Attachment 37 - PreExam Manual with Supplemental Instructions 9-20-2018.pdf

UNITED STATES PATENT AND TRADEMARK OFFICE

Patent Application Location and Monitoring (PALM)

Pre-exam Training Manual

Student 01

January 28, 2000 – with Supplemental Instructions Added September 2018

Student 01 i 01/28/00

Table of Contents

1 Basics 1-1 Welcome to PALM 1-1

Getting Started 1-4

Navigating Through the System 1-5

How to Use this Manual 1-15

Special Terms 1-16

2 Pre-exam Application Initialization 2-1 Overview 2-1

Initializing Applications 2-3

Exercise 2.1 Initialize an Application 2-3

Exercise 2.2 Initialize a 371 Application 2-5

Updating Application Receipt Information 2-9

Exercise 2.3 Update Patent Application Receipt Information 2-9

Exercise 2.4 Change Domestic Application to 371 Application 2-11

3 Location and Workflow Tracking 3-1 Overview 3-1

Receiving Patent Cases and Initiating Tasks 3-3

Exercise 3.1 Receive a Single Patent Case File into a Location 3-3

Exercise 3.2 Receive a Batch of Patent Case Files into a Location 3-4

Exercise 3.3 Initiate a Task without a Patent Case File 3-5

Dispatching Patent Cases 3-7

Exercise 3.4 Dispatch a Single Patent Case File to a New Location 3-7

Exercise 3.5 Dispatch a Batch of Patent Case Files to a New Location 3-8

Exercise 3.6 End a Processing Task without the Patent Case File 3-9

4 Application Inquiry 4-1 Overview 4-1

Student 01 ii 01/28/00

Displaying Patent Application Information 4-2

Exercise 4.1 Display Bib Data 4-2

Searching for a Patent Application 4-4

Exercise 4.2 Find an Application using Bib Data 4-4

Exercise 4.3 Find an Application using a Related Application Number 4-6

Display Application History 4-8

Exercise 4.4 Review Correspondence Address History 4-8

Exercise 4.5 Review Power of Attorney History 4-8

Exercise 4.6 Review Processing History 4-9

Exercise 4.7 Display Application Number History 4-10

5 Initial Formalities Review 5-1 Overview 5-1

PMG100C Application Patent Case (APC) Window 5-3

Adding Basic Application Information 5-4

Exercise 5.1 Add Basic Application Information 5-4

Adding Power of Attorney 5-6

Exercise 5.2 Add Powers of Attorney using Registration Numbers 5-6

Exercise 5.3 Add Power of Attorney using a Customer Number 5-8

Add Inventor and Interested Party Information 5-9

Exercise 5.4 Add APC Inventor/Interested Party Information 5-9

Adding Continuity and Foreign Priority Information 5-13

Exercise 5.5 Add Continuity Information 5-13

Exercise 5.6 Add Foreign Priority Information 5-17

Correspondence Addresses 5-21

Exercise 5.7 Add Correspondence Address 5-21

Exercise 5.8 Add Correspondence Address Using Customer Number 5-22

Performing the Initial Formalities Walkthrough 5-24

Exercise 5.9 Initial Formalities Walkthrough 5-24

6 Bibliographic Data Maintenance 6-1 Overview 6-1

Updating Application Data 6-2

Exercise 6.1 Enter and Change Data in the Application 6-2

Updating the Power of Attorney 6-4

Exercise 6.2 Update Power of Attorney Using Registration Numbers 6-4

Exercise 6.3 Change to a Customer Number without Generating Change Power of

Attorney Letters 6-6

Student 01 iii 01/28/00

Updating Inventor/Interested Party Information 6-8

Exercise 6.4 Update Inventor/Interested Party Information 6-8

Exercise 6.5 Update Continuity Information 6-10

Exercise 6.6 Update Foreign Priority Information 6-13

Updating Correspondence Address Information. 6-16

Exercise 6.7 Update Correspondence Address 6-16

Exercise 6.8 Change Correspondence Address using a Customer Number 6-17

Generate Corrected Bib Data Documents 6-19

Exercise 6.9 Generate Corrected Filing Receipt 6-19

Exercise 6.10 Generate Bib Data Sheet 6-19

7 Formalities Review: Other Considerations 7-1 Overview 7-1

Second Formalities Walkthrough 7-4

Exercise 7.1 Perform the Second Formalities Walkthrough 7-4

Problems Encountered When Attempting to Complete Formalities Review 7-9

Exercise 7.2 Attempt to Complete Formalities Review before Bibliographic Data

Entry Is Complete 7-9

Exercise 7.3 Hold Application With Problems in Fee Posting 7-12

Exercise 7.4 Complete Formalities Review for an Application that has been Held for

