Attachment 07 - IFW Document Codes - Document Code Dictionary 2020-04-15.pdf

IFW Document Codes

Document Code Dictionary

USPTO – April 15, 2020

DocCode Description Business Process Date Added Date Deleted Designation

136A Authorization for Extension of Time all replies

37 CFR 1.136 is the patent rule governing extensions of time. A constructive petition for an extension of time should be document coded as 136A, and is treated as requesting an extension of time for any paper needing an extension of time to be treated as timely filed. In accordance with 37 CFR 1.136(a)(3), there are two types of deposit account authorizations that may be treated as a constructive petition for time for any concurrent or future reply. 12/19/2007 Incoming

1449 List of References cited by applicant and considered by examiner The applicant provides form 1449 at the earliest possible stage of prosecution detailing most pertinent references known to applicant. The Examiner initials the outgoing copy of this form. 6/2/2003 Outgoing

371.CNV.UTIL Notice of 371 Conversion to Regular A notice is issued from the USPTO informing applicant that their 371 application has been converted to a 111(a) application. This may be the result of a petition decision by PCT Legal Office. 12/19/2007 Outgoing

371.FEE.M912 371 Missing Basic Fees/Copy of IA ‐ Form M912

A notice is issued from the USPTO regarding a problem with the formalities of a filed 371 application. The notice identifies unpaid 371 basic fees or informs applicant that the office did not receive the PCT International Application. 12/19/2007 Outgoing

371.FEE.M923 371 Supplemental Fees Missing ‐ Form M923 A notice is issued from the USPTO regarding a problem with the formalities of a filed 371 application. The notice identifies fees amounts that are still required. 12/19/2007 Outgoing

371.NT.C.APN Notice of 371 Canceled Application Number A notice is issued from the USPTO informs applicant that their 371 application number is cancelled. 12/19/2007 Outgoing

371.RES.DEF 371 Defective Response ‐ Form M916

A notice is issued from the USPTO regarding a problem with the formalities of a filed 371 application. The notice is mailed when applicant responds to a Notice of Missing Requirements but has not met all the requirements identified in the response to the Notice of Missing Requirements. 12/19/2007 Outgoing

371.RQ.M922 371 Requirements for Sequence Disclosure Notice Form M922

A notice is issued from the USPTO regarding a problem with the formalities of a filed 371 application. The notice identifies missing requirements for sequence applications such as the Sequence Listing, Computer Readable Form (CRF), and statement from application that the Sequence Listing and CRF are identical. 12/19/2007 Outgoing

371P Documents submitted with 371 Applications

For an international application designating the United States, to begin the national stage, an applicant files International Bureau documents including the international application, a translation if necessary, and other documents such as an international search report and a preliminary examination report. 11/7/2002 Incoming

3P.PUB.EVDNC Evidence of Publication

For this program, non‐applicant third parties can make an IDS‐like submission in an application.

The submissions are limited to publications so, in some instances, the third party may need to upload additional material to establish that a document submitted was published. This additional material would be coded as “Evidence of Publication.” There isn’t a corollary for applicant IDS submissions; submitting evidence of publication is something new for this program. 8/2/2012 Incoming

3P.RELEVANCE Concise Description of Relevance

Under this program, the third party must provide, for each document submitted, a concise description of the document’s relevance to the examination of the application. They may choose to enter the description in a text field on the EFS‐Web interface but because the field is limited to 250 characters, they also have the option of uploading a separate PDF document that contains the concise description for a particular document. 8/2/2012 Incoming

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3P.RQ.NCMP Request for Notification of Non‐compliant Third‐Party Submission

Third‐party submissions are routed to a parking lot where they will be screened for compliance before being entered into an application. A third party can request that the Office notify them if their submission is found to be non‐compliant. To do so, the third party will include a request with an email address to which such notification should be directed. Non‐compliant submissions will not be entered into the application. If the request for notification were to be made public, then the applicant would know that a third party submission was filed even if it was found to be non‐ compliant. Thus, the Office wants to keep the requests for notification internal. 8/2/2012 Internal

3P.TRANS.FOR Translation of Foreign Patent Document

Because non‐applicant third parties will be using the system, it would be less confusing for them if they could select a translation code when they need to upload an English‐language translation for a NPL or FOR document, but we could live with using NPL for a translation of an NPL document and FOR for a translation of a foreign document if need be and provide some instructions to that effect. The idea was to make it as easy as possible for less‐savvy third parties to use the electronic system to file their submissions. 8/2/2012 Incoming

3P.TRANS.NPL Translation of Non‐Patent Publication

Because non‐applicant third parties will be using the system, it would be less confusing for them if they could select a translation code when they need to upload an English‐language translation for a NPL or FOR document, but we could live with using NPL for a translation of an NPL document and FOR for a translation of a foreign document if need be and provide some instructions to that effect. The idea was to make it as easy as possible for less‐savvy third parties to use the electronic system to file their submissions. 8/2/2012 Incoming

