Attachment 08 - Glossary of Terms.docx

GLOSSARY_2018_1019

Glossary

A Kind code for original utility patent (see kind code for more information on kind codes)

A1 Kind code for pre-grant utility patent application publication (see kind code for more information on kind codes)

A2 Kind code for republication of pre-grant utility patent application publication (see kind code for more information on kind codes)

A9 Kind code for pre-grant utility corrected patent application publication or corrected utility patent when kind code of original utility patent was A. (see kind code for more information on kind codes) abandoned application An application that has been removed from the USPTO docket of pending applications usually because the applicant has failed to take appropriate action at some stage of the prosecution (such as failure to submit the issue fee within the statutory three months after the mailing of the Notice of Allowance and Fee(s) Due), or the applicant has expressly declared that the application will not be further prosecuted.

abstract A short narrative summary of the technical disclosure of a patent application, including that which is new in the art to which the invention pertains. Also known as the "abstract of the disclosure." The abstract is printed as part of the bibliographic data on the front page of the pre-grant publication or patent.

advanced order An order for copies of a patent, from the applicant at the time of issue fee payment, printed by the USPTO Patent Printing Contractor.

ADS (application data sheet) The form used by the applicant to submit bibliographic information—inventor information, applicant information, correspondence information, etc.—to the USPTO. Submitting that information on a single document is intended to decrease the likelihood of the Office omitting data, and also to permit applicants to correct bibliographic information in a simpler manner. Under the America Invents Act, in applications filed on or after September 16, 2012, the application data sheet (ADS) is the sole location for making a claim for domestic benefit and (for a U.S. application as opposed to the U.S. national stage of an international application) the sole location for making a claim for foreign priority. Beginning December 18, 2013, the application data sheet (ADS) is the document on which the applicant can make a “reference filing.”

agent A person who is not an attorney but who has the required qualifications and who is registered to practice before the USPTO. Also known as patent agent.

AIA (America Invents Act The legislation (Leahy-Smith America Invents Act), signed by President Obama on September 16, 2011, whose earliest provisions went into effect on September 16, 2012, and whose most historically significant provision is the “first to file” legal standard for examining patent applications, which as of March 16, 2013, replaced the “first to invent” legal standard.

allowance The examiner's action—the mailing of the Notice of Allowance and Fee(s) Due and the Notice of Allowability—by which a patent application is passed for issue as a patent.

allowed application An application that has been examined and passed for issue as a patent, subject to the timely payment of the issue fee and the timely satisfaction of any other outstanding requirements.

amendment An alteration or revision in the subject matter of application. An amendment may delete data, add data, and/or revise data. An amendment may be directed by the applicant or made by the examiner.

amendment paper A document containing a request for, or directions for, changing or revising an application, identifying the specific subject matter involved and precisely setting forth the changes that are to be made.

America Invents Act See AIA (America Invents Act).

applicant A person or entity who files the patent application. For U.S. applications filed before September 16, 2012, the applicant was the actual inventor, except when the inventor was deceased, mentally or otherwise incapacitated, refused to execute an oath/declaration, or could not be found after diligent effort. For U.S. applications filed on or after September 16, 2012, as a result of the historic America Invents Act (AIA), the applicant can be (1) the inventor, (2) the deceased/incapacitated inventor’s legal representative (heir, executor, etc.), (3) the assignee, (4) the person or entity to whom the inventor is obligated to assign the patent, or (5) a person or entity showing sufficient proprietary interest in the invention. The assignee, obligated assignee, or proprietary party may file the application even when the inventor is living, is not legally incapacitated, is available, and is willing to sign an oath/declaration.

application The documents (in paper or electronic format) by which the applicant requests the granting of a patent. An application may be provisional (an unexamined application that gives the applicant 12 months to file a nonprovisional application and get benefit from the provisional filing date) or nonprovisional (an application that is examined and, if allowed by the examiner, can issue as a patent). (The patent application can also be called: application file, case, file, file wrapper, which can be in paper or electronic format. The electronic version can be called the Official Electronic File Wrapper or Image File Wrapper.)

application data sheet See ADS (application data sheet).

application file jacket A three-section color-coded folder that was once used for all patent applications when they were filed and maintained in the office in paper form. Each time the series code changed, the color of the folder was updated. The folder was also referred to as the wrapper or file wrapper.

application filing date The data on which a complete application as defined by 35 U.S.C. 111 is received by the USPTO. For an international application entering the U.S. national stage under 35 U.S.C. 371, its filing date is the international filing date. See filing date for more information.

application number The numeric identifier assigned consecutively to each patent application in the order of its receipt in the USPTO. The application number consists of the two-character series code plus the six-digit serial number—for example, 14/123,456. The application number is used to identify the application throughout the prosecution, up to the point at which the application is assigned a patent number, and then the application number becomes a supplementary identifier.