Fee Posting Corrections 7-14

Exercise 7.5 Process Omitted Items Case after Wait Period has Expired 7-16

Trouble Shooting 7-18

Exercise 7.6 Change a 371 Application to Domestic 7-18

8 Initial Formalities Review with ACRS Data 8-1 Overview 8-1

Adding Information from ACRS 8-3

Exercise 8.1 Add Basic Information from ACRS 8-3

Exercise 8.2 Add Powers of Attorney from ACRS with Registration Numbers 8-4

Exercise 8.3 Add Power of Attorney from ACRS with Customer Number 8-5

Exercise 8.4 Add Inventor/Interested Party Information from ACRS 8-6

Exercise 8.5 Add Continuity and Foreign Priority Information from ACRS 8-8

Exercise 8.6 Add Correspondence Address from ACRS 8-9

Exercise 8.7 Formalities Walkthrough from ACRS 8-10

9 Managing Customer Numbers 9-1 Overview 9-1

Adding Customers 9-2

Exercise 9.1 Add a New Customer 9-2

Student 01 iv 01/28/00

Updating Customer Information 9-5

Exercise 9.2 Update Customer Contact Information 9-5

10 Changes in Power of Attorney 10-1 Overview 10-1

Changing Power of Attorney 10-2

Exercise 10.1 Change Power of Attorney 10-2

Rejecting Power of Attorney 10-6

Exercise 10.2 Reject Power of Attorney 10-6

11 Process Outgoing Correspondence 11-1 Overview 11-1

Processing Manual Outgoing Correspondence 11-2

Exercise 11.1 Print a Notice Header Only 11-2

Exercise 11.2 Identify Manually Generated Correspondence 11-3

Exercise 11.3 Generate Non-Office Action Letter 11-4

Correct Unmailed Correspondence 11-6

Exercise 11.4 Correct an Unmailed Office Action Notice 11-6

Exercise 11.5 Regenerate an Unmailed Notice 11-7

Exercise 11.6 Delete Unmailed Outgoing Correspondence 11-8

Processing Mailed Correspondence 11-10

Exercise 11.7 Correct a Mailed Notice for a Pre-exam Formalities Action 11-10

Exercise 11.8 Correct a Pre-exam Formalities Action of Complete 11-12

Exercise 11.9 Withdraw a Pre-exam Formalities Action 11-13

Exercise 11.10 Resend Old Correspondence 11-15

12 Change Application Numbers 12-1 Overview 12-1

Correcting Application Numbers 12-4

Exercise 12.1 Correct a Misassigned Application Number 12-4

Exercise 12.2 Convert a Regular Application to Provisional 12-6

Exercise 12.3 Convert an Outdated Regular Application to Provisional 12-11

Exercise 12.4 Deactivate a Duplicate Application 12-14

Exercise 12.5 Reactivate a Duplicate Application 12-16

Exercise 12.6 Reverse a Deactivated Duplicate Patent Case 12-18

Exercise 12.7 Identify a Miscommunicated Application Number 12-20

13 Abandon a Patent Case 13-1 Processing Express Abandonment Requests 13-1

Exercise 13.1 Process an Express Abandonment Request 13-1

Student 01 v 01/28/00

Exercise 13.2 Process an Abandonment Due to Lack of Appropriate Response from the Applicant 13-3

Exercise 13.3 Process an Abandonment Due to an Untimely Response from the

Applicant 13-4

Exercise 13.4 Cancel an Unmailed Abandonment Action 13-9

14 Patent Case Restoration 14-1 Exercise 14.1 Restore an Old Patent Case 14-1

15 Changing the Same Information in Many Applications 15-1 Overview 15-1

Exercise 15.1 Assign a Customer Number to Many Applications with an Attorney

Supplied Spreadsheet 15-1

Exercise 15.2 Assign the Same Correspondence Address to Many Applications 15-2

16 Processing Re-exam Applications 16-1 Exercise 16.1 Re-examination Application Formalities Review 16-1

Exercise 16.2 Add a 3rd Party Re-exam Requester 16-4

Exercise 16.3 Generate Receipt of 3rd Party Re-exam Notice 16-6

Appendix A How to Print from the Web A-1

Appendix B Old PALM Transactions Replaced by PALM MG Pre-exam Release 1 B-1

Appendix C PMG100C Application Patent Case Window Functions C-1 Menu Options C-1

Tab Sections C-6 Appendix D - Supplemental Instructions

TAB 6 Change of Address

Tab 7 Correspondence for POA Rejection

Tab 7 Establishment of POA

TAB 7 Revocation of Power of Attorney

TAB E Printing and Mailing Process

TAB P Corrected Filing Receipt

TAB S ADS Guidance for AIA

TAB S E-Signatures

TAB Z Micro Entity Status

Web Based Corrected ADS

Student 01 vi 01/28/00

Student 01 vii 01/28/00

Table of Figures The Mouse .............................................................................................. 1-5

Example of a PALM Primary Window ..................................................... 1-8

Example of a PALM Dialog Box ............................................................ 1-11

PMG110C Application Number History Window .................................. 4-12

PMG100C Basic Information Tab .......................................................... C-6

PMG100C License and Review Tab ...................................................... C-7

PMG100C Pending Petitions Tab .......................................................... C-7

PMG100C Reexamination/Reissue Tab ................................................. C-8

PMG100C Special Rules Tab ................................................................. C-8

PMG100C Location/Task Tab ................................................................ C-9

PMG100C Miscellaneous Tab ................................................................ C-9

1 Basics

Lesson

N O T E S

Student 01 1-1 01/28/00

Welcome to PALM

Welcome to the United States Patent and Trademark Office (USPTO) Patent Application and Location Monitoring (PALM) system.

