Attachment 15 - CRF_Transfer_Participant_Manual_Final_Revision_2019-03-18.pdf

March 2019

Transfer Request

SCORE Sequence Listing Training Manual

Participant Handbook

Table of Contents

l. Introduction

BACKGROUND

OVERVIEW

ll. Procedure

Preliminary Steps

Reviewing the CRF Transfer Request for Compliance

Processing of Proper CRF Transfer Requests

Appendix l

Sequence Listing Formats

Reissue Application Sequence Listing

Appendix ll

Improper CRF Transfer Request - Reason(s)

Appendix lll

Search a Workbook in Excel:

Appendix lV

Tech Center Routing Sheet

Appendix V

Appendix VI

l. Introduction

BACKGROUND

If a patent application contains biosequences, it must contain a “Sequence Listing” (the “paper” copy) as a separate part of the application; also a computer readable form (CRF) of the sequence listing must be filed. The CRF is a plain text file. The CRF is used in searching by the examiner and for publishing the application or patent. Instead of filing the CRF directly, the applicant may file a request to have the CRF of another US patent application used as the CRF in the current application (CRF transfer request).

The “Sequence Listing” may be filed in paper or as a PDF file using EFS Web, which is scanned into IFW with the Doc Code “SEQLIST”. Alternatively, a “Sequence Listing” may be filed on compact disc (CD) in lieu of paper, which is placed into an artifact folder. Sequence listings may be filed in one of two different formats, the old format (ST.23 format) and the new format (ST.25 format).

Examples of each are shown in Appendix l.

CRF transfer requests are initially identified by the scanning contractor. These copies of the transfer requests should have the application number and the filing date of the request printed or written on the document by the scanning contractor. If transfer requests were missed during the initial screening or were not delivered, an email will be received identifying the document(s) in IFW containing the transfer requests.

OVERVIEW

To determine legal compliance, complete a review of the transfer request document(s). If the transfer request meets the legal requirements, i.e. is proper, then the actual transfer will be carried out in SCORE. There are a few situations in which special processing of the CRF transfer in SCORE will be conducted by SCORE Support (noted below Step 9).

If the transfer request is improper, a “Improper CRF Transfer Request - Reason(s)” form (Appendix ll) is filled out, and sent for scanning into IFW. This form is also known as the CRF.TRNS.IMP form. The formality review staff in the pre-exam area will use this form as part of their review process.

The following USPTO systems will be used:

• PALM Biotech Information screen

• eDRS for access to IFW (Image File Wrapper)

• ScoreAccessWeb (http://score.uspto.gov/ScoreAccessWeb/) for access to

SCORE

• Transfer Load Tracking Matrix (Excel spreadsheet)

• Patent Automation Support Manager (PASM) (http://opim-db-1.uspto.gov/pasmnextgen/)

• SCORE OIPE Load Module (requires Java Runtime version 6, update 27 or higher)

It is important to be accurate when processing a CRF transfer request. A mistake made during the initial processing may result in hours of extra work by your group and groups downstream, such as formality review staff, examiners, and publications staff. CRF transfer requests that are not processed accurately may cause delays in publication of applications and issuance of patents. See (Appendix VI) for tips to reduce the chance of errors.

ll. Procedure

Preliminary Steps

Step 1: Determine if the CRF transfer request has been previously received or processed.

Transfer requests will sometimes be received that have already been processed. It is important not to process these duplicate requests.

Figure 1 - Tracking Matrix

Search the Transfer Load Tracking Matrix (Fig. 1) for a duplicate request, i.e. a previously processed transfer request with the same filing date (“Date Rec’d USPTO,” column A) and application number (“Serial Numbers,” column B).

NOTE: The entire matrix workbook must be searched. For information about searching an Excel Workbook see Appendix lll.

If the transfer request is not a duplicate, proceed to Step 2.

If the transfer request is a duplicate, enter the following information for the request under the “Transfer Not Processed” tab of the tracking matrix (Fig.

1). No further processing is required for this transfer request.

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Application number of the current application Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – Application number of the other application from which the CRF is to be transferred.

Date Identified – Date the document was reviewed Who identified? – Name or initials of reviewer CRF.TRNS.IMP prepared – “NO” Comment - “duplicate”

CAUTION: If the matrix indicates the previously received document was not a transfer request but the latest document is a transfer request, continue processing.

If the duplicate request is received after the initial copy of the transfer request was to have been processed, verify the previous copy of request had been completed, i.e., check IFW and PALM for the corresponding CRFE, and SCORE to verify that the sequence listing is present.

Step 2: Determine if the document is a CRF transfer request.

Occasionally, a document is forwarded that is not a CRF transfer request. See the following examples in IFW:

12749056 TRNA 3/29/10 request for divisional application 12836299 REM 7/14/10 request for transfer of paper copy, not CRF

Review the document and determine if it is a CRF transfer request.