Application Red Book Utility patent application (pre-grant) publications and plant patent application (pre-grant) publications in XML (Extensible Markup Language) format. See https://www.uspto.gov/learning-and-resources/xml-resources for additional instructions.

application series A range of application serial numbers from 000,001 through 999,999 which, once it has been exhausted, is begun again. This happens every few years. Each series is identified by a two-character series code which is prefixed to the serial number. For example, Series 12 began in 2007, Series 13 began in 2010, series 14 in 2013, series 15 in 2016, and series 16 in 2018.

Application Yellow Book Pre-Grant publications (patent application publications and plant patent application publications) in composed image format.

art A field, branch, or area of related technical subject matter, not necessarily confined to a single class or subclass—for example, the laser art, the prosthetic devices art, the art of manufacturing glass.

art unit A subdivision of a technology center, headed by a supervisory primary examiner, wherein applications involving specific areas of the related arts are examined for patentability. Also known as a GAU (group art unit).

ASCII (American Standard Code for Information Interchange) Standardized method for representing data when processing by computer systems.

assignee An individual, corporate entity, or government entity to whom the inventor has transferred the ownership, in entirety or in part, of his/her invention.

assignee information Name(s) and residence(s) of the assignee(s) as printed on the front page of a pre-grant or patent grant document. Using the application data sheet, the applicant specifies the assignee information that is to be printed on the front page of the pre-grant publication. Using the issue fee transmittal, the applicant specifies the assignee information that is to be printed on the patent front page.

assignment The instrument in writing by which an assignor (inventor or owner) transfers to an assignee the ownership, in whole or in part, of a patent or patent application assignor The owner of a patent's rights who is transferring the rights, in whole or in part, to another person or entity. Each of the joint inventors may likewise assign his or her rights, in whole or in part.

attorney/agent/firm information Up to three names (attorneys, agents, firm) that the applicant, using the issue fee transmittal, specifies for printing on the front page of the patent.

attorney of record The registered practitioner (attorney or agent) appointed, as recorded in the application, to have power of attorney to transact the inventor's business before the USPTO.

author's (or inventor’s) certificate A form of protection in some countries in which there is recognition of the inventor's authorship but in which the right to use the invention belongs exclusively to a government. Novelty is required, as for patents, but the term of the inventor's certificate is unlimited. Usually, the inventor is free to choose between the grant of a patent or the issue of an inventor's certificate. Many countries have ceased to issue this kind of certificate, also known as an inventor’s certificate.

B1 Kind code for utility patent when no A1 was published as a pre-grant utility patent application publication (see kind code for more information on kind codes)

B2 Kind code for utility patent when an A1 was published as a pre-grant utility patent application publication (see kind code for more information on kind codes)

B9 Kind code for corrected utility patent when kind code of original utility patent was B1 or B2 (see kind code for more information on kind codes) bibliographic data Descriptive and identifying information about a patent application or issued/published patent document (title, applicants, inventors, application number, filing date, etc.), as opposed to the contents of the patent application or issued/published patent document (specification, claims, drawings). On a pre-grant publication or patent the bibliographic data is included on the front page.

biological material Biological material is bacteria, fungi, algae, protozoa, viruses, seeds, etc. that must be deposited in an accepted International Depository Authority (IDA) during the prosecution of some biotechnology patent applications. See deposit of biological material for more information.

bi-tonal drawing A drawing in black and white. See line drawing.

brief description of the drawings A self-contained section of the specification that identifies and briefly describes the patent's formal figures. The brief description of the drawings follows the summary and precedes the detailed description of the invention.

C1, C2, etc. Kind code for reexamination certificate (see kind code for more information on kind codes).

camera-ready copy See CRC (camera-ready copy).

CBM (covered business method transitional program) Beginning September 16, 2012, the transitional program for covered business method patents (TPCBM) is a trial conducted by the Patent Trial and Appeal Board. The eight-year program “will sunset for new TPCBM petitions on September 16, 2020.” A CBM trial “shall employ the standards and procedures of a post-grant review” and its end-product, if the petition is not dismissed, will be a post-grant review certificate.