In an effort to modernize the PALM system in both functionality and technical architecture, the USPTO is redesigning the current PALM system. This redevelopment effort, known as Patent Application and Location Monitoring Migration (PALM-MG), currently includes four subsystems: Infrastructure, File Ordering, Bibliographic Data, and Pre-exam.

Infrastructure Subsystem

The Infrastructure subsystem captures and maintains basic information about the USPTO; its organizational structure; workers; physical locations; special purpose locations, such as search rooms; and how they are connected. This information is used by PALM and other USPTO automated information systems (AISs), such as the Trademark Reporting and Application Monitoring (TRAM) system and Patent Cooperation Treaty (PCT) Operational Workflow Electronic Review (POWER) system. These systems perform tasks such as tracking the physical location of the patent case file wrapper, and monitor the workers and organizations which prosecute the patent application, including Group Art Unit (GAU) assignments and Examiner productivity. In addition, the Infrastructure subsystem provides new functionality in Worker Relocation and Search Room Relocation.

File Ordering Subsystem

The File Ordering subsystem supports the ordering of patent and trademark cases from the Files Repository.

Student 01 1-2 01/28/00

Bibliographic Data Subsystem

The Bibliographic Data subsystem supports the maintenance of the bibliographic data for utility, plant, reissue, design, re-examination, provisional, reissue and PCT 371 applications and the reassignment of the patent application number, if necessary. In addition, it provides a prosecution history of an application. In this release, the prosecution history is limited to events that occur during Pre-exam processing as part of the Pre-exam subsystem implementation.

The Bibliographic Data subsystem replaces the Patent Application Correction and Entry (PACE)-II system and old PALM transactions, such as updating bibliographic data.

Pre-exam Subsystem

The Pre-exam subsystem initializes all U.S. domestic applications, including 371 applications; records most significant events, which occur during the Pre-exam prosecution (excluding petition processing); and supports the formalities review process. The Pre-exam subsystem replaces the PACE-II system and all previous PALM transactions currently used during Pre-exam processing. In addition, this subsystem provides the following new functionality:

♦ The granting of a filing date when an application is not considered Incomplete

♦ The ability to record when and why an application number is changed, which will in turn provide a facility to review this history

♦ The recording of documents that were received with a patent application, and any problems associated with those documents

♦ The calculation of whether fees have been paid in full based on the applicant’s small entity status, the type of application, and the number of claims

Student 01 1-3 01/28/00

♦ The determination of whether an application is Incomplete, Missing Parts, Omitted Parts or Complete based on the documents that have been received and any problems associated with them

♦ The generation of all outgoing correspondence related to Pre-exam processing

♦ The capability to view electronically the actual correspondence sent to the applicant once it has been generated

Student 01 1-4 01/28/00

Getting Started

Program Access

To access the PALM system, go to the Windows NT Desktop. After clicking on the PALM folder icon, the icons of the four (4) main applications in the PALM system are displayed.

Step-by-Step Instructions for Opening the PALM System

1. From the desktop, double-click on the PALM folder icon using the mouse.

The four (4) PALM subsystem folders are displayed.

2. Double-click on the desired PALM subsystem folder.

The selected PALM application is opened.

Student 01 1-5 01/28/00

Navigating Through the System

The PALM system provides basic tools and features that enable you to operate menus, select items, enter information, and start system actions.

The mouse and the keyboard are used to navigate through the PALM windows, enter data, request help, or select the next processing step.

The Mouse

The mouse makes working with the PALM system easier, enabling you to access new options, select option buttons, and scroll through PALM window. The mouse is illustrated below.

The Mouse

Mouse functionality is described below.

Click Function

Single Click on Left Button

Enables you to select a menu, select an option button, or move the cursor

Double-click on Left Button

Enables you to start system functions

Single Click on Right Button

The PALM system does not respond to this action.

Student 01 1-6 01/28/00

The Keyboard

The keyboard is used to type information into the system. It is most efficient to use the keyboard to enter text and to perform system procedures by using short-cut keys. Some of the standard keyboard functions and shortcuts utilized in the PALM system are described below.

Action Key Function

Tab Moves cursor forward to the next field

Shift + Tab * Moves cursor back to the previous field

Delete Deletes the information to the right of the cursor

Backspace Deletes information to the left of the cursor

Alt + Tab Enables the user to switch to another running program that is open on the Windows desktop task bar

Arrow keys Enables the user to move back and forth between the selected menu options and pull-down lists

Enter Activates an option button or file menu when the focus is on the option button or file menu

Shift + any arrow key

Highlights and extends selection of highlighted text

Ctrl + X Cuts selected text

Ctrl + C Copies selected text

Ctrl + V Pastes selected text

Ctrl + Z Undoes last action

F1 Displays help menu

* A (+) sign indicates to hold down the first key while pressing the second key.