501.CERT.SRV Certificate of Service under 37 CFR 1.248 TBD 10/2/2013 Incoming 501.CLM.INFO Accompanying Info for patent owner claim scope stmnt TBD 10/3/2013 Incoming 501.CLM.JUST Patent Owner Clm Scope Stmnt Explanation/Justification TBD 10/4/2013 Incoming 501.CLM.STMT Patent Owner Claim Scope Statements TBD 10/5/2013 Incoming

501.PERTNCNE Statement(s) of Pertinence and Manner (Prior Art)

Under this program, the submitter must provide, a statement as to the pertinence and manner of apply the submitted art to at least one claim of the patent. They may choose to enter multiple statements. They will upload as separate PDF document(s) that contains the statement(s) of pertinence and Manner of Applying the prior art. 10/6/2013 Incoming

501.PUB.EVDN Evidence of Publication

For this program, submissions are limited to patents, publications and patent owner claim scope statements. In some instances, a submitter may need to upload additional material to establish that a document submitted was published. This additional material would be coded as “Evidence of Publication.” 10/7/2013 Incoming

501.RQ.NCMP Request notice of Non‐compliant 1.501 Submission

501 submissions are routed to a parking lot where they will be screened for compliance before being entered into the patent file. A 501 filer can request that the Office notify them if their submission is found to be non‐compliant. To do so, the filer will include a request with contact information where such notification should be directed. Non‐compliant submissions will not be entered into the patent file. 10/8/2013 Internal

501.TRNS.FOR Translation ‐ Foreign Reference TBD 10/9/2013 Incoming 501.TRNS.NPL Translation ‐ Non Patent Literature/Publications TBD 10/10/2013 Incoming

892 List of references cited by Examiner The examiner provides form 892 as an attachment to any Office action in which the Examiner cites references not previously of record in the case. 12/10/2002 Outgoing

A... Amendment/Req. Reconsideration‐After Non‐Final Reject Amendment filed by the applicant in response to a non‐final office action issued by the Examiner based on the merits of the application. Document may be included in AS FILED. 6/30/2003 Incoming

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A.I. Informal or Non‐ Responsive Amendment.

Amendment filed by the applicant in response to an Examiner action wherein the Examiner determines the amendment is a bona fide but incomplete attempt to provide a complete response. In such an instance, the Examiner gives the applicant one month from the date of mailing of a letter of non‐responsiveness to complete the reply. 6/30/2003 Incoming

A.LA Untimely (Late) Amendment Filed

When applicant files an amendment after the expiration of the statutory period, the application is abandoned and the remedy is to petition to revive it. The late or untimely amendment is endorsed on the file wrapper, but not formally entered. 6/30/2003 Incoming

A.NA Amendment after Notice of Allowance (Rule 312)

When applicant files an amendment after the Notice of Allowance has been mailed but before the issue fee is paid, the amendment is not entered automatically. It may only be entered upon recommendation of a Primary Examiner. It will not be entered if it requires additional search or more than cursory review. 6/30/2003 Incoming

A.NE Response After Final Action

Amendment provided by the applicant after the Examiner closes prosecution with a final rejection.

Amendment is not automatically entered by the Examiner. It will not be entered if it requires additional search or more than cursory review. 6/30/2003 Incoming

A.NE.AFCP After Final Consideration Program Request

This request is sent from applicant after the Examiner has closed prosecution with a final rejection.

Applicant provides an Applicant Initiated Interview Request (PTOL‐413A) and a proposed amendment (37 CFR 1.116) to an independent claim that does not broaden the claim. The Examiner will conduct a full and complete review of any proposed amendment to an independent claim and schedule and interview, if necessary. 2/19/2013 Incoming

A.NE.AFCP.D After Final Consideration Program Decision After Final Consideration Program Decision 10/9/2014 Outgoing

A.NE.PCP Prosecution Conference Pilot Request

This request is sent from applicant after the examiner has closed prosecution with a final rejection.

Applicant requests entry into the Prosecution Conference pilot by submitting this form along with limited arguments and optional claim amendments. A prosecution conference will then be conducted with applicants as appropriate. 6/14/2016 Incoming

A.NE.PCP.D Prosecution Conference Pilot Request Decision

This form is completed by the examiner in response to a Prosecution Conference Pilot request.

Applicant requests entry into the Prosecution Conference pilot by submitting a request form along with limited arguments and optional claim amendments. A prosecution conference will then be conducted with applicants as appropriate 6/14/2016 Outgoing

A.NQ Amendment Crossed in Mail

When an amendment is filed on or before the mailing date of the regular Office action, but reaches the Examiner later, the amendment is considered to have crossed the Office action in the mail. The amendment that crossed in the mail usually requires the Examiner to prepare a supplemental action that includes a new period for response. 6/30/2003 Incoming

A.PE Preliminary Amendment Amendment filed by the applicant prior to the Examiner issuing an office action that is based on the merits of the application. Document may be included in AS FILED. 6/30/2003 Incoming

A.QU Response after Ex Parte Quayle Action

An Ex parte Quayle action is an Office action noting that all claims are allowable and the application is in condition for allowance except as to matters of form such as correction of the specification or a new oath. An Ex parte Quayle action closes prosecution on the merits. A proper response from the applicant to an Ex parte Quayle action is limited to correcting these matters of form. 6/30/2003 Incoming

ABN Abandonment

If applicant fails to respond to a requirement from the Examiner within the time period set, the application becomes abandoned. The Examiner notifies the Applicant of the abandonment of the application by sending out a Notice of Abandonment. 6/2/2003 Outgoing

ABN.EXPRESS Internal document noting that an Express Abandonment request has been processed

Internal notice informing Examiner that an Express Abandonment request has been processed.

