like rather than a document without such a label.

To return to the basic guideline, however, in any application with one latest-dated ABST document, that ABST document will be the PaDaCap contractor’s source for the abstract, even if that source is a marked-up copy or a WIPO/IB document.

NOTE: There is no requirement in Pre-Grant processing for the PaDaCap contractor to verify that multiple same-latest-dated abstracts are identical.

If the above guidelines are not helpful in a particular case, the PaDaCap contractor may query the Office of Data Management.

(C)

DRAWINGS

In general, the PaDaCap contractor will capture and publish the latest-dated set of drawings indexed under Image File Wrapper document code DRW. However, there is no requirement that the applicant supply a complete set of replacement drawings. If the latest-dated documents indexed under IFW document code DRW show less than a full set of drawings, then the PaDaCap contractor will use the latest-dated documents plus the next most recently dated documents so as to have a complete set of drawings. For example, the DRW document dated 01-13-2004 shows FIGS. 1 through 10 on five drawing sheets, and the DRW document dated 04-06-2004 is a replacement for Sheet 2 of 5, on which FIGS. 3 and 4 appear. In this situation the PaDaCap contractor will capture Sheet 1 of 5 (FIGS. 1-2) and Sheets 3 through 5 (FIGS. 5-10) from the DRW document dated 01-13-2004 and will capture replacement Sheet 2 of 5 (FIGS. 3-4) from the DRW document dated 04-06-2004.

(D)

SPECIFICATION

The PaDaCap contractor will capture and publish the latest-dated complete specification indexed under Image File Wrapper document code SPEC. For example, if the SPEC document dated 05-18-2004 is an amendment page showing a paragraph that is to be added to the specification, and if the SPEC document dated 02-10-2004 is a complete specification, then the PaDaCap contractor will capture the SPEC document dated 02-10-2004, but the PaDaCap contractor will not capture the SPEC document dated 05-18-2004. (If the applicant wanted the 05-18-2004 amendment to be included in the specification of the Patent Application Publication, he or she should have filed a complete specification on 05-18-2004 which incorporated the amendment.)

multiple complete SPEC documents with same latest date. Particularly in the U.S. National Stage of an international (PCT) application, there may be multiple complete SPEC documents with the same latest date. Typically one of them is the IB specification from the International Bureau of WIPO, identifiable by the WO publication number and the PCT application number in the header:

Even though the file shows an English-language IB specification, sometimes the applicant will submit another copy of it:

Another of the complete SPEC documents with the same latest date may be the specification submitted by the applicant, usually identifiable by an attorney docket number in the header or footer:

Sometimes an applicant-submitted specification is labeled as a substitute specification:

In general in any application with multiple same-latest-dated complete SPEC documents, the PaDaCap contractor’s source for the specification should be a clean copy rather than a marked-up copy, or an applicant-supplied document rather than a WIPO/IB document.

To return to the basic guideline, however, in any application with one latest-dated complete SPEC document, that SPEC document will be the PaDaCap contractor’s source for the specification, even if that source is a marked-up copy or a WIPO/IB document.

NOTE: There is no requirement in Pre-Grant processing for the PaDaCap contractor to verify that multiple same-latest-dated specifications are identical.

If the above guidelines are not helpful in a particular case, the PaDaCap contractor may query the Office of Data Management.

(E)

CLAIMS

(1) The PaDaCap contractor will capture and publish the latest-dated complete claim set* indexed under Image File Wrapper document code CLM or A.PE. For example, if the 06-12-2004 claim set shows amended claims 2 and 4 but does not show any other claims, yet the 04-21-2004 shows claims 1 through 10, then the PaDaCap contractor will capture and publish the 04-21-2004 claim set. A “complete claim set” is defined as one that shows or otherwise accounts for each of the claims, beginning with claim 1. However, it sometimes happens that an applicant will do one or more of the following:

skip a claim number (See Claims, Pre-Capture Verification, when a gap appears in the sequence of claim numbers.)

repeat a claim number (See Claims, Pre-Capture Verification, when multiple claims share the same claim number.)

fail to number a claim (See Claims, Pre-Capture Verification, when a claim does not have a number.)

fail to number any claims at all (See Claims, Pre-Capture Verification, claim numbering when data source is IFW image of paper application in which claims are not numbered.)

use claim-numbering schemes involving alphabetic characters, Roman numerals, and punctuation other than periods (See Claims, Pre-Capture Verification, criteria for claim numbers i, ii, and iii.)