Student 01 1-7 01/28/00

Action Key Function

F4 Displays a drop-down list of a data field when the cursor is in that data field

Alt + F4 Returns to previous screen

Alt or F10 Selects the menu bar

Alt + Spacebar Opens application control menu

Student 01 1-8 01/28/00

Primary Window Components

The PALM system includes a number of primary windows that enable you to carry out some of the basic actions within the system. An example of a PALM primary window is illustrated below.

Example of a PALM Primary Window

← Window Title ↑ Title Bar

Window Tab

Data Field

Check Box

View Only Field

→ Option Button

User/Date

Last

Modification

Data Element

Student 01 1-9 01/28/00

Components of a primary window are described below according to the numbers illustrating the sample primary window.

Number Window Component Description

← Window Title The name of the window that is displayed in the title bar. The title on a window may dynamically change to reflect the nature of the information displayed or the action requested as you work in the application. Each window has a unique identifier in the format of XXXNNNCN. This format is defined as follows:

XXX – Identifies the PALM subsystem.

NNN – Number that uniquely identifies the window procedure.

C – Indicates that the window is a client window procedure.

N – Number that uniquely identifies the window within the procedure. N does not exist in primary windows.

While the title on a window is subject to change, the XXXNNNCN always remains the same, enabling you to easily identify the window procedure.

In this manual, the section titles that describe individual windows contain a generic name that covers all of the potential titles that may appear when the application is running. The title on the example windows, however, reflects just one potential title.

↑ Title Bar The bar at the top of a window that displays the title of the screen.

→ Option Button The button within a screen that initiates a system action.

Student 01 1-10 01/28/00

Number Window Component Description

↓ Window Tab

Windows that include window tabs are, in essence, several windows in one. Select a new tab to view a new window.

° Data Field Data may be entered in this field. If a field is mandatory, the entry box is preceded by an asterisk (*).

± Check Box A check box indicates a flag. Putting a check mark in the check box indicates that the flag is activated.

″ View Only The field is grayed out, which means that it is view only and data cannot be entered.

≥ Data Element An area on the window that displays a data field and its title.

× Last Modification

PTOnet logon id of the user who last modified the patent case information and the date of that modification.

∝ User/Date These fields display the user’s logon and the current date.

Student 01 1-11 01/28/00

Dialog Box

When you select certain commands with the PALM system, a dialog box is displayed. Dialog boxes may contain pull-down menus, scroll arrows, and warning or informational messages. An example of a PALM dialog box is illustrated below.

Example of a PALM Dialog Box

Components of a dialog box are described below according to the numbers illustrating the sample dialog box.

Number Window Component Description

← Drop-down List Button

Select this button to view a drop-down list of data entry options for the related field

↑ Look-up Button

Select this button to display a new window that lists data entry options for the related field.

→ Action Button Select the appropriate action button for each desired action.

Look-up Button

Drop-down List

Action Button

Student 01 1-12 01/28/00

Basic Menu Options

Most PALM windows include a menu bar and a list of menu names displayed below the title bar. The most frequently used menu options are described below.

Menu Options

File Enables you to return to the previous screen or exit the system

Edit Provides a pull-down list that enables you to add, update, delete or pick a record, as well as highlight or deselect all records in a list

View Provides a pull-down list that enables you to search or sort records

Show Provides a pull-down list that enables you to display other screens

Options Provides a pull-down list that enables you to add single records or multiple records without returning to the list screens

Window Provides a pull-down list that enables you to view multiple screens in different ways

Help Provides you with access to various forms of on-line help

Student 01 1-13 01/28/00

Basic Option Buttons

An option button is selected by moving the mouse pointer onto the button and left clicking the mouse. A description of some of the option buttons that are standard among all the screens is provided below.

Note: Option buttons that are unique to certain system functions are defined throughout this manual. If you prefer to use the keyboard instead of the mouse to select option buttons, each option button also includes a keyboard short cut. To activate the option buttons using the keyboard, press the Alt key and the underlined number or letter displayed on the option button.

Option Button Action Key Description

Alt + D Enables you to remove existing information or data from a specific list box

Alt + C Enables you to leave the current function and return to the starting point

Alt + F Enables you to search for information meeting certain criteria

Alt + O

Indicates that the data entered is acceptable and processing should continue. The action/entry will be saved.

Alt + U Enables you to remove the last data entry if a mistake is made.

N/A Takes you to another screen to select information

Student 01 1-14 01/28/00

Basic Toolbar Options

Most PALM system windows include a toolbar with a row of icons displayed below the menu bar. Some of the toolbar icons frequently used in the PALM system are illustrated and described below.