Applicant's attorney may file a letter of express abandonment of an application. The letter of abandonment becomes official when an appropriate official of the Office takes action on the letter, such as an Examiner acknowledging receipt of the Express Abandonment. 6/29/2004 Internal

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ABST Abstract A brief overview of the disclosure in the specification not exceeding 150 words in length.

Document may be included in AS FILED. 9/28/2006 Incoming

ABST.NE Abstract ‐ Amendment Not Entered

When an applicant makes extensive amendments to a specification, a substitute specification that includes an abstract may be submitted. This substitute specification including the abstract, while normally entered, may be denied entry if it is not filed before the issue fee or it is not accompanied by a statement that there is no new matter. 6/24/2003 Incoming

ACPA Continued Prosecution Application ‐ Continuation (ACPA)

A Continued Prosecution Application (CPA) is filed by applicant before abandonment or termination of proceedings of a prior application and requests express abandonment of that prior application. The CPA discloses and claims only subject matter disclosed in the prior application. 6/30/2003 Incoming

ADS Application Data Sheet

The application data sheet is a sheet voluntarily submitted in either provisional or nonprovisional applications and contains bibliographic data, arranged in a format specified by the USPTO in 37 CFR § 1.76. Supplemental application data sheets may be submitted prior to payment of the issue fee either to correct or update information in a previously submitted application data sheet.

Document may be included in AS FILED. 11/7/2002 Incoming

ADS.CORR Application Data Sheet to update/correct info Application data sheet to update or correct information 11/18/2015 Incoming

AF/D Affidavit‐submitted prior to Mar 15, 2013

DO NOT USE AFTER MARCH 15, 2013

When any claim of an application or a patent under reexamination is rejected under 35 U.S.C. 103 on a U.S. patent or U.S. patent application publication which is not prior art under 35 U.S.C. 102(b), and the inventions defined by the claims in the application or patent under reexamination and by the claims in the patent or published application are not identical but are not patentably distinct, and the inventions are owned by the same party, the applicant or owner of the patent under reexamination may disqualify the patent or patent application publication as prior art by submission of an affidavit under Rule 130 stating common ownership and stating that the inventor named is the prior inventor. When a reference applied by the Examiner has a patent or publication date less than 1 year before the U.S. filing date of the application being examined, applicant may file an affidavit under Rule 131 to show prior inventorship to overcome the rejection. Evidence submitted by applicant to overcome a rejection or objection on a basis not otherwise provided for in the rules is submitted as an affidavit under Rule 132. Exhibits may be supplied to support either type of affidavit. Affidavits are normally submitted prior to a final rejection. 6/30/2003 Incoming

AF/D.130A Affidavit‐Rule 130(a)‐AIA (FITF) ONLY

When any claim of an application or a patent under reexamination is rejected, the applicant or patent owner may submit an appropriate affidavit or declaration to disqualify a disclosure as prior art under Rule 130(a) by establishing that the disclosure was made by the inventor or a joint inventor, or the subject matter disclosed was obtained directly or indirectly from the inventor or a joint inventor. 2/12/2013 Incoming

AF/D.130B Affidavit‐Rule 130(b)‐AIA (FITF) ONLY

When any claim of an application or a patent under reexamination is rejected, the applicant or patent owner may submit an appropriate affidavit or declaration to disqualify a disclosure as prior art under Rule 130(b) by establishing that the subject matter disclosed had, before such disclosure was made or before such subject matter was effectively filed, been publicly disclosed by the inventor or a joint inventor or another who obtained the subject matter disclosed directly or indirectly from the inventor or a joint inventor. 1/22/2013 Incoming

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AF/D.131 Affidavit‐Rule 131‐pre‐AIA (FTI) ONLY

When a reference applied by the Examiner has a patent or publication date less than 1 year before the U.S. filing date of the application being examined, applicant may file an affidavit or declaration under Rule 131(a) (Pre‐AIA (FTI) Rule 131) to show prior inventorship to overcome the rejection.