CCITT Comité Consultatif International Téléphonique et Télégraphique (International Telegraph and Telephone Consultative Committee), an international agency for coordinating telecommunications standards. See Yellow Book for more information.

certificate of correction A document issued by the Certificates of Correction Branch, Office of Data Management, the purpose of which is to correct mistakes that appeared in an issued patent. Under 35 U.S.C. 254, a certificate of correction may be issued to correct a mistake made by the USPTO. Under 35 U.S.C. 255, a certificate of correction may be issued to correct a mistake made by the applicant.

certificate of extension A document issued by the USPTO’s Office of Patent Legal Administration under 35 U.S.C. 156, the purpose of which is to extend the patent term to compensate the patent owner for the period of the patent term during which the invention could not be marketed because it was undergoing review by a regulatory agency such as the Food and Drug Administration. This is not the same thing as a Patent Term Extension (PTE) or Patent Term Adjustment (PTA).

certificate of mailing or transmission A statement that appears on a piece of correspondence being sent to the USPTO, which statement is signed by the sender, who certifies that the correspondence is being deposited with the U.S. Postal Service on a certain date or is being transmitted by facsimile on a certain date. If the certificate of mailing or transmission is properly executed, the date of mailing or the date of transmission is regarded by the USPTO as the date of receipt. This procedure enables an applicant to delay his or her response until the very last day of a response period.

certified copy (1) A copy, certified to be a genuine copy by a foreign patent office, of an original foreign application upon which a claim for foreign priority is based. (2) A copy certified by the USPTO to be a genuine copy of an original U.S. patent.

CFR Code of Federal Regulations, Title 37 of which is "Patents, Trademarks, and Copyrights." 37 CFR contains the patent rules set forth by the USPTO and the Department of Commerce.

claim A one-sentence definition or identification that specifically points out and distinctly sets forth the subject matter that the applicant regards as his/her invention. There must be at least one claim in each application. The claim or claims, according to 35 U.S.C. 112, must "conclude" the specification.

class Under the USPC (U.S. Patent Classification) system, a subject-matter classification consists of a class plus a subclass. Beginning in January 2015, USPC is no longer used for utility applications/documents but will continue to be used for design and plant applications/documents. A design class consists of an uppercase D plus one or two numeric characters (such as D6, D23), and the sole plant class is PLT. NOTE: The term “class” has a different meaning in a Cooperative Patent Classification symbol.

color drawing A drawing in which there is at least one color other than black, white, or grayscale.

complex work unit See CWU (complex work unit).

computer program listing See CPL (computer program listing).

computer program listing (CPL) appendix A computer program listing filed on compact disc. The computer program listing appendix is referred to at the beginning of the specification and is incorporated by reference but is not published as part of the patent application publication or the patent.

computer readable form See CRF.

Content List The ASCII file, provided to the USPTO by the PaDaCap contractor, that lists the documents being delivered in Yellow Book (image) form, identifying each document by its document ID (patent number, publication number), kind code, publication/issue date, and page count. The Content List File—also known as the Media Content List and previously known as the Tape Content List (TCL)—is accompanied by a Media ID File that features a “Media Series Code” (such as G for patent grants and P for pre-grant publications) that identifies the nature of the documents.

continuation application An application with the same subject matter as an earlier (parent) application filed by the same inventor(s). For more information see related U.S. application data and domestic benefit.

continuation-in-part application An application with the same subject matter as an earlier (parent) application filed by the same inventor(s) plus new subject matter not disclosed in the earlier (parent) application. For more information see related U.S. application data and domestic benefit.

continued prosecution application See CPA (continued prosecution application).

continuing application A second or subsequent application for at least some of the same subject matter as an earlier (parent) application filed by the same inventor(s), bearing such relation to the earlier application as to entitle the later application to the benefit of the filing date of the earlier application. The three kinds of continuing applications are continuation applications, continuation-in-part applications, and divisional applications. See related U.S. application data and domestic benefit.

continuity data or continuing data The category of domestic benefit information that involves prior U.S. nonprovisional application(s), whether the relationship to each such prior application is continuation, continuation-in-part, or division. Continuity/continuing data (plus any domestic benefit information there may be about prior U.S. provisional applications) is printed under the heading Related U.S. Application Data on the front page of the U.S. patent or U.S. patent application (pre-grant) publication.

continuous tone drawing A drawing that contains gray shading variations. It may be a photograph or may be generated by computer or other methods.

control number A unique number assigned to a patent reexamination request when it is filed, consisting of a two-digit series code (90 for an ex parte reexamination request and 95 for an inter partes reexamination request), plus a six-digit sequential number. A supplemental examination request gets a control number with series code 96, and, if a substantial new question of patentability is found, will be processed as an ex parte reexamination ordered under 35 U.S.C. 257. See reexamination and supplemental examination for more information.