If the document received is a transfer request, proceed to Step 3.

If the document received is not a transfer request, enter the following information on the “Transfer Not Processed” tab of the tracking matrix.

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Applicant number Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – not applicable, leave blank Date Identified – Date the document was reviewed Who identified? – Name or initials of reviewer CRF.TRNS.IMP prepared – “NO” Comment - “not a transfer request”

Additionally, locate the document in IFW and append the annotation “Not a transfer request” with your initials and date. No further processing is required for this document.

Step 3: Determine if the CRF transfer request was filed with a CRF.

Occasionally, an applicant will file a CRF transfer request and a CRF on the same day; most of these instances are EFS-Web filed requests. If both a CRF and a transfer request are filed together, only the CRF is processed.

1. Open the current application in IFW (eDRS).

2. Review the documents filed on the same day as the transfer request and look for a SEQ.TXT document.

If there is no SEQ.TXT document with the same date as the transfer request, proceed to Step 4.

If there is a SEQ.TXT document with the same date as the transfer request:

o annotate the transfer request document in IFW with the text “Not processed – CRF also filed” o enter the following information for the request under the “Transfer Not Processed” tab of the tracking matrix.

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Application number of the current application Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – Application number of the other application from which the CRF is to be transferred Date Identified – Date the document was reviewed Who identified? – Name or initials of reviewer CRF.TRNS.IMP prepared – “NO” Comment - “SEQ.TXT”

No further processing is necessary.

Step 4: Determine whether the current application is a 371 national stage application when the “other” application is a PCT application.

Open the current application in PALM General Information screen and go to the Continuity Data screen to see if it is a “national stage entry” of a PCT application.

• If the current application is not a 371 application, then proceed to Step 5.

• However, if the current application is a 371 application, then send an e-mail to the appropriate International Patent Legal Administration" staff.

Subject line: The text “371 Transfer request” followed by the current application number Body of E-mail: Inquire whether the CRF transfer request filed in the current application should be processed, and provide the IFW Doc Code and date for the transfer request. For example, “Should the CRF transfer request (CRF.TRNS.REQ) of 01/01/2012 be processed?”.

• If the CRF transfer request is to be processed, then proceed to Reviewing the CRF Transfer Request for Compliance, Step 5.

• If the CRF transfer request is not to be processed, then

1. annotate the transfer request document in IFW with the text “Not processed - CRF to come from IB”;

2. enter the following information for the request under the “Transfer Not Processed” tab of the tracking matrix.

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Application number of the current application Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – Application number of the other application from which the CRF is to be transferred Date Identified – Date the document was reviewed Who identified? – Name or initials of reviewer CRF.TRNS.IMP prepared – “NO” Comment - “371”

No further processing is necessary.

Reviewing the CRF Transfer Request for Compliance.

A CRF transfer request is usually filed as a single document, but all the required information may be contained in two documents, which together are the transfer request. A compliant transfer request must identify one other application as the source of the CRF to be transferred to the current application, and request that the CRF be transferred (or used or copied) from the other application. If multiple CRFs were filed in the other application, the request must identify which CRF is to be transferred. Finally, the request must indicate that the “paper” copy filed in the current application and the CRF being transferred from the other application have the same sequence listing or the same sequence information.

NOTE: “Paper” copy includes a PDF copy or a compact disc copy.

The CRF transfer request must be reviewed for all possible defects. If any defects are found, a CRF.TRNS.IMP form must be filled out (Appendix II). If a defect is found, enter the current application number and the current date in the spaces provided at the top of the form. Indicate each defect that is found by checking the appropriate box or boxes on the form.

Step 5: Review the application for the “paper” copy of the sequence listing.

1. With the current application open in IFW, verify that a Sequence Listing “paper” copy was filed on or before the date of the CRF transfer request. SEQLIST is the IFW Doc Code for the “paper” copy of the sequence listing.

NOTE: A page from amendment papers that contain instructions to enter the “paper” copy of the sequence listing into the application may also be indexed with the SEQLIST Doc Code.

2. Open the SEQLIST document and verify that it is a sequence listing (Appendix I).

NOTE: If no SEQLIST document is visible, the “paper” copy may be at the end of the SPEC (this is an IFW scanning error). Alternatively, the “paper” copy may have been filed on CD in lieu of paper. If this occurs, IFW should have ARTIFACT and CDCHECK documents, instead of a SEQLIST document.

• If no “paper” copy has been filed, this is a defect in the request. Check the

Xfer identifies a sequence listing that has not been filed or the sequence listing information is not identical to that in the CRF box on the CRF.TRNS.IMP form.

• If multiple “paper” copies (SEQLIST) are present in IFW with the same date, this may be a defect. An investigation of the application papers filed with the SEQLIST is required.