With respect to the phrase "impose the standard style" as used in Section (E)(3) below, the "standard style" should be understood to include not only this section's guidelines (E)(3)(a), (E)(3)(b), etc. but also what is shown in Claims, Pre-Capture Verification, criteria for claim numbers i, ii, and iii.

EXCEPTION: See (E)(3)(d) below. When the latest-dated complete claim set uses a status identifier that calls for the claim text to be published yet does not supply the needed claim text, the PaDaCap contractor will go to any same-dated or next-most-recently-dated claim document that shows the needed claim text and will capture the claim text from that same-dated or next-most-recently-dated document.

multiple complete claim sets with same latest date.

If there are multiple same-latest-dated complete claim sets, the PaDaCap contractor’s source for the claims should be a clean copy rather than a marked-up copy, or an applicant-supplied document rather than a WIPO/IB document.

To return to the basic guideline, however, in any application with one latest-dated claim set, that claim set will be the PaDaCap contractor’s source for the claims, even if that source is a marked-up copy or a WIPO/IB document.

NOTE: There is no requirement in Pre-Grant processing for the PaDaCap contractor to verify that multiple same-latest-dated complete claim sets are identical.

If the above guidelines are not helpful in a particular case, the PaDaCap contractor may query the Office of Data Management.

(2) It is possible that the applicant will mark up the latest-dated claim set to indicate deletions and additions. The PaDaCap contractor will publish the claim text in clean form.

The applicant may indicate ADDED subject matter by UNDERLINING.

The applicant may indicate DELETED subject matter by STRIKETHROUGH or, when the deletion is small or when a hard-to-perceive character is being deleted, by

DOUBLE BRACKETS.

If the applicant uses SINGLE BRACKETS and there is sufficient evidence that the single brackets are intended to indicate deletions, then the PaDaCap contractor will delete the single-bracketed text. Otherwise, if there is doubt about the significance of single brackets or any other markings, the PaDaCap contractor should query.

complex work units: Complex work units within the claims will be amended with underlining, strikethrough and/or double brackets.

For example, if the source showed this marked-up claim text:

5. (currently amended) A dowel with radially projecting web sections or transverse grooves or with radially projecting webs or the like which provide [[a]] hand-gripping capabilities to the dowel user.

then the following clean claim text should be published:

5. A dowel with radially projecting web sections or transverse grooves which provide hand-gripping capabilities to the dowel user.

(3) The latest-dated claim set should show parenthetical status identifiers. In the table below each status identifier is shown with acceptable variations. The PaDaCap contractor will follow the instructions shown in the table below:

(original) status ID will not be published with claim text OR (original claim)

OR (originally filed claim)

(currently amended) status ID will not be published with claim text OR (presently amended)

OR (currently amended claim)

(previously presented) status ID will not be published with claim text OR (previously amended)

OR (previously added)

OR (previously submitted)

OR (previously presented claim)

(new) status ID will not be published with claim text OR (newly added)

OR (new claim) (canceled) status ID will be published in place of any claim text OR (canceled without prejudice)

OR (cancel)

OR (cancelled)

OR (canceled herein)

OR (previously cancelled)

OR (canceled claim)

OR (deleted) (withdrawn) status ID will not be published with claim text OR (withdrawn from consideration)

OR (withdrawn–new)

OR (withdrawn claim)

OR (withdrawn–currently amended) (not entered) status ID will be published in place of any claim text OR (not entered claim) For example, if the source showed this:

1. (original) A hole-fitting stick of an assembly for joining two furniture parts, the hole-fitting stick comprising:

a…