Cooperative Patent Classification See CPC (Cooperative Patent Classification).

copyright authorization A statement of “authorization language” at the beginning of the specification noting the presence of copyrighted material in the patent, stating that there is no objection to the facsimile reproduction of the copyrighted material in the patent document, but otherwise reserving all copyrights.

corrected patent A corrected version of the patent created in composed (image) form only (that is, there is no Full Text version). The corrected patent is created in place of a certificate of correction when the USPTO error in the original patent was so egregious that a certificate is not an adequate means of correction. On the Tuesday of publication, a paper version of the corrected patent in grant cover with ribbon and seal is mailed to the applicant. Otherwise the publication and distribution of the corrected patent is identical to the publication and distribution of a certificate of correction.

corrected patent application publication A second or subsequent publication of a patent application publication or plant patent application publication, done at the applicant’s request and at no cost to the applicant, the purpose of which is to correct material errors that the USPTO made in the earlier publication.

corrected publication data The bibliographic information on the front page of a corrected patent application publication which identifies the publication number and publication date of the earlier publication that is now being corrected and which indicates the locations of the corrections.

corrected registration A corrected Statutory Invention Registration (SIR) created in composed (image) form only (that is, there is no Full Text version). The corrected registration is created in place of a certificate of correction when the USPTO error in the original SIR was so egregious that a certificate is not an adequate means of correction.

correspondence address The address specified by the applicant, attorney, or agent as the one to which the USPTO is to direct all communications about the application.

country/organization code Internationally established two-letter code identifying a country or an intergovernmental organization. These codes are used bibliographically to show the country of residence of an applicant, inventor, or assignee, to identify a foreign application, and within an international (PCT) application number to identify the office that received the application. Examples of country/organization codes include AT for Austria, AU for Australia, and AP for the African Regional Industrial Property Organization.

covered business method See CBM (covered business method transitional program) and see TPCBM.

CPA (continued prosecution application) In a design application, a procedure by which the applicant, instead of filing a separate continuation or separate divisional application, renews the prosecution of his/her prior design application. Continuations-in-part cannot be filed under the CPA procedure. If a CPA is filed in a utility or plant application, it will be treated as a request for continued examination (RCE), a similar but different procedure.

CPC (Cooperative Patent Classification) A classification system used jointly by the USPTO and the European Patent Office to categorize patents and patent applications according to the technical features of their content. Beginning January 2015, CPC replaced USPC for utility applications/documents. A CPC symbol consists of a section (A, B, C, D, E, F, G, H, or Y), a class (two digits, 01 through 99), a subclass (A through Z), a space, a main group (up to four numbers, 1 through 9999), a slash, and a subgroup (two to six digits, 00 through 999999). Examples of CPC symbols are H01M 2/1022 and A47L 601/06.

CPL (computer program listing) A printout that lists computer instructions and routines. Depending upon various factors (the length of the printout, the date of filing, etc.), a computer program listing may appear as a drawing, it may be printed as part of the specification's detailed description, or it may be submitted as a computer program listing appendix in the form of a compact disc which is not published but which is referred to at the beginning of the specification.

CRC (camera-ready copy) A section of data which cannot be captured as text or as a complex work unit and which therefore must be scanned as an image in order to be included in the published pre-grant publication or patent.

CRF The "computer readable form" of a Sequence Listing.

CWU (complex work unit) A block of non-narrative data the format of which and/ or the content of which requires special coding—a table with columns, a multi-level mathematical equation, a chemical formula with benzene rings, a segment of a nucleotide and/or amino acid sequence, etc.

daily electronic Official Gazette for Certificates The site at uspto.gov that on each Monday through Friday announces, and provides links to the images of, the reexamination certificates, supplemental examination certificates, and Patent Trial and Appeal Board certificates issuing on that day. (In addition, the daily certificates for a given week are reported in the next week’s electronic Official Gazette for Patents.) The deliverable that the contractor produces is also known as the eOG:PCert.

data capture The process by which the PaDaCap contractor enters the contents of allowed applications into a "publishing data base" for the creation of various electronic products that are to be used for printing the patents, creating the text-searchable versions of the patents, creating the electronic Official Gazette, etc.

Data Capture Bulletin See DCB (Data Capture Bulletin).

Data Entry Manual for Non-Utility Patent Publications The document that provides instructions for the PaDaCap contractor’s capture of data for design patents, plant patents, reissue patents, statutory invention registrations, reexamination certificates, and Patent Trial and Appeal Board certificates. The manual describes the data sources and provides format instructions for the composition of the data. The manual is updated via Office of Data Management Data Capture Bulletins, which are then incorporated into the annual revision of the manual.

Data Entry Manual for Utility Patents The document that provides instructions for the PaDaCap contractor’s capture of data for utility patents. The manual describes the data sources and provides format instructions for the composition of the data. The manual is updated via Office of Data Management Data Capture Bulletins, which are then incorporated into the annual revision of the manual.