When IFW has two SEQLIST documents with the same date, often one copy is mis-indexed (e.g. belongs to a priority document).

Alternatively, applicant may have filed a copy of the SEQLIST from a parent application along with an amended SEQLIST, which is acceptable if indicated in papers filed with the SEQLIST documents.

If either of these is the case, it is not a defect.

If applicant filed two (or more) “paper” copies without specifying which is the final “paper” copy, this is a defect, see the example below. This defect is rare. Check the Xfer does not specify which sequence listing in this application contains sequence information identical to the CRF box on the CRF.TRNS.IMP form.

Example:

12923157 SEQLIST (2) 09/07/2010

Step 6: Review the contents of the CRF transfer request document.

1. Find and open the CRF transfer request document in IFW.

NOTE: For a paper copy of the transfer request received from scanning support look for one of the following Doc Codes with the same date as the transfer request

CRF.TRNS.REQ (most common after 3/2010) CRFL (most common 3/2010 or before)

REM

TRNA

CRFS

SPEC (very rare)

2. Verify that the document(s) containing the CRF transfer request is a letter from applicant, and is not part of the disclosure, e.g. the specification (SPEC).

If the document containing the CRF transfer request is part of the disclosure, e.g.

SPEC, this is a defect in the request. This defect is very rare. Check the Xfer not on separate paper box on the CRF.TRNS.IMP form.

3. Verify that the CRF transfer request document(s) is signed. If the transfer request covers two documents, both must be signed. The signature may be handwritten or electronic.

10865853 CRFL 6/14/04 Handwritten 12325699 CRFL 12/1/08 Electronic

If the transfer request document(s) is unsigned, this is a defect in the request.

Check the Xfer is unsigned box on the CRF.TRNS.IMP form.

4. Verify that the CRF transfer request indicates that the “paper” copy filed in the current application and the CRF of the other application have the same sequence listing. This may be indicated in a variety of ways, may be simple and direct or may be indirect and more complicated. See the following two examples that are proper.

Simple: 10865853 - CRFL 6/14/04, first sentence Indirect: 12372644 – CRFS & CRFL 2/17/09, first sentences in each

Also, a transfer request may contain a statement that appears to satisfy this requirement, but does not.

Example:

12185568 - CRFL 8/4/08, first sentence.

See Appendix V for more information and examples.

• If the statement (the “paper” copy of current application and CRF of other application are the same) is not present in the document that makes the request to transfer the CRF, first check for a second document filed on the same day that contains the statement before concluding that the statement is missing.

Examples:

Proper transfer requests filed as two documents:

12372644 - CRFL and CRFS 2/17/09 12498691 - CRFL and CRFS 7/7/09.

NOTE: It is not a defect for the parts of the transfer request to be on different documents filed at the same time. When parts of the CRF transfer request are filed on two documents (same date), scanning support often sends only one document. Often the document they do not send contains this statement, and usually is indexed with a CRFS Doc Code.

• If the CRF transfer request does not indicate that the “paper” copy filed in the current application and the CRF of the other application are the same, this is a defect. This is the most common defect encountered. Check the Xfer did not identify that the CRF is identical to this application box on the CRF.TRNS.IMP form.

12469122 – CRFS & CRF.TRNS.REQ 7/15/10, first sentence of each 12760905 - CRF.TRNS.REQ 8/13/10, first sentence 12238227 - LET. 9/25/08, sheet 2, item 9, last sentence.

12185568 - CRFL 8/4/08, first and last sentences

NOTE: If the other application from which the CRF is to come is different than the other application whose CRF is said to have the same sequence listing as the “paper” copy of the current application, check the Xfer does not identify CRF application number box on the CRF.TRNS.IMP form.

5. Verify that the CRF transfer request clearly identifies the other application from which the CRF is to be transferred.

NOTE: If this statement is missing, check for a second document filed on the same day that contains the statement.

If the transfer request does not clearly identify the other application, this is a defect in the request. This defect is uncommon. Check the Xfer does not identify CRF application number box on the CRF.TRNS.IMP form.

NOTE: If the other application from which the CRF is to be transferred is different than the other application whose CRF is said to have the same sequence listing as the “paper” copy of the current application (see below), check the Xfer does not identify CRF application number box on the CRF.TRNS.IMP form.

Proper

10865853 CRFL 6/14/04

12771324 CRF.TRNS.REQ 8/18/10

Defective

12185568 CRFL 8/4/08 “please use” sentence does not specify any source 12495633 CRFL 6/30/09 names two other applications 12155904 CRFS 6/11/08 no application no. indicated for “parent application”

6. Verify that the CRF transfer request clearly requests that a CRF from the other application is to be transferred, used in, or copied to the current application.

Defective, requests transfer of “paper” copy (“Sequence Listing”), not the CRF.