Icon Tool Description

Add Adds information

Update Updates or change selected information

Delete Deletes selected information

Pick Selects a record and return

Search Locates a specific record

Close Closes the screen or function

Student 01 1-15 01/28/00

How to Use this Manual

This manual is divided into sixteen lessons. Each lesson consists of multiple subsections. Multiple exercises related to each subsection are grouped together.

Portions of the exercises are organized as follows:

Steps – A step is a numbered instruction within an exercise.

Results – A result is the function that is performed when you have completed a step. Results are displayed in italics throughout this manual.

Notes – A note is identified with the Note: icon, and includes additional details or information that may be helpful in better understanding a step.

Tips – A tip is identified with the Tip: icon, and is a hint which is provided to assist you in completing a step more efficiently.

Data – Data, denoted in bold throughout this manual, is the information which is entered into the data fields.

Field Names – Field names are denoted in bold throughout this manual.

Window Names – Window names are denoted in bold throughout this manual.

Margins for Notes – On every page in this manual, the right margin is reserved for your notes.

Student 01 1-16 01/28/00

Special Terms

Special terms used throughout this manual are identified and defined below:

Office Action – A decision about a patent application or a response of the patent office to documents received from the applicant. Most office actions are communicated to the applicant and often changes the state of the application. Some examples of Office Actions include:

♦ Incomplete

♦ Missing Parts

♦ Complete

♦ Acceptance of a Change of Power of Attorney

Task – An activity performed by a worker on a specific patent application that USPTO wants to track.

2 Pre-exam Application Initialization

Student 01 2-1 01/28/00

Overview

The Initialization procedures in the new PALM system support the Patent Case initialization process. A new application is initialized in PALM using the PMG000C Application Patent Case Initialization window or the PMG005C 371 Application Initialization window.

This section will show you how to:

♦ Create a PALM record when a new application is received and be sure that the Application Number that is assigned to the case is unique

♦ Record and maintain information about the initial receipt of the original application papers

♦ Identify when a Biochemical Diskette is received with the original application papers

♦ Identify when a Patent Application Receipt Acknowledgment postcard is received with the original application papers

♦ Note any problems with the postcard, including discrepancies between the number and type of documents received and the papers identified in the postcard.

♦ Create a PALM record for a new 371 Application and identify the International Application to which it is related

♦ Change a Regular Application to a 371 Application

You Should Be Aware…

1. When all the information on the PMG000C Application Patent Case Initialization window is entered and the Enter key is pressed, the window is automatically cleared for a new Application Number.

2. When you begin processing a new batch of applications that were received on a different date than a previous batch, you MUST remember to change the Mailroom Receipt Date.

3. The Effective Receipt Date and Application Number must be entered by wanding the bar code labels on the File Jacket.

4. The Express Mail Tracking Number is entered by wanding the bar code on the outside of the Express Mail envelope. It may also be keyed.

Student 01 2-2 01/28/00

5. The PMG000C Application Patent Case Initialization window can be used for updating initial receipt information.

6. If a Biochemical Diskette is received at a later date (i.e., after the original papers were received), it MUST be recorded using the PMG200C Formalities Review window.

What’s new… ♦ Recording the actual date the application was received

♦ Recording receipt of the Patent Application Receipt Acknowledgment postcard

♦ Recording problems with the postcard

♦ Recording when the application has been received electronically

♦ Recording the Express Mail Tracking Number

Student 01 2-3 01/28/00

Initializing Applications

In the following two exercises you will learn to initialize a domestic patent application and a 371 application.

Exercise 2.1 Initialize an Application

1. Double-click the Application Initialization icon in the PALM folder to display the PMG000C Application Patent Case Initialization window.

The cursor points at the Mailroom Date field.

2. Type 08/18/1999, the actual date the application was received, into the Mailroom Date field.

3. Press Tab to move the cursor to the next field.

4. Wand the following Effective Receipt Date bar code.

*081599*

081599

The cursor automatically moves to the Application Number field.

5. Wand the following bar code into the Application Number field.

*09330100*

09330100

The cursor automatically skips to the next field.

6. Wand or key the supplied Express Mail Tracking Number bar code.

*EL080656861US*

EL080656861US

Tip: Adding a new application using this window replaces the old 1019 or 1002 transactions.

Student 01 2-4 01/28/00

Note: When the effective receipt date is earlier than the Mailroom Date, the Express Mail Tracking Number is required.

7. Type Y to acknowledge receipt of a postcard with the submission.

8. Press the space bar to indicate that there was no postage on the postcard.

The No Postage box contains a check mark.

9. Press Tab until the cursor has moved to the Biochemical Diskette Received field. Type Y to indicate that one was received.

10. Press Enter.

A message dialog box is displayed indicating that the Mail Room date precedes the current date by a number of business days.

Note: Normally you should not receive this message unless you have a substantial backlog. A similar message is displayed if several business days separate the Mailroom Date and the Effective Receipt Date (which is the Express Mail Date). If either of these warning messages appear, you may have entered an incorrect date. Be sure that the dates were entered correctly. If the dates were not entered correctly, click Cancel and revise the incorrect date(s).