Data Preparation Manual for Patent Application (Pre-Grant) Publication The manual that provides instructions for the PaDaCap contractor’s capture of data for pre-grant publications, including descriptions of the electronic data sources and format instructions for the composition of the data. The manual is updated via Office of Data Management Data Capture Bulletins, which are then incorporated into the annual revision of the manual.

data source That part of the application file from which a given data element is captured by the PaDaCap contractor. For example, the data source for a reference citation is Form PTO-892 or Form PTO-1449.

DAV (Docket and Application Viewer) A tool that is part of PE2E (Patents End-to-End). The Docket Viewer of DAV enables examiners to view the applications they have been assigned, manage their work loads, prioritize tasks, etc. The Application Viewer of DAV enables examiners and other USPTO employees to view the collection of all documents in a patent application as well as data associated with the patent application. Application Viewer allows access to the application’s table of contents and Image File Wrapper images, provides ability to search within an application, to keep notes, to toggle between an editable text format and an image format, and to integrate analytic information into the display.

DCB (Data Capture Bulletin) A document that updates the grant and pre-grant data preparation manuals and/or which sets forth and updates procedures performed by the Office of Data Management and the PaDaCap contractor.

declaration A document signed by the inventor in which he or she makes certain required statements, including a statement of belief that he or she is the original inventor or original joint inventor of the claimed invention. A declaration differs from an oath only in that a declaration is not sworn (notarized). In a nonprovisional patent application the inventor must sign a declaration or an oath before the issue fee is paid in order for a patent to be granted. Under the America Invents Act, a substitute statement in some circumstances may be filed in lieu of a declaration or oath.

dependent claim A claim that refers back to and restricts a preceding claim.

deposit of biological material A requirement in the prosecution of some biotechnology patent applications by which the applicant must deposit a sample of biological material (bacteria, fungi, algae, protozoa, viruses, seeds, etc.) in an accepted International Depository Authority (IDA) that was established under the Budapest Treaty on the International Recognition of the Deposit of Microorganisms for the Purposes of Patent Procedure or that the USPTO otherwise recognizes as suitable. The patent specification must refer to the IDA deposit (name of depository, date of deposit, accession number).

derivation proceeding As of March 16, 2013, replaced interference proceedings for patent applications having an effective filing date on or after March 16, 2013. (Interference proceedings are still possible for applications that are subject to pre-AIA 35 U.S.C. 102(g).) “A derivation proceeding requires that an applicant for patent file a petition to institute the proceeding. The petition must set forth with particularity the basis for finding that an inventor named in an earlier application derived the claimed invention from the petitioner.” The end-product, if the petition is not dismissed, and after a trial conducted by the Patent Trial and Appeal Board, is a derivation certificate.

description of the prior art A statement in the specification that describes the condition of the particular art to which the invention pertains and the ways in which the applicant's invention overcomes existing problems in that prior art. Such a statement is part of the summary.

design patent A patent granted for a "new, original, and ornamental design for an article of manufacture." If the U.S. design patent issues from an application that was filed before May 13, 2015, the patent term is 14 years. If the U.S. design patent issues from an application that was filed on or after May 13, 2015, the patent term is 15 years.

detailed description The portion of the specification which follows the summary and any brief description of the drawings and which immediately precedes the claims, and which contains such information as a description of a specific embodiment of the invention. When a computer program listing or a Sequence Listing is printed in the specification, it appears in the detailed description.

disclosure The presentation of the invention as evidenced by the written matter and drawings—that is, all information in the application, as filed.

divisional application An application with part of the same subject matter as an earlier (parent) application filed by the same inventor(s) but with no new subject matter. A divisional is filed by the applicant when the examiner has imposed a restriction requirement—that is, has required the applicant to designate a single invention when the original application claims more than one distinct invention. See related U.S. application data and domestic benefit for more information.

document source The country that published a given patent document or patent application document.

domestic benefit A claim of benefit to the earlier filing date of a prior U.S. application. In applications filed on or after September 16, 2012, such a benefit claim must be made on an application data sheet (ADS). (1) If the prior U.S. application is nonprovisional, it must be pending (that is, not yet issued as a patent and not yet abandoned). The benefit claim must meet certain timing requirements, must identify the prior application, and must specify the relationship (continuation, division, continuation-in-part) to the prior nonprovisional application. (2) If the prior U.S. application is provisional, the benefit claim must meet certain timing requirements and must identify the prior application. In addition, the application at hand must be filed within the 12-month lifetime of the provisional application. NOTE: With respect to both (1) and (2), the implementation of the Patent Law Treaty created petition procedures for restoring a benefit claim and filing a delayed benefit claim. Also called claim for domestic benefit. See related U.S. application data for more information.