12643258 CRFL 12/21/09

If the transfer request does not clearly request that the CRF of the other application be transferred, it is a defect in the request. This defect is rare. Check the Xfer does not specifically request using the other application CRF box on the CRF.TRNS.IMP form.

Step 7: Review the CRFs filed in the “other” application.

Only a compliant CRF may be transferred from the other application into the current application. If more than one CRF was filed in the other application, the CRF transfer request must clearly specify which CRF is to be transferred.

1. Open the “other” application in the Biotech Information screen of PALM.

The Biotech Information screen of PALM should list a CRFE, CRFF, CRFD, or CRFN PALM transaction code for each CRF received for an application and reviewed by STIC. The CRFE and CRFF codes indicate that the corresponding CRF was accepted, i.e. it was compliant. The CRFD and CRFN codes indicate that the CRF was defective. The text “NO BIOTECH INFORMATION” is displayed if no CRF was filed and reviewed, as seen for 10546506.

NOTE: The transaction date in PALM corresponds to when the CRF was reviewed by STIC, and is not the filing date of the CRF. CRFA and CRFT transaction codes are not relevant to CRF transfer requests.

2. Verify that a compliant CRF has been filed in the other application (CRFE or CRFF code).

NOTE: If no CRF was filed, double-check that the correct application number was entered into the Biotech Information screen.

• If no CRF was filed in the other application or the only code is CRFD or

CRFN, the request is defective. This defect occurs occasionally. Check the Xfer CRF is not compliant or has not been filed for the other application box on the CRF.TRNS.IMP form.

12774560 – REM 5/5/10, other application – 10546506 (no CRF filed) 12520500 – CRFS 6/19/09, other application: PCTUS0852510 (CRFD)

• If more than one CRF was filed in the other application, verify that the request clearly specifies which CRF to transfer or that the specified CRF was compliant. The transfer request must indicate which of the CRFs is to be transferred. For example, the transfer request may identify the CRF as the first, second, or last CRF filed in the other application or may identify the CRF by the date it was filed, or may do both.

• If the CRF transfer request does not clearly specify which one of two or more

CRFs is to be transferred, the request is defective. This defect is fairly common. Check the Xfer does not identify which CRF to use – multiple CRFs box on the CRF.TRNS.IMP form.

12632517 – CRFL 12/7/09, other application: 10661984 11799816 – CRF.TRNS.REQ 12/23/09, other application: 11650918

• If the CRF transfer request clearly specifies which CRF to transfer, but the CRF is defective (CRFD or CRFN), then the request is defective. This defect is uncommon. Check the Xfer CRF is not compliant or has not been filed for the other application box on the CRF.TRNS.IMP form.

12638527 – CRFL 12/15/09, other application – 11111664 (2/21/08 entry)

3. Verify that the sequence listing of the requested CRF from the other application matches the sequence listing paper copy filed in the current application. Open the sequence listing in SCORE for the other application and open the paper copy in IFW for the current application. Compare the applicants, title of invention and number of sequences in each to see if they are the same.

NOTE: In an ST.25 formatted sequence listing (Appendix I), the applicants, title of invention and number of sequences are in the fields beginning with <110>, <120>, and <160>, respectively.

• If the sequence listing CRF of the other application and sequence listing paper copy of the current application do not match, then the request is defective. This defect is uncommon. Check the Xfer identifies a sequence listing that has not been filed or the sequence listing information is not identical to that in the CRF box on the CRF.TRNS.IMP form.

13453154 – REM & SEQLIST 04/23/2012, other application 10510628, vers. 3.0

This concludes the review of the CRF transfer request. If the request is defective, proceed to Step 8. If the request was proper, proceed to Step 9.

Step 8: Send CRF.TRNS.IMP form(s) for IFW scanning.

1. Complete a Tech Center Routing Sheet (Appendix IV). Enter the application number in the “Application #” space if only one completed CRF.TRNS.IMP form is being sent for scanning. Enter “various” in the “Application #” space if more than one CRF.TRNS.IMP form is being sent. Enter the current date in both the “Doc Code Date” and “Date of Request” spaces. Enter “CRF.TRNS.IMP” in the “Doc Code” space. Attach the routing sheet to the form(s).

NOTE: Only one routing sheet is needed when sending multiple CRF.TRNS.IMP forms.

2. Enter the following information for the request under the “Transfer Not

Processed” tab of the Transfer Load Tracking Matrix (Fig. 1).

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Application number of the current application Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – Application number of the other application from which the CRF is to be transferred.

Date Identified – Date the document was reviewed Who identified? – Name or initials of reviewer CRF.TRNS.IMP prepared – “Yes” Comment - “Improper,” and optionally indicate at least one defect in the transfer request

3. Place the form(s) with attached routing sheet for IFW Scanning in an

AKIMA/DTSV Scanning Drop-off location.

This ends processing of a defective transfer request.

Processing of Proper CRF Transfer Requests.