Note: The periods of time are managed via a table which can be modified on request by management. Currently the default backlog value is set to 10 business days, and the default maximum time between the Effective Receipt Date and the Mail Room Date is set to 3 business days.

11. Click OK to accept the Mailroom Receipt Date, thereby saving the application.

A message is displayed in the status bar indicating that the Application Patent Case has been initialized. All information has been cleared off the window except for the Mailroom Receipt Date, and the cursor is sitting in the Effective Receipt Date field ready to process the next application.

Note: To process a new batch of applications that were received on a different day, press the Shift+Tab keys or use the mouse to move the cursor to the Mailroom Receipt Date where you can enter the new date.

Tip: Setting the Biochemical Diskette Received field to “Y” is equivalent to executing the old 1194 transaction.

Student 01 2-5 01/28/00

12. Click Close or press F3 to close the window.

What happened… Before Exercise Application does not exist in PALM

After Exercise Record exists for Application in PALM

Initialization task recorded for the operator

Receipt of Patent Application Receipt Acknowledgment postcard recorded; noted that no postage was on the postcard

Receipt of Biochemical Diskette recorded

Location of Patent Case file jacket is recorded

Exercise 2.2 Initialize a 371 Application

1. Double-click the 371 Initialization icon in the PALM Pre-exam folder to display the PMG005C 371 Application Initialization window.

2. Type 08/18/1999, the actual date the application was received, into the Mailroom Date field.

3. Press Tab to move to the next field if the cursor did not automatically skip to it.

4. Wand the following Effective Receipt Date bar code.

*081599*

081599

The cursor automatically skips to the next field.

Tip: Adding a new application using this window fully replaces the old 1002 transaction, and partially replaces the old 1669 transaction.

Student 01 2-6 01/28/00

5. Wand the following Application Number bar code.

*09330101*

09330101

The cursor automatically skips to the next field.

6. Wand or type the supplied Express Mail Tracking Number bar code.

*EL080656861US*

EL080656861US

7. Enter the following information into the International Application Number field:

PCT/IB95/33015

Note: You must enter a valid International Application Number to initialize a 371 Application.

8. Tab to the International Filing Date field and enter the following date:

050199

9. Press the Tab key to move the cursor to the Postcard Received? field. Type Y to acknowledge receipt of the postcard with the submission.

Note: If a post card was not received, accept the default value of ‘N’.

10. Tab to the Postcard and Application Mismatch field.

11. Press the Spacebar to indicate a Mismatch.

Student 01 2-7 01/28/00

12. Tab to the Description field to enter the nature of the mismatch. Enter the following:

Only 250 of 265 pages of specification received Check was for $760, not $1035 No Oath or Declaration No appendix D

13. Press the Tab key, and then press Enter.

A message dialog box is displayed indicating that the Mailroom date precedes the current date by a number of business days.

Note: Normally you should not receive this message unless you have a substantial backlog. A similar message is displayed if several business days separate the Mailroom Date and the Effective Receipt Date (which is the Express Mail Date). If either of these warning messages appear, you may have entered an incorrect date. Be sure that the dates were entered correctly. If the dates were not entered correctly, click Cancel and revise the incorrect date(s).

Note: The periods of time are managed via a table which can be modified on request by management. Currently the default backlog value is set to 10 business days, and the default maximum time between the Effective Receipt Date and the Mail Room Date is set to 3 business days.

14. Click OK to accept the Mailroom Receipt Date, thereby saving the application.

A message is displayed in the status bar indicating that the Application Patent Case has been initialized.

All information has been cleared from the window except for the Mailroom Receipt Date, and the cursor is located in the Effective Receipt Date field ready to process the next application.

Note: To process a new batch of applications received on a different day, press the Shift+Tab keys or use the mouse to move the cursor to the Mailroom Receipt Date where you can enter the new date.

15. Click Close or press F3 to close the window.

Student 01 2-8 01/28/00

What happened… Before Exercise Application does not exist in PALM

After Exercise Record exists for application in PALM; it is recorded as a 371 application

Initialization task recorded for operator

A continuity record is created with the international application as the parent of the 371 Application

Receipt of Patent Application Receipt Acknowledgment postcard is recorded

Discrepancies between the documents received and the contents listed on the post card are recorded

Location of Patent Case file jacket is recorded

Student 01 2-9 01/28/00

Updating Application Receipt Information

The initialization procedure can be used to update the following:

♦ The date the application was received, the express mail tracking number, and the effective receipt date

♦ Whether or not a Biochemical Diskette was received with the application

♦ Whether or not a self-addressed Patent Application Receipt Acknowledgment postcard was received

♦ Any problems with the postcard

In the following two exercises you will learn to:

♦ Update the receipt information for a domestic and a 371 application

♦ Convert a regular domestic application to a 371 Application

Exercise 2.3 Update Patent Application Receipt Information

1. Double-click the Application Initialization icon in the PALM Pre-exam folder.

The PMG000C Application Patent Case Initialization window is displayed.