double patenting The situation that exists when two or more patents or applications which share at least one common inventor or which are commonly owned contain claims that recite the same inventive concept or obvious variations of the same concept. Double patenting is the basis upon which an examiner can reject an application. The "same invention" type of double patenting violates the patent law which states that an inventor can obtain a patent (singular) for an invention. The "obvious variation" type of double patenting comes about when a second application's claims, while not identical, are not patentably distinct from the claims of the existing patent, to the extent that the granting of a second patent would in effect be a prolongation of the first patent's term. Rejection for "obvious variation" double patenting can be overcome through the proper submission of a compliant terminal disclaimer.

drawing An illustration that is "necessary for the understanding of the subject matter" of the patent. (Some patents do not have drawings.) The drawing(s) must show every feature of the invention specified in the claims. Black-ink (or its equivalent) lines must be used for drawings, except for occasions in which the nature of the subject matter requires color to be used and except for those categories of patents (crystalline structures, grain structures, textile fabrics, etc.) requiring black-and-white (or, rarely, color) photographs. A utility applicant who requires the use of anything other than black-and-white line drawings must petition the USPTO and explain why line drawings will not be sufficient for the application.

drawing sheet White paper on which formal drawing(s) appear. Drawings sheets filed in paper form must be either size 8½ by 11 inches or size A4 (21 by 29.7 cm.).

E Kind code for reissue patent (see kind code for more information on kind codes).

E9 Kind code for corrected reissue patent (when kind code of original reissue patent was E) (see kind code for more information on kind codes).

early publication A pre-grant publication that, at the request of the applicant, takes place earlier than the normal publication date—that is, earlier than eighteen months after the earliest filing date for which benefit is claimed.

eDRS (Electronic Document Review System) A tool that is part of PE2E (Patents End-to-End). The Messaging feature of eDRS enables users to view their Image File Wrapper messages and access various Image File Wrapper mailboxes. The Application Editor feature of eDRS allows access to an application’s table of contents and its Image File Wrapper images and enables various document manipulations such as changing document codes, splitting a single document into multiple documents, combining multiple documents into a single one, copy documents from one application to another, clone a document in the same application as a different document, and stamp and annotate documents. .

effective filing date The date a patent application was filed in the U.S., or the date on which the earliest prior related U.S. or international (PCT) application was filed. For the U.S. national stage of an international (PCT) application, the effective U.S. filing date is the international filing date.

EFS (Electronic Filing System) Web EFS-Web is the USPTO's Web-based patent application and document submission solution. Over 95% of all U.S. filed patent applications are electronically filed to the USPTO using EFS-Web. EFS-Web allows anyone with a Web-enabled computer to file patent applications and documents without downloading special software or changing document preparation tools and processes. EFS-WEB utilizes standard web-based screens and prompts to enable users to submit portable document format (PDF) files, ASCII text files, or a PCT-Easy Zip file directly to the USPTO. Additional information on EFS-WEB is available on the USPTO's Internet site. NOTE: Patent Center is the filing program that will replace EFS-Web.

Electronic Filing System See EFS (Electronic Filing System) Web.

examination The USPTO's review of a nonprovisional application to determine the patentability and scope of the invention.

examiner A USPTO employee who reviews patent applications to determine the patentability and scope of inventions and who, with other examiners, resolves questions of priority between rival applicants for the same subject matter.

examiner's amendment An amendment to a patent application made by the examiner, and typically agreed to by the inventors or their representatives, to correct obvious errors and omissions.

Extensible Markup Language See XML (Extensible Markup Language).

F1, F2, etc. Kind code for supplemental examination certificate (see kind code for more information on kind codes).

FDC (Final Data Capture) The third of the three stages of patent grant processing, during which the Patent Data Capture contractor captures whatever information was submitted after allowance, such as after-allowance amendments and corrected drawings, and (taken from the issue fee transmittal) the assignee information and attorney/agent/firm information. Also known as Patent Number Assignment Processing.

fee Payment of money by the applicant to the USPTO as required by law or regulation at various points in the patent application process (for example, filing fee, petition fee, issue fee) and during the term of the patent (such as maintenance [renewal] fees paid at intervals to keep the patent in force).

fee(s) transmittal Form PTOL-85B, Fee(s) Transmittal, is the form used by the applicant to transmit the issue fee. This form is the source of the attorney/agent/firm and assignee data that is to be printed on the patent grant front page. The applicant may also use the form to place an advance order for copies of the patent.

field of classification search The related classifications in which the examiner reviews prior patents and published literature for the purpose of evaluating the patentability of an application.

field of the invention A statement near the beginning of the patent specification which states the background of the invention and of the art to which the invention pertains. Such a statement is part of the summary.