When any claim of an application or a patent under reexamination is rejected under 35 U.S.C. 103 on a U.S. patent or U.S. patent application publication which is not prior art under 35 U.S.C. 102(b), and the inventions defined by the claims in the application or patent under reexamination and by the claims in the patent or published application are not identical but are not patentably distinct, and the inventions are owned by the same party, the applicant or owner of the patent under reexamination may disqualify the patent or patent application publication as prior art by submission of an affidavit or declaration under Rule 131(c) (pre‐AIA(FTI) Rule 130) stating common ownership and stating that the inventor named is the prior inventor. 2/12/2013 Incoming

AF/D.132 Affidavit‐traversing rejectns or objectns rule 132 Evidence submitted by applicant to overcome a rejection or objection on a basis not otherwise provided for in the rules is submitted as an affidavit under Rule 132. 2/12/2013 Incoming

AF/D.OTHER Affidavit‐not covered under specific rule Evidence submitted by applicant not provided for in the rules. 2/12/2013 Incoming AISP Letter of Suspension ‐ Applicant Initiated Letter of Suspension ‐ Applicant Initiated 4/22/2009 Incoming

AMSB Amendment Submitted/Entered with Filing of CPA/RCE Applicant may submit an amendment at the time of the filing of a Request for Continued Prosecution Application (CPA) or a Request for Continued Examination. 6/30/2003 Incoming

ANE.I Amendment After Final or under 37 CFR 1.312, initialed by the examiner

Amendments may be filed by applicant even after a final rejection by the Examiner (37CFR 1.116) or after the Notice of Allowance has been mailed (37CFR 1.312). Such amendments are not entered automatically, but only if no more than a cursory review of the record is required and no additional search is necessary. 9/3/2003 Internal

AP.B Appeal Brief Filed

After two rejections from the Examiner, applicant (now appellant) may file an Appeal Brief of the Examiner's decision. The appeal is to be decided upon by an administrative patent judge from the Patent Board within the USPTO. The judge weighs the evidence in the Appeal Brief and in an Examiner's Answer to reach a decision. 6/30/2003 Incoming

AP.PRE.DEC Pre‐Brief Appeal Conference Decision

After a pre‐brief review conference has taken place, the PTO provides a notice to the appellant advising the appellant: (1) that the review occurred and that the period set for filing an appeal brief runs from the mail date of such notice; and (2) of any rejection(s) that is withdrawn as a result of the review. 11/12/2002 Outgoing

AP.PRE.DEF Notice – Defective Pre‐Brief Appeal

If a request from appellant for a pre‐brief review is defective, for example by requesting more than a limited review, the PTO provides a notice to the appellant that the pre‐brief appeal conference request is defective. 11/12/2002 Outgoing

AP.PRE.REQ Pre‐Brief Conference Request

This request is sent from appellant for a limited review conference of all of the rejections in the final rejection (or rejection being appealed if non‐final) of a selected claim that would take place after a notice of appeal has been filed, but prior to the filing of an appeal brief. The review conference is limited to determining whether each rejection(s) of the selected claim plainly fails to establish a prima facie case of unpatentability. 11/12/2002 Incoming

AP.REV.CHK Review form/checklist for Appeal Briefs or Examiner's Answer

All Appeal Briefs and Examiner's Answer will be reviewed before being sent to the Patent Board.

The new Appeal center will have a review form scanned into IFW and change the PALM status to 119 placing the application on the examiner's Special Amended docket when there are deficiencies that need to be corrected. 7/17/2006 Internal

AP.RRSP Restart Response of PTAB action

A letter indicating that a period for response set forth in the last PTAB communication has been restarted 3/24/2020 Outgoing

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AP/A Amendment/ Argument after Notice of Appeal

An amendment may be filed at any time after final rejection, but before the jurisdiction of the case has passed to the Patent Board. However, after the Notice of Appeal has been filed by applicant, any amendment or argument filed by applicant is not normally entered unless the paper presented clearly places the application in condition for allowance. 11/13/2003 Incoming

AP/W Request to Withdraw Appeal by Appellant

Appellant may file a request to withdraw an appeal to the Patent Board. If no claims are allowed, the withdrawal is an express abandonment. If some claims are allowed, the withdrawal is the equivalent of an amendment canceling the appealed claims. 6/30/2003 Incoming

AP_DK_M Appeal Docketing Notice

A docketing notice is sent to the appellant letting the appellant know that the application on appeal has been received at the Patent Board. The notice provides the appeal number and the date the appeal brief, reply brief (if any) and the request for hearing (if any) were filed. 3/24/2004 Outgoing

APAF Affidavit/Dec/ Exhibit After Notice of Appeal

An affidavit, declaration or exhibit may be filed after the Notice of Appeal. However, after the jurisdiction of the case has passed to the Patent Board, an affadavit, declaration or exhibit may be considered by the Examiner only in the case that the Board remands the case to the Examiner for that purpose. 6/30/2003 Incoming

APAR Administrative Remand to the Examiner

The Patent Board has the authority to remand a case to the Examiner when it deems necessary.

For example, the Board may remand a case for a fuller description of the claimed invention, for further search, for preparation by the Examiner of a Supplemental Examiner's Answer in response to a reply brief, or to consider affidavits or declarations from the appellant. 6/30/2003 Internal

APBD Notice ‐ Defective Appeal Brief

An appellant's brief must be responsive to every ground of rejection stated by the Examiner. If the appeal brief fails to address any such ground, the Examiner sends the appellant a notice of a defective brief and gives the appellant time to correct the defect. 10/30/2002 Outgoing

APCH Confirmation of Hearing by Appellant

Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.