2. Click the Open icon.

3. Wand the following Application Number bar code into the Application Number field.

*09330102*

09330102

The current receipt information for this Application Number stored in PALM is displayed.

4. Move the cursor to the Postcard Received box, delete the Y, and type N to indicate that a postcard was not received.

Student 01 2-10 01/28/00

5. Move the cursor to the Biochemical Diskette Received field, delete the N, and type Y.

Note: This flag should only be changed to Y when it is erroneously set to N at the time that the application was initialized. DO NOT set this flag to Y when the diskette is received after the original papers.

6. Press Enter.

A message box is displayed indicating that there may be a problem with the dates.

7. Click OK to accept the Mailroom Receipt Date, thereby saving the application.

A message is displayed in the status bar indicating that the Application Patent Case has been updated. All information has been cleared off the window ready to process the next application.

8. Click Close or press F3 to close the window.

What happened… Before Exercise Application record exists

Postcard and Biochemical Diskette recorded as incoming correspondence.

After Exercise Postcard no longer recorded as incoming correspondence

Receipt of Biochemical Diskette recorded as Incoming Correspondence.

Location of patent case updated

Student 01 2-11 01/28/00

Exercise 2.4 Change Domestic Application to 371 Application

1. Double-click the 371 Initialization icon in the PALM Pre-exam Folder.

The system displays the PMG005C 371 Application Initialization window.

2. Click the Open icon.

3. Wand the following Application Number bar code.

*09330103*

09330103

The current receipt information for this Application Number is displayed.

Note: The International Application Number and Filing Date fields are blank because the application was erroneously initialized as a regular domestic application

4. Use the Tab key or the mouse to move the cursor to the International Application Number field and enter the following application number:

PCT/IB95/33016

5. Tab to the International Filing Date field and enter the following date:

050199

6. Press Enter.

A message is displayed in the status bar indicating that the Application Patent Case has been updated. All information has been cleared from the window ready to process the next application.

7. Click Close or press F3 to close the window.

Student 01 2-12 01/28/00

What happened… Before Exercise Application was a Regular Domestic Application

Receipt of postcard recorded

After Exercise Application is a 371 Application

Location is updated

A continuity record is created, with the International Application as the parent of the 371 Application

3 Location and Workflow Tracking

Student 01 3-1 01/28/00

Overview

The Location and Workflow Tracking portion of the PALM system is designed to track the location of an application and the tasks that have been performed for the case. These processes are done in the PMG122C Receive Patent Case and the PMG123C Dispatch Patent Case windows.

Receiving a Patent Case File indicates which worker has possession of the Patent Case File, and Dispatching a Patent Case File indicates the location to which the worker is about to send the Patent Case File

This section will show you how to:

♦ Indicate the physical location of the Patent Case File

♦ Indicate the name of the organization where the physical application can be found

♦ Indicate the task that the worker receiving the application will perform

♦ Indicate the location to which a Patent Case File will be dispatched

♦ Close an open Organization Assignment and/or Worker Task

You Should Be Aware…

1. The PMG100C Application Patent Case window can be used to access the PMG122C Receive Patent Case and PMG123C Dispatch Patent Case windows.

2. The PMG122C Receive Patent Case and PMG123C Dispatch Patent Case windows are used in the stand-alone mode for batch processing (processing multiple applications, one after the other).

Note: These are not formal batches. “Batch” merely refers to more than one case. The new PALM system does not have batches like the old PACE system

Student 01 3-2 01/28/00

3. Several new items appear on the PMG122C Receive Patent Case window:

♦ Worker Number – Set by system to the employee number of the individual who wanded the Patent Case Application Number, based on the operator’s PTOnet logon ID.

♦ Worker Name – Employee name, inserted by default based on the Worker Number

♦ Org Name – Organization Name, inserted by default based on the Worker Number

♦ Org Unit – Code that uniquely identifies the organization named above.

♦ Task Type – Indicates the specific task to be conducted on the Patent Case File

♦ Application Number – Number wanded in from the Patent Case File

4. If a task is not active for the current worker, the PMG122C Receive Patent Case window opens automatically when the Application Number bar code is wanded in the PMG100C5 Open Patent Case dialog box.

5. On the PMG123C Dispatch Patent Case window, the worker indicates the location to which the Patent Case file will be sent.

Important: When the Patent Case File is considered complete and the Patent Case is dispatched to the Tech Center using the PMG123C Dispatch Patent Case window, the Pre-examination phase ends for the application.

Student 01 3-3 01/28/00

Receiving Patent Cases and Initiating Tasks

In the following three exercises you will learn how to:

♦ Receive a single Patent Case into a location

Note: This method of receiving a case would generally only be used when you are ready to start working on the case.

♦ Receive a batch of Patent Cases into a location

♦ Initiate a task without a Patent Case

Note: Some workers are permitted to update Patent Application information without having the Patent Case. A task must be initiated manually in this situation.