File Maintenance See FM (File Maintenance).

filing The submission of a patent application to a patent office, or the submission of an additional (follow-on) paper (amendment, petition, etc.) during the prosecution of the application.

filing date The data on which a complete application, as defined by 35 U.S.C. 111, is received by the USPTO. For an international application entering the U.S. national stage under 35 U.S.C. 371, its filing date is the international filing date. Also referred to as official filing date. (In addition, the date on which the applicant submits an individual paper is sometimes referred to as that paper’s filing date.)

Final Data Capture See FDC (Final Data Capture).

final rejection An action, after the first action by the examiner, that concludes the prosecution of an application before the examiner. Following a final rejection, the applicant may appeal, petition, or submit an amendment (entered at the discretion of the examiner) complying with the requirements or overcoming the objections as to form in order to place the application either in condition for allowance or in better form for appeal.

first inventor to file The legal standard that, under the America Invents Act, as of March 16, 2013, replaces the “first to invent” legal standard. The adoption of the “first inventor [applicant] to file” standard brings more certainty and objectivity to the patent process and contributes to a harmonized global patent system.

FM (File Maintenance) The second of the three stages of patent grant processing, during which the Patent Data Capture contractor insures that all after-allowance correspondence, fees, and drawings have been processed and all outstanding requirements have been met. Previously referred to as the File Maintenance Facility (FMF).

foreign national application An application filed in a foreign country for the granting of a patent by that country's government.

foreign priority The right of an applicant to file a patent application in one country and within 12 months to file a patent application covering the same subject matter in another country, then obtain the benefit of the earlier filing date. The source of this reciprocal right is Article 4 of the Paris Convention, although other treaties and laws establish priority rights. All countries involved must be recognized countries. An applicant who wishes to exercise the right of priority in the U.S. must submit a claim for priority and a certified copy of the foreign application. An applicant may also claim foreign priority from a plant breeder’s rights certificate filed in another country. Also referred to as claim to foreign priority or simply priority.

fractional interest assignment An assignment whereby patent rights are transferred in part, as a percentage or as a fractional amount, from either a sole inventor or from one or more joint inventors.

front page The top page of a printed patent, pre-grant publication, reexamination certificate, etc., showing the bibliographic data—that is, patent identification data, inventor data, assignee data, classification data, etc., plus abstract and representative drawing. It sometimes happens that a second sheet is necessary for the printing of the "front page" data.

Full Text and Image Database The USPTO's electronic repository of text-searchable ASCII versions of all patents granted from 1971 to the present. (Reexamination certificates and certificates of correction, however, are not included in the Full Text Database.) As of April 2001 the Full Text Database also includes pre-grant publications.

GAU (group art unit) A subdivision of a technology center, headed by a supervisory primary examiner, wherein applications involving specific areas of the related arts are examined for patentability. Also known as art unit.

gazette The official journal of a patent office, in which that office reports bibliographic information on patent applications and/or patents published during a given period. For example, the World Intellectual Property Organization publishes a weekly gazette of its published international (PCT) applications. The USPTO publishes a weekly electronic Official Gazette for Patents and a daily electronic Official Gazette for Certificates.

grant The act of issuing a patent, or the issued patent itself.

grant copy The official copy of the patent (with cover, seal, and ribbon) mailed to the applicant or assignee on issue day.

Grant Red Book Utility patents, plant patents, design patents, reissue patents, and statutory invention registrations in XML (Extensible Markup Language) format. See https://www.uspto.gov/learning-and-resources/xml-resources for additional instructions.

Grant Yellow Book Utility patents, plant patents, design patents, reissue patents, statutory invention registrations, and reexamination certificates and other certificates in composed image format. See https://www.uspto.gov/learning-and-resources/xml-resources for additional instructions.

grayscale drawing A drawing in which there are gray shading variations, varying from black to white.

group art unit See GAU (group art unit).

H Kind code for Statutory Invention Registration (SIR) (see kind code for more information on kind codes)

H9 Kind code for corrected registration (when kind code of original SIR was H) (see kind code for more information on kind codes)

Hague Agreement An international agreement that sets up a system for design patents that is similar to the Patent Cooperation Treaty system for utility patents. That is, an applicant may file a single international design application that can lead to design patent protection in multiple countries and intergovernmental organizations. The USPTO began accepting Hague applications on May 13, 2015.

IDC (Initial Data Capture) The first of the three stages of patent grant processing, during which the contents that are present in the Official Electronic File Wrapper at the time of allowance—specification, claims, drawings, bibliographic data—are electronically captured by the patent data capture contractor.