Step 9: Determine whether transferring the CRF in SCORE requires special processing by SCORE Support.

Under the following three circumstances, special handling will be required to process the CRF transfer into SCORE. SCORE Support will process the CRF transfer rather than your group, and will enter the information into the Transfer Load Tracking Matrix.

• The requested CRF is not the last or the only CRF filed in the other

• The requested CRF from the other application is not in the SCORE database.

• SCORE has a sequence listing for the current application.

1. Determine if the requested CRF is the last or only CRF filed in the other application. Check the other application in PALM (Step 7). For example, if the request specifies the “first” CRF and there are two or more CRFs, then the requested CRF is not the last or only CRF.

If the requested CRF is the last or only CRF, check for the next special circumstance. However, if the requested CRF is not the last or only CRF, enter a request for SCORE in Patent Automation Support Manager (PASM) with the following information in the indicated sections of the PASM request form (Fig. 2).

Subject: The text “Transfer Request Issue” followed by the current application number Type: Select “Other” Enter Application#: Enter the current application number (see note below) Patent Tools: Make sure SCORE is shown (if not, select SCORE from the drop-down list) Description: The text “CRF is not last or only CRF of other application”, followed in order with the current application number; USPTO receipt date of the CRF transfer request; and other/parent application number.

Figure 2 - Example of PASM request for this Transfer Request Issue

NOTE: Type application numbers without commas or slashes. Utility and provisional application numbers are entered as an eight digit number, such as 12803962 or 61234567. PCT application numbers are entered with a two letter country code, two digit year and a five digit number, such as PCTUS1012345 (Fig.

2).

2. Open the other application in SCORE (through ScoreAccessWeb), and verify that SCORE has a sequence listing (i.e. CRF) for the other application.

If SCORE has a sequence listing, check for the next special circumstance.

However, if SCORE has no sequence listing, enter a request for SCORE in PASM with the following information in the indicated sections of the PASM request form.

Type: Select “Other” Enter Application#: Enter the current application number Patent Tools: Make sure SCORE is shown (if not, select SCORE from the drop-down list) Description: The text “SCORE has no CRF for other application”, followed in order by the current application number, USPTO receipt date of the CRF transfer request; and other/parent application number.

3. Open the current application in SCORE (through ScoreAccessWeb), and verify that SCORE does not have a sequence listing for the current

If SCORE does not have a sequence listing for the current application, proceed to Step 10. However, if there is a sequence listing for the current application, enter a request for SCORE in PASM with the following information in the indicated sections of the PASM request form.

Type: Select “Other” Enter Application#: Enter the current application number Patent Tools: Make sure SCORE is shown (if not, select SCORE from the drop-down list) Description: The text “SCORE has CRF for current application”, followed in order by the current application number, USPTO receipt date of the CRF transfer

If none of the four special circumstances described above are seen, proceed to Step 10.

Step 10: Processing the CRF transfer in SCORE.

Figure 3- WDK Login

1. Open the OIPE Load Module (Fig 3. ) by entering the URL: http://score.uspto.gov/ScoreWDKWeb/component/load.

2. Enter your USPTO User ID and password into the appropriate fields and ensure the Repository field is SCORE.

3. Select Login.

Figure 4 - Add to Favorites

Note: To save time add OIPE Load Module to Favorites (Fig. 4).

a. Open Internet Explorer

b. Click Favorites on the Explorer Toolbar

c. Click Add to Favorites

d. Type a name in the Name field, for example “WDK Login” (shown) or

“Score Load”

e. Click Add

Figure 5 - SCORE 3.0 - Initial PALM Retrieval

4. Enter the current or instant application number in the Application Number field (Fig. 5).

NOTE: Application numbers are entered without commas or slashes. Utility and provisional application numbers are entered as an eight digit number, e.g.

12803962. PCT application numbers are entered with two letter country code, two digit year and a five digit number, e.g. PCTUS1012345. For PCT numbers shown on a label with a four digit year, use the last two digits; or shown with a six digit number, use the last five digits. For example, for PCT/US2010/012345, enter

PCTUS1012345.

5. Enter the date the Transfer Request was received by the USPTO in the

Mailroom Date field (Fig. 5).

NOTE: If using the AutoFill calendar, verify the correct year is selected.

6. Enter the Other/Parent Application number (Fig. 5)

7. Verify that the radio button for Is this an Amendment? is set to NO, and the radio button for Can the application disk(s) be loaded? is set to YES. Then select Submit (Fig. 5).

Figure 6 - Sequence Listing

8. Check the row labeled “Sequence Listing” (Fig. 6).

9. Select Done (Fig. 6).

Figure 7 - SCORE 3.0 Add Missing Content

10. Select NO under Do you wish to add additional content? (Fig. 7).

Figure 8 - SCORE 3.0 Load Complete

11. On the “Load Complete” screen either click Logout or click Back To Start to process the next transfer request (Fig. 8).