The appellant must send a confirmation within a stated time period confirming that appellant will attend. 6/30/2003 Incoming

APD1 Decision on Reconsideration‐Denied

Appellant may request a rehearing before the Patent Board if the Board affirms the Examiner in whole or in part. The Board may decide that there are no new issues to reconsider and deny the request. 10/30/2002 Outgoing

APD2 Decision on Reconsideration‐Granted

Appellant may request a rehearing before the Patent Board if the Board affirms the Examiner in whole or in part. The Board may decide that there are issues that need to be reconsidered and grant the request. 10/30/2002 Outgoing

APD3 Decision on Reconsideration ‐ Granted in Part

Appellant may request a rehearing before the Patent Board if the Board affirms the Examiner in whole or in part. The Board may decide that there are some issues that need to be considered and other issues that do not need to be reconsidered and grant the request in part. 10/30/2002 Outgoing

APDA Patent Board Decision ‐ Examiner Affirmed

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments. The Board is comprised of administrative patent judges within the USPTO who reach a decision to affirm reverse, or affirm in part the decision of the Examiner. In this instance, the Examiner is affirmed in full without explanation. 10/30/2002 Outgoing

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APDN Patent Board Decision 196(b)

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments. The Board is comprised of administrative patent judges within the USPTO who reach a decision. That decision may be to make a new ground of rejection under 37CFR 1.196 (b). The appellant then may submit an appropriate amendment or showing of facts or request a rehearing. 10/30/2002 Outgoing

APDP Patent Board Decision ‐ Examiner Affirmed in Part

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments. The Board is comprised of administrative patent judges within the USPTO who reach a decision to affirm reverse, or affirm in part the decision of the Examiner. In this instance, the Examiner is affirmed in part. 10/30/2002 Outgoing

APDR Patent Board Decision ‐ Examiner Reversed

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments. The Board is comprised of administrative patent judges within the USPTO who reach a decision to affirm reverse, or affirm in part the decision of the Examiner. In this instance, the Examiner is reversed in full. 10/30/2002 Outgoing

APDS Dismissal of Appeal

An Appeal to the Patent Board is dismissed if the brief from the appellant is not filed on time or if the brief is not compliant, for example by not arguing a ground of rejection involving all of the appealed claims or by not including all of the portions required of an appeal brief by 37 CFR 1.192.

When an appeal is dismissed, all claims not allowed are withdrawn. If no claims are allowed, the case is abandoned. If some claims are allowed, the application is passed to issue. 10/30/2002 Outgoing

APDS.NGR Appeal Dismissed‐ No response to NGR PTAB Decision The Patent Board will dismiss the appeal if the Appellant/Parties do not timely respond to the New Ground of Rejection 3/24/2020 Outgoing

APDT Patent Board Decision ‐ Requirement under 41.50(D)

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments. The Board is comprised of administrative patent judges within the USPTO who reach a decision. That decision may be to require appellant to clarify the record under 37CFR 41.50 (d). The clarification may include explaining the applicability of particular case law not previously identified as relevant to the appeal or explaining the applicability of particular references not previously of record. 10/30/2002 Outgoing

APE2 2nd or Subsequent Examiner's Answer to Appeal Brief

An Examiner's Answer is prepared by the Examiner restating the rejection and responding to appellant's arguments as stated in appellant's appeal brief to the Patent Board. If the appellant files a reply brief, the Board may remand the application to the Examiner for the express purpose of having the Examiner prepare a Supplemental Examiner's Answer to respond to the Reply Brief. 10/30/2002 Outgoing

APEA Examiner's Answer to Appeal Brief An Examiner's Answer is prepared by the Examiner restating the rejection and responding to appellant's arguments as stated in appellant's appeal brief to the Patent Board. 10/30/2002 Outgoing

APHT PTAB Oral Hearing Transcript 6/1/2018 Outgoing

APLR Notification of Appeal Reinstatement

After an appeal brief or a reply brief has been filed, a Primary Examiner may decide to withdraw the final rejection and reopen prosecution in response to the appeal brief or the reply brief. One option available to the applicant is to request reinstatement of the appeal. When the appeal is reinstated, applicant is notified of the reinstatement. 10/30/2002 Outgoing

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APLW Patent Board Appeal Dismissed / Withdrawn

An appeal to th ePatent Board is dismissed or withdrawn if the brief from the appellant is not filed on time or if the brief is not compliant, for example by not arguing a ground of rejection involving all of the appealed claims or by not including all of the portions required of an appeal brief by 37 CFR 1.192. When an appeal is dismissed, all claims not allowed are withdrawn. If no claims are allowed, the case is abandoned. If some claims are allowed, the application is passed to issue. 10/30/2002 Outgoing

APND Notice ‐‐ Defective Notice of Appeal A Notice is sent to the appellant of a defective Notice of Appeal if the Notice was not filed on time, or the fee was unpaid, or if none of the claims have been twice rejected. 10/30/2002 Outgoing

APNH Notification of Appeal Hearing

Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board and confirmation of the appellant's attendance is required. 10/29/2002 Outgoing