IDS (information disclosure statement) A form which contains references cited by the applicant (or, in some instances, by a third party). Applicants may use numbered IDS forms—Form PTO-1449, Form PTO/SB/08A, and Form PTO/SB/08B—as well as “equivalent” information disclosure statements of their own making. When an examiner initials an IDS reference citation or by an annotation states that the reference citation has been considered, the reference citation is printed on the front page of the patent.

IFW (Image File Wrapper) Also known as the Official Electronic File Wrapper. The technology system that stores images of the documents in a patent application file, including the documents submitted by the applicant (specification, oath or declaration, drawings, amendments, information disclosure statements, etc.), and documents generated by the USPTO (notices, Office actions, etc.).

Image File Wrapper See IFW (Image File Wrapper).

image version The electronic image of the composed (printed) patent or of the composed pre-grant publication. Certificates of correction, reexamination certificates, supplemental examination certificates, and Patent Trial and Appeal Board certificates are published only in image form. The image version is also known as the Yellow Book version.

incorporation-by-reference statement (1) A statement at the beginning of the specification which identifies and describes the part(s) of the application that were filed on compact disc—that is, a computer program listing and/or a Sequence Listing and/or tables more than 50 pages long. (2) A statement in the specification identifying another document which is not being published as part of the specification but which is being treated as part of the specification.

independent claim A claim that stands alone, makes no reference to any other claim, but from which subsequently numbered claims may depend.

index, patentee The patentee index is an alphabetical listing of patentees and assignees to whom patents have been issued for a given week, which listing appears in the weekly electronic Official Gazette for Patents. The patentee index includes the following information for each issued patent: inventor and assignee name(s), invention title, patent number, and classification.

information disclosure statement See IDS (information disclosure statement).

INID code INID is the acronym for Internationally agreed Numbers for the Identification of Data. Each INID code is a two-character numeric designation which identifies a specific kind of bibliographic data. INID codes are set forth in WIPO Standard ST.9. For example, INID code (22) indicates the filing date of the application, and INID code (56) indicates a "List of prior art documents" (reference citations). The U.S. prints INID codes for the bibliographic data on the front page of an eighteen-month publication or of a patent. INID codes enable a reader to find specific types of bibliographic data without knowing the language in which the document is printed.

Initial Data Capture See IDC (Initial Data Capture).

interference For applications filed prior to March 16, 2013, a proceeding to determine which of two or more different applicants claiming the same patentable invention is the first inventor. An interference may involve, instead of two pending applications, an application and a patent, provided that a claim directed to the subject matter of the patent is made within one year from the patent's issue date. Under the American Invents Act, for applications having an effective filing date on or after March 16, 2013, interference proceedings are replaced by derivation proceedings.

interference search A search performed by the examiner at the time of allowance to ascertain whether any other applicant is claiming substantially the subject matter that is being allowed in the case at hand and, therefore, whether interference proceedings are to be initiated.

international filing date The date on which an international (PCT) application is filed. When such an international application reaches the U.S. national stage, the international filing date is the effective filing date.

international patent classification See IPC (international patent classification).

international (PCT) application A patent application filed under the Patent Cooperation Treaty (PCT) for patent protection in multiple countries as designated by the applicant. The applicant files the application in a World Intellectual Property Organization Receiving Office (a country or intergovernmental organization). See PCT (Patent Cooperation Treaty).

inter partes review Beginning September 16, 2012, a trial conducted by the Patent Trial and Appeal Board and based on a third-party petition. It involves “review[ing] the patentability of one or more claims,” including a review “on the basis of prior art consisting of patents and printed publications.” If the petition is not dismissed, the end-product is an inter partes review certificate. The inter partes review procedure replaced the inter partes reexamination procedure as of September 16, 2012—that is, an inter partes reexamination proceeding cannot be filed on or after September 16, 2012. (The patent grant date is not relevant with respect to which procedure is available.)

invention A new, useful, and unobvious process, machine, manufacture, composition of matter, or improvement thereof. Also known as a patentable invention.

inventor The person who first devises or discovers patentable material.

inventor's (or author’s) certificate A form of protection in some countries in which there is recognition of the inventor's authorship but in which the right to use the invention belongs exclusively to a government. Novelty is required, as for patents, but the term of the inventor's certificate is unlimited. Usually, the inventor is free to choose between the grant of a patent or the issue of an inventor's certificate. Many countries have ceased to issue this kind of certificate, also known as an author's certificate.

IPC (international patent classification) A subject-matter classification coding system which arose from the 1971 Strasbourg Agreement Concerning the International Patent Classification and which is administered by the World Intellectual Property Organization (WIPO). Effective January 2006, the system was overhauled and is now sometimes referred to as International Patent Classification Reform (IPCR). Whereas IPC was updated every five years, IPCR is updated more frequently.

issue The patents that issue on a given Tuesday, plus the patent data, related indices, and other printed…