Step 11: Enter a CRFE transaction into PALM. It is assumed you are familiar with entering PALM transactions.

Figure 9 - Transfer Load Tracking Matrix

Date Rec’d USPTO – Date the document was received by the USPTO Serial Numbers – Application number of the current application Date Rec’d by SCORE/PLRC – Date your group received the document Other (Parent) Serial # – Application number of the other application from which the CRF is to be transferred email of paper – Indicate whether the transfer request was received by email or paper (optional) Date Loaded to SCORE – Date the transfer was processed in SCORE Who Loaded – Name or initials of the person who processed the transfer in

SCORE

Date RSL Printed – Date the RSL was printed Who Printed – Name or initials of the person who printed the RSL CRFE entered in PALM – Date the CRFE transaction was entered into PALM Comments – A comment (optional)

Step 12: Enter the information for the CRF transfer request in columns A through G of the “Transfer Completed” tab of the Transfer Load Tracking Matrix (Fig. 9).

Step 13: Prepare Raw Sequence Listing (RSL) for indexing and scanning.

Print RSL and RSL Cover Sheet for each application once the load process is complete, the CRFE transaction has been entered into PALM, and the information has been entered on the tracking matrix. This step can be carried out before, after, or in conjunction with Step 14 (Reporting of CRF transfers processed).

NOTE: the RSL is also known as the Validation Report for the transfer request. It is the cover sheet and the first five pages of the transferred sequence listing. The Doc Code for the document in IFW is CRFE.

Figure 10 - SCORE - Home Page

1. From the SCORE Home Page in ScoreAccessWeb, enter the application number of the current application into the Identification Number field (Fig.

10).

2. Click Submit (Fig. 10).

If the message if the message “The application number # _________ was not found. Please ensure you selected the desired document type” is displayed, there was a problem with the CRF transfer. Skip to Step 15.

Figure 11 - SCORE Table of Contents for Application 12632517

3. Click “View a version list for this application” link on the SCORE Table of Contents for Application # screen (Fig. 11).

If the “Number of Sequences” shown is zero and the “Detailed Sequence Information” section is not displayed, there was a problem with the CRF transfer.

Skip to Step 15.

Figure 12 - SCORE Version Listing for Application 12632517

4. Select the version 1.0 under Version Number heading (Fig. 12).

If more than one version (i.e. 1.0) is listed or the file is not a sequence listing (see Appendix I), there was a problem with the CRF transfer. Skip to Step 15.

Figure 13 - SCORE - View Sequence Detail(s) for Application 12632517

5. Select Download All Sequences (Fig. 13).

Figure 14 - File Download

6. Select Open (Fig. 14).

Figure 15 - Sequence Listing.raw – WordPad

7. Once WordPad Opens, Select File > Print from the menu (Fig. 15).

Ensure that default printer is correct and review the Page Range section.

Figure 16 – Print

8. Select the Pages radio button and enter “1-5” in the space provided (Fig. 16).

Figure 17 - Raw Sequence Listing Entered

9. Print the Raw Sequence Listing cover page (Fig. 17).

Figure 18 - Raw Sequence Listing Entered

10. Type the current/instant Application number (Fig. 18).

11. Type OPAP for the SOURCE (Fig. 18).

12. Type the current date in the Date Processed by SCORE field in the following format mm/dd/yyyy (Fig. 18).

13. Print the RSL Cover Sheet and attach to the pages 1-5 of the sequence listing.

14. Enter the information for the CRF transfer request in columns H through J of the “Transfer Completed” tab of the Transfer Load Tracking Matrix (Fig. 9).

15. Complete a Tech Center Routing Sheet (Appendix IV). Enter the application number in the “Application #” space if only one RSL is being sent for scanning. Enter “various” in the “Application #” space if more than one RSL is being sent. Enter the current date in both the “Doc Code Date” and “Date of Request” spaces. Check the “CRFE” box (top of middle column).

16. Attach the Routing Sheet for IFW Scanning to the RSL(s) and place in an

AKIMA/DTSV Scanning Drop-off location.

NOTE: If you are only processing one item, attach a TC Routing sheet to the Cover Sheet form and send to RTIS Scanning Customer Support. If multiple items are processed with the same SCORE Processing Date only one TC Routing sheet is needed for the entire bundle.

Step 14: Report applications for which a CRF transfer was processed.

The report is used by another group for exporting the sequences listings to the sequence search system. This report is to be prepared weekly on the first business day of the week, and list all CRF transfers processed in SCORE the previous week.

The report is to be a spreadsheet saved as a CSV file. (In Excel, select “Save as” and choose “CSV (comma delimited) (*.csv)” from the “Save as type” drop down list.)

1. From the SCORE Home Page in ScoreAccessWeb, enter the application number of the current application into the Identification Number field (Fig. 10).