APNH.CA Notification of Appeal Hearing ‐ CA 6/1/2018 Outgoing APNH.CO Notification of Appeal Hearing ‐ CO 6/1/2018 Outgoing APNH.MI Notification of Appeal Hearing ‐ MI 6/1/2018 Outgoing APNH.TX Notification of Appeal Hearing ‐ TX 6/1/2018 Outgoing APNH.VA Notification of Appeal Hearing ‐ VA 6/1/2018 Outgoing

APNR Notice of Non‐Entry of Reply Brief

In response to an Examiner's Answer prepared by the Examiner following appellant's appeal brief to the Patent Board, appellant has a right to file a reply brief within two months of the mailing date of the Examiner's Answer. If the reply brief contains an amendment or evidence, or other formal defect, however, it is not considered to be a reply brief and is not entitled to entry. If a reply brief of this nature is submitted, a notice of non‐entry of reply brief will be sent to appellant informing the appellant of non‐entry of the reply brief. updated: 11/10/08 10/30/2002 Outgoing

APOC Order of Compliance A notice or order is issued by PTAB to the appellant that their communication or appeal brief was non‐compliant 2/22/2019 Outgoing

APOH Request for Oral Hearing Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 6/30/2003 Incoming

APOH.CA Request for Oral Hearing ‐ San Jose, California

Appellant may request a preference for the San Jose, California location for an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 4/6/2016 Incoming

APOH.CO Request for Oral Hearing ‐ Denver, Colorado

Appellant may request a preference for the Denver, Colorado location for an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 4/6/2016 Incoming

APOH.MI Request for Oral Hearing ‐ Detroit, Michigan

Appellant may request a preference for the Detroit, Michigan location for an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 4/6/2016 Incoming

APOH.TX Request for Oral Hearing ‐ Dallas, Texas

Appellant may request a preference for the Dallas, Texas location for an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 4/6/2016 Incoming

APOH.VA Request for Oral Hearing ‐ Alexandria, Virginia

Appellant may request a preference for the Alexandria, Virginia location for an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. 4/6/2016 Incoming

APOR Order By PTAB A notice or order is issued by PTAB to the appellant. 2/22/2019 Outgoing APORSW Order to Show Cause A notice or order is issued by PTAB requesting information from the appellant. 2/22/2019 Outgoing

APP.FILE.REC Filing Receipt When an application is initially filed, applicant is informed of the application number and filing date by a filing receipt sent out by the USPTO. 12/19/2007 Outgoing

APP.TEXT Application body structured text document Under the eMod Text Pilot Program, the application body is filed by the applicant in structured text. The document description cannot be selected by the applicant. 2/17/2016 Incoming

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APP.TXT.CHEM Chemical Formulae (Text file) Applicants may file supplemental chemical content in text format (i.e. txt file) to facilitate prosecution of application. 4/17/2007 Incoming

APP.TXT.MATH Mathematical Formulae (Text file) Applicants may file supplemental mathematical content in text format (i.e. txt file) to facilitate prosecution of application. 4/17/2007 Incoming

APP.TXT.PDB 3D Protein Crystals (Text file) Applicants may file supplemental protein structure content in text format (i.e. txt file) to facilitate prosecution of application. 4/17/2007 Incoming

APPD Hearing Postponement Denied

Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.

The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant cannot attend at the designated time, appellant may request a postponement of the hearing. Such a request will not be granted will not be granted in the absence of convincing reasons in support of the requested change. 3/11/2004 Outgoing

APPENDIX Appendix to the specification

A sequence listing table or a computer program of greater than a specified size must be submitted as an appendix to the specification and be provided on a compact disc. Document may be included in AS FILED. 7/7/2003 Incoming

APPG Appeal Hearing Postponement Granted

Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.

The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant cannot attend at the designated time, appellant may request a postponement of the hearing. Such a request may be granted if it does not unduly delay a decision in the case or place undue burden on the Board. 3/11/2004 Outgoing

APPH Appeal Postponement of Oral Hearing Request

Appellant may request an oral hearing before the Patent Board In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.

The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant cannot attend at the designated time, appellant may request a postponement of the hearing. Such a request may be granted if it does not unduly delay a decision in the case or place undue burden on the Board. 3/11/2004 Incoming

APPR Panel Remand to the examiner by Patent Board

The Patent Board may remand a case to the examiner when it deems it necessary. For example, the Board may remand for a fuller description of the claimed invention, for a further explanation of the pertinence of the references, for further search where it feels that the most pertinent art has not been cited, or to consider an amendment, affidavit, or declaration. The Board may also remand an application to the examiner to prepare a supplemental examiner’s Answer in response to a reply brief. 11/12/2002 Internal

APRB Reply Brief Filed

In response to an Examiner's Answer prepared by the Examiner following appellant's appeal brief to the Patent Board, appellant has a right to file a reply brief within two months of the mailing date of the Examiner's Answer. 6/30/2003 Incoming