2. Click Submit (Fig. 10).

If the message if the message “The application number # _________ was not found. Please ensure you selected the desired document type” is displayed, there was a problem with the CRF transfer. Skip to Step 15.

3. Click “View a version list for this application” link on the SCORE Table of Contents for Application # screen (Fig. 11).

If the “Number of Sequences” shown is zero and the “Detailed Sequence Information” section is not displayed, there was a problem with the CRF transfer. Skip to Step 15.

4. Select the version 1.0 under Version Number heading (Fig. 12) and verify that the file is a sequence listing.

If more than one version (i.e. 1.0) is listed or the file is not a sequence listing (see Appendix I), there was a problem with the CRF transfer. Skip to Step 15.

5. Enter the current application number in column A and the number “1” in column B of the CSV spreadsheet, beginning with row 1. List only those applications which were successfully processed.

6. Once all the CRF transfers processed the previous week have been reviewed and listed on the report, email the report “To” SCORE Tech and ESSD Patent Processing and Cc Patent Supplemental Content.

Step 15: Problems with CRF transfer:

1. In Steps 13-2 or 14-2 above, if the message “The application number # _________ was not found. Please ensure you selected the desired document type” is displayed instead of the SCORE Table of Contents as shown in Fig. 11, no CRF was transferred to the application.

Check that the correct current application number was entered into ScoreAccessWeb or onto the tracking matrix.

If the current application number was incorrect on the tracking matrix, determine the correct application number and correct the tracking matrix entry, if necessary, and verify in ScoreAccessWeb that the sequence listing CRF was transferred to the correct application.

If the current application number was correct, then the CRF transfer may not have been done or an incorrect application number may have been entered in the OIPE Load module. Reprocess the CRF transfer with the OIPE Load module (Step 10);

and enter a request for SCORE in PASM with the following information.

Type: Select “Other” Enter Application#: Enter the current application number Patent Tools: Make sure SCORE is shown (if not, select SCORE from the drop-down list) Description: The text “CRF transfer may have been done for wrong application”, followed in order by the current application number, USPTO receipt date of the CRF transfer request; and other/parent application number.

On the Transfer Load Tracking Matrix, enter the text “PASM” followed by the request number into the Comments column, e.g. “PASM 5432.”

2. In Steps 13-4 or 14-4 above, if there are more sequence listing versions listed for the current application than a single version 1.0 (as shown in Fig. 12), then this should not have been processed, as it is the exception described in Step 9-3 above requiring special processing by SCORE Support.

Enter a PASM request as indicated in Step 9-3, and add to the “Description” that the CRF transfer had been processed. On the Transfer Load Tracking Matrix, enter the text “PASM” followed by the request number into the Comments column, e.g. “PASM 5432.”

3. In Steps 13-4 or 14-4 above, if the file is not a sequence listing, then the wrong file was selected during the CRF transfer process at Step 10-7.

Enter a request for SCORE in PASM with the following information.

Type: Select “Other” Enter Application#: Enter the current application number Patent Tools: Make sure SCORE is shown (if not, select SCORE from the drop-down list) Description: The text “File transferred was not a sequence listing,” followed in order by the current application number, USPTO receipt date of the CRF transfer

On the Transfer Load Tracking Matrix, enter the text “PASM” followed by the request number into the Comments column, e.g. “PASM 5432.” Once SCORE Support has removed the incorrect file from the current application in SCORE, you will be contacted to reprocess the CRF transfer in OIPE Load module.

Appendix

Appendix l

Sequence Listing Formats

Figure 19 - ST 23 Correct CRF Format

Figure 20 - ST 25 Correct CRF Format

Reissue Application Sequence Listing

Figure 21 - Sequence Listing

NOTE: See SEQLIST 04/03/2009 of 12418101 in IFW

Appendix ll

Improper CRF Transfer Request - Reason(s)

Figure 22 - Improper CRF Transfer Request - Reason(s)

Appendix lll

Search a Workbook in Excel:

1. Click Edit > Find or Ctrl + F.

2. Type the Serial Number in the Find what: field.

3. In the Within: Drop-Down Menu select Workbook.

4. Click Find All.

The results will be listed at the bottom of the Find and Replace dialog box.

Figure 23 - Find and Replace

Appendix lV

Tech Center Routing Sheet

Figure 24 – Tech Center Routing Sheet

Appendix V There are a wide variety of ways that a transfer request may indicate that the paper copy of the sequence listing in the current application and the CRF of the sequence listing filed in the other application are the same.

For the examples below, application 10/123,456 is the “other application” and the transfer request requests that the CRF of 10/123, 456 be transferred to the current application. Where a combination of statements is shown, these may be together in one document or may be in separated in two documents, which taken together make up the transfer request.

Statements or combinations of statements that do indicate that the paper copy of the current application and computer readable form (CRF) of the other application

• The paper copy of the Sequence Listing for this application is identical to the computer readable copy of the Sequence Listing filed in application 10/123,456.

• The paper and computer readable copies of the Sequence Listing, submitted in accordance with 37 CFR § 1.821(c) and (e), respectively, are the same.

NOTE: Often this type of statement will be found in separate document, e.g. a CRFS document, filed with the rest of the main transfer request document, e.g.

CRFL or CRF.TRNS.REQ document.

• The paper copy of the sequence listing filed herewith is the same as the paper copy of the sequence listing of 10/123,456, filed on 1/1/2001.

The paper copy of the sequence listing and the computer readable form of the sequence listing of 10/123,456 are the same.

• The paper copy of the sequence listing filed in this application is a copy of the Sequence Listing of application 10/123,456.

The CRFs of the sequence listings of this application and application 10/123,456 are identical.

The paper copy of the sequence listing and the computer readable form of the sequence listing of 10/123,456 are the same.

• The CRF filed in this application and the CRF filed in application 10/123,456 have the same sequence listing.

The Sequence Listing filed in this application and the CRF of the sequence listing filed in this application are identical.

Statements or combinations of statements that do not indicate that the paper copy of the current application and computer readable form (CRF) of the other application

• The paper copy of the sequence listing filed herewith is the same as the paper copy of the sequence listing of 10/123,456, filed on 1/1/2001.

• The CRF of the sequence listing filed herewith is the same as the CRF of the sequence listing of 10/123,456, filed on 1/1/2001.

• The paper copy of the sequence listing and the computer readable form of the sequence listing of 10/123,456 are the same.

• The paper copy of the sequence listing filed herewith is the same as the paper copy of the sequence listing of 10/123,456, filed on 1/1/2001.

The CRF of the sequence listing filed herewith is the same as the CRF of the sequence listing of 10/123,456.

• The CRF of the sequence listing of this application and the CRF of the sequence listing of application 10/123,456 are identical.

A copy of the Sequence Listing of 10/123,456 is filed herewith.

Appendix VI The following practice is recommended method for reviewing the current and other application information during CRF transfer in the various applications being used to reduce typographical errors and to save time.

1. Enter the information for the CRF transfer request in columns A through D of the “Transfer Completed” tab of the Transfer Load Tracking Matrix (Fig. 9).

2. For Step 1, copy the current application number from column B of the tracking matrix, then paste into the “Find what” box (see Appendix III) for searching the matrix. If the request is a duplicate, cut the row from the “Transfer Completed” tab and paste into the next available row under the “Transfer Not Processed” tab, and enter the information for rows E through H.

3. For Steps 2, 3 and 4, if the request received is not transfer request, a CRF was filed with the request, or the request for a 371 application should not be processed, respectively, cut the row from the “Transfer Completed” tab and paste into the next available row under the “Transfer Not Processed” tab, and enter the information for rows E through H.

4. For Step 5 through Step 9, i.e., the review process, copy the current application number (col. B) or other application number (col. D) and paste into the appropriate box of IFW (eDRS), PALM Biotech Information screen,

or. ScoreAccessWeb. If the transfer request is improper, cut the row from the “Transfer Completed” tab and paste into the next available row under the “Transfer Not Processed” tab, and enter the information for rows E through H.

5. For Step 10-4 through Step 10-6, copy the current application number (col.

B), USPTO receipt date (col. A), or other application number (col. C) from the tracking matrix and paste into the appropriate box on the Initial PALM Retrieval page of the OIPE Load module (see Fig. 5).

Index of Figures and Tables

Figure 1 - Tracking Matrix

Figure 2 - Example of PASM request for this Transfer Request Issue ... 14

Figure 3 - WDK Login

Figure 4 - Add to Favorites

Figure 5 - SCORE 3.0 - Initial PALM Retrieval

Figure 6 - Sequence Listing

Figure 7 - SCORE 3.0 Add Missing Content

Figure 8 - SCORE 3.0 Load Complete

Figure 9 - Transfer Load Tracking Matrix

Figure 10 - SCORE - Home Page

Figure 11 - SCORE Table of Contents for Application 12632517

Figure 12 - SCORE Version Listing for Application 12632517

Figure 13 - SCORE - View Sequence Detail(s) for Application 12632517 21

Figure 14 - File Download

Figure 15 - Sequence Listing.raw – WordPad

Figure 16 – Print

Figure 17 - Raw Sequence Listing Entered

Figure 18 - Raw Sequence Listing Entered

Figure 19 - ST 23 Correct CRF Format

Figure 20 - ST 25 Correct CRF Format

Figure 21 - Sequence Listing

Figure 22 - Improper CRF Transfer Request - Reason(s)

Figure 23 - Find and Replace

Figure 24 – Tech Center Routing Sheet