APRD Order Returning Undocketed Appeal to the examiner from Patent Board

An order returning an undocketed appeal to the Examiner is sent by the Patent Board if upon review, the Board determines that the application is not ready for docketing. Reasons for the returning the case may be that there was no appropriate indication that an appeal conference had been held, or that an Information Disclosure Statement had been considered, or that an amendment approved for entry by the Examiner had been entered, or that certain references relied upon by the Examiner were scanned in their entirety into IFW. 3/11/2004 Outgoing

APRH Request to Reschedule Hearing 6/1/2018 Incoming APRTH Request for Telephonic Hearing 6/1/2018 Incoming APRVH Request for Video Hearing 6/1/2018 Incoming

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APSD Supplement or Subsequent Decision

The Patent Board reaches a decision in response to an appeal brief filed by the appellant specifying alleged errors in the Examiner's rejection and an Examiner's Answer prepared by the Examiner restating the rejection and responding to appellant's arguments or a decision in response to the CAFC decision. The Board is comprised of administrative patent judges within the USPTO who reach a decision to affirm reverse, or affirm in part the decision of the Examiner. In this instance, the patent judges will reach a decision with an explanation. 2/22/2019 Outgoing

APTH.C Confirmation of Telephonic Hearing 2/1/2019 Incoming APTH.D Decision Denying Telephonic Hearing 6/1/2018 Outgoing APTH.G Decision Granting Telephonic Hearing 6/1/2018 Outgoing APVH.C Confirmation of Video Hearing 2/1/2019 Incoming APVH.D Decision Denying Video Hearing 6/1/2018 Outgoing APVH.G Decision Granting Video Hearing 6/1/2018 Outgoing

APWH Waiver of Hearing by Appellant

Appellant may request an oral hearing before the Patent Board. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.

The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant no longer can or wishes to attend the scheduled hearing, appellant should inform the Board of a of waiver of hearing at the earliest possible opportunity. 6/30/2003 Incoming

ARTIFACT Artifact sheet indicting an item has been filed which cannot be scanned

An artifact form is completed and scanned for each artifact at the time the time the artifact is receive in the mailroom. The scanned form becomes part of the IFW file. An artifact is any non‐ scanable item included in a patent application, for example, videotapes, bound documents, CDs.

Artifacts are stored in Artifact Folders. Document may be included in AS FILED. 11/7/2002 Incoming

ASIR Form PTO451 ‐ Approval of SIR Request

An applicant may request for a statutory invention registration (SIR) at the time of filing a nonprovisional patent application or later during pendency. The application to be published as a SIR must be complete including a specification with a claim or claims, an oath or declaration, and drawings when necessary. A statutory invention registration is not a patent. It has the defensive attributes of a patent but does not have the enforceable attributes of a patent. The application to which the request is directed will be examined to determine if the SIR request is complete and if the application itself is complete. If the examination results in approval of the request for a statutory invention registration, the applicant will be notified of the intent to publish a statutory invention registration. 10/30/2002 Outgoing

BD.A Amendment/Argument after Patent Board Decision

An amendment may be filed after the decision of the Patent Board. If it does include any recommendation made by the Board and presents new or amended claims, in view of the fact that prosecution is closed, the appellant is not entitled to have such amendment entered automatically. However, if the amendment is submitted with a request for continued examination, the prosecution of the application will be reopened and the amendment will be entered. If the amendment obviously places an application in condition for allowance, the primary examiner, with the concurrence of the supervisory patent examiner, will have the amendment entered.

Arguments may be filed after the Board's decision such as the judicial precedent or rule or statute has been rescinded or overruled. 6/30/2003 Incoming

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BDRR Request for Rehearing of Patent Board Decision

The Examiner may request rehearing of the decision of the Patent Board. All requests by the Examiner to the Board for rehearing of a decision must be approved by the TC Director and must also be forwarded to the Office of the Deputy Commissioner for Patent Examination Policy for approval before mailing. The request should set a period of 1 month for the appellant to file a reply. After the period set for appellant to file a reply has expired, the application file will be forwarded to the Board. 6/30/2003 Incoming

BIB Bibliographic Data Sheet A bibliographic listing of the identifying data, inventor information, correspondence address and all parent or prior applications related to an application. 11/7/2002 Internal

C.AD Change of Address

Where an attorney or agent of record (or applicant, if he or she is prosecuting the application pro

se) changes his or her correspondence address, he or she is responsible for promptly notifying the USPTO of the new correspondence address (including ZIP Code). The notification should also include his or her telephone number. A change of correspondence address must be signed by an attorney or agent of record. 6/30/2003 Incoming

C.AD.PAIR Change of Address via PAIR Allows applicant to change their address via Private PAIR 3/26/2015 Incoming

C105 Response to Rule 105 Communication

If an Examiner determines that he or she does not have all information reasonably necessary to properly examine or treat a matter in a pending application, the Examiner may require additional information from the applicant or any assignee. Applicant's response to a Requirement for Information must include a complete response to each enumerated requirement for information giving either the information required or a statement that the information required to be submitted is unknown and/or is not readily available to the party or parties from which it was requested. There is no requirement for the applicant to show that the required information was not readily attainable, but applicant is required to make a good faith attempt to obtain the information and to make a reasonable inquiry once the information is requested. 10/30/2002 Incoming

C105D Requirement under Rule 105 ‐ INCLUDED WITH OFFICE ACTION

If an Examiner determines that he or she does not have all information reasonably necessary to properly examine or treat a matter in a pending application, the Examiner may require additional information from the applicant or any assignee. Such information may include such things as the name and citation of a particularly relevant trade journal, the initial publication date and copies of advertising or promotional material, citations of journal articles goods or services embodied in the claimed subject matter or descriptions prepared by the inventor of competitive goods and services. This request may be included with an Office action. 10/30/2002 Outgoing

C105‐I Requirement under Rule 105 ‐ Independent Communication

If an Examiner determines that he or she does not have all information reasonably necessary to properly examine or treat a matter in a pending application, the Examiner may require additional information from the applicant or any assignee. Such information may include such things as the name and citation of a particularly relevant trade journal, the initial publication date and copies of advertising or promotional material, citations of journal articles goods or services embodied in the claimed subject matter or descriptions prepared by the inventor of competitive goods and services. This request may be an independent communication from the Examiner to the applicant. 11/8/2002 Outgoing

C680 Request for Corrected Notice of Allowance

If, on examination, it appears that the applicant is entitled to a patent under the law, a Notice of Allowance is sent to the applicant. The Notice of Allowance specifies an issue fee that must be paid within three months from the date of mailing of the Notice of Allowance to avoid abandonment of the application. Applicant may file necessary amendments, assignments, petitions, information disclosure statements, or other papers prior to the date of issue fee payment. One such paper is a request for a corrected Notice of Allowance, where some information on the Notice of Allowance is incorrect. 6/30/2003 Incoming

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C694 Request for New or Replacement Patent Grant

At the request of the patentee or the patentee' s assignee, the USPTO may issue a certificate of correction pursuant to correct a mistake in a patent, incurred through the fault of the Office, wherein the mistake is clearly disclosed in the records of the Office. If the nature of the mistake on the part of the Office is such that a certificate of correction is deemed inappropriate in form, the USPTO may issue a corrected patent as a more appropriate form for correction, without expense to the patentee. 6/30/2003 Incoming

CAFC.AP.BR Appellant’s Brief to CAFC Appellant files an appeal brief to CAFC including arguments seeking review of Patent Board's decision Incoming

CAFC.AP.DAM Decision by CAFC – Appeal Denied as Moot CAFC issues a judgment denying the appeal filed by appellant as moot 8/2/2017 Incoming

CAFC.AP.NTC Appeal to CAFC Appellant files a notice that is served on PTO and is filed at CAFC appealing Patent Board decision. 11/12/2002 Incoming

CAFC.CAP.BR Co-Appellee brief to CAFC Co-Appellee files a response brief including argument’s supporting Patent Board’s decision 7/27/2011 Incoming

CAFC.CAP.BR Co‐Appellee brief to CAFC Co‐Appellee files a response brief including argument’s supporting Patent Board’s decision 7/27/2011 Incoming

CAFC.CAP.NTC Notice of Cross‐Appeal to CAFC Appellee files a notice that is served on PTO and is filed at CAFC appealing Patent Board decision. 7/11/2006 Incoming CAFC.DEC.AFF Decision by CAFC – Affirmed CAFC issues a judgment affirming Patent Board decision. Incoming CAFC.DEC.AIP Decision by CAFC – Affirmed in Part CAFC issues a judgment affirming part of Patent Board decision 11/12/2002 Incoming CAFC.DEC.DIS Decision by CAFC – Dismissed by Court CAFC issues a judgment dismissing the case without a decision on the merits. Incoming CAFC.DEC.ERR Decision by CAFC ‐ Errata to Court Decision CAFC issues an errata to make changes in a judgment/opinion 4/5/2018 Incoming CAFC.DEC.REV Decision by CAFC – Reversed CAFC issues a judgment reversing Patent Board decision Incoming CAFC.DEC.RIP Decision by CAFC – Reversed in Part CAFC issues a judgment reversing part of PTAB decision 8/2/2017 Incoming CAFC.DEC.RMD Decision by CAFC – Remanded CAFC issues a judgment remanding the case back to the PTO for further action Incoming

CAFC.DEC.VAC

D ecision by CAFC‐Vacated CAFC issues a judgment vacating the appeal filed by appellant

6/3/2019 Incoming

CAFC.EXT.TM Petition for Extension of Time to Appeal to CAFC

Appellant has two months either from Patent Board decision or decision on request for reconsideration of Patent Board decision to file a notice of appeal with the CAFC. To extend this time, Appellant must file a petition for extension of time within two months of either of these decisions. Incoming

CAFC.EXT.TMD Petition for Extension of Time to Appeal to CAFC Denied Appellant files an appeal brief to CAFC including arguments seeking review of Patent Board's decision. 5/8/2006 Incoming

CAFC.EXT.TMG Petition for Extension of Time to Appeal to CAFC Granted The Solicitor grants Appellant's Petition for Extra Time to file a notice of appeal to the CAFC 5/8/2006 Incoming CAFC.EXT.TMW Petition for…