Note: If a task is initiated without the Patent Case file, the task must be closed manually. See Exercise 3.6 Ending a Task without the Patent Case File.

Exercise 3.1 Receive a Single Patent Case File into a Location

1. Double-click the Application Patent Case icon in the Palm Pre-exam folder to display the PMG100C Application Patent Case detail window.

2. Click the Open icon.

The PMG100C5 Open Application Patent Case dialog box is displayed.

3. Wand the following Application Number bar code and click OK or press Enter.

*09330157*

09330157

The system displays the PMG122C Receive Patent Case window.

Student 01 3-4 01/28/00

Note: If you have receipted in a case at an earlier date, this window is not be displayed. However, the location and location date is updated.

4. Click the drop-down arrow on the Task Type list box and select Pre-exam Formalities Review from the list.

Note: Your supervisor will indicate what task type you should use.

5. Click the Save icon on the toolbar.

The PMG122C Receive Patent Case window is closed, the PMG100C Application Patent Case window is brought forward and the basic bibliographic information is displayed for the application. The new location and task is displayed under the Location/Task tab.

Note: You may now update the Patent Case record.

6. Close the PMG100C Application Patent Case window.

Exercise 3.2 Receive a Batch of Patent Case Files into a Location

1. Double-click the Receive Application icon in the PALM folder to activate the PMG122C Receive Patent Case window in stand-alone mode.

2. Click the drop-down arrow on the Task Type field and select PICS Scanning Operation from the list.

Note: Your supervisor will indicate what task type, if any, that you should use. A task type should NEVER be selected when a Patent Case is received into Central Files or the Repository.

3. Press Tab and wand the following Application Patent Case Number bar code.

*09330158*

09330158

A Receipt Successful message is displayed and the Application Number field is cleared, ready to wand in the next Patent Case.

Student 01 3-5 01/28/00

Note: The selected Task Type is retained, since it is likely you will be performing the same task for all the patent cases in a batch.

4. Wand the following Application Number bar code.

*09330159*

09330159

Note: This procedure is repeated until the entire batch is processed.

5. Click the Close icon on the PMG122C Receive Patent Case window or press F3.

Note: If desired, this window may be left open all day.

Exercise 3.3 Initiate a Task without a Patent Case File

Note: Only a limited number of users have access to this functionality.

1. Double-click the Application Patent Case icon in the PALM Pre-exam folder to display the PMG100C Application Patent Case detail window.

2. Click the Open icon.

The PMG100C5 Open Application Patent Case dialog box is displayed.

3. Type 09330131 in the Application Number field.

4. Click OK or press Enter.

The PMG100C Application Patent Case window displays the current Bibliographic Data for the application.

5. Click the Patent Processing menu, then click the Initiate Task/Receive Case menu option.

The system displays the PMG122C Receive Patent Case window.

Student 01 3-6 01/28/00

6. Click the Drop-down arrow on the Task Type list box and select Bib Data Maintenance from the list.

Note: Your supervisor will indicate what task type you should use.

7. Click the Save icon.

The PMG122C window is closed, the PMG100C window is brought forward, and the basic bibliographic information is displayed for the application. You may now update the Patent Case record.

Note: Remember to end the Task when you are finished working on the case (please see Exercise 3.6).

Note: The location of the Patent Case file jacket is not updated because the application number was not wanded.

Student 01 3-7 01/28/00

Dispatching Patent Cases

In the following three exercises you will learn to:

♦ Dispatch a single Patent Case to another location

♦ Dispatch an batch of Patent Cases to another location

♦ Conclude processing for a task that was initialized without a Patent Case file jacket

Exercise 3.4 Dispatch a Single Patent Case File to a New Location

1. If the PMG100C Application Patent Case detail window is not open, double-click the Application Patent Case icon in the PALM Pre-exam folder.

2. Click the Open icon.

The PMG100C5 Open Application Patent Case dialog box is displayed.

3. Wand the following Application Number bar code and click OK.

*09330157*

09330157

Note: This method of dispatching a case is normally used when you have been working on a case. In this situation, you probably already have the case open on the PMG100C Application Patent Case window.

If you did not successfully complete exercise 3.1, then the PMG122C Receive Patent Case window is displayed.

Click the Close icon to continue.

4. Click the Patent Processing menu, then click the Complete Task/Dispatch Case menu option.

The PMG123C Dispatch Patent Case window is displayed.

Application number 09330157 is displayed in the Application Number field.

Student 01 3-8 01/28/00

5. Type 0210 in the Location Code field.

6. Click the Dispatch icon.

The PMG100C window is once again displayed. Note that there is no longer an active task and the location code has been updated under the Location/Task tab.

Note: You may now begin processing the next application.

7. Close the PMG100C Application Patent Case window.

Exercise 3.5 Dispatch a Batch of Patent Case Files to a New Location

1. Double-click the Dispatch Application icon on the desktop to display the PMG123C Dispatch Patent Case window.

2. Select Tech Center from the Location Code/Location Name list.

This selection sets the Charge to Location to the assigned Group Art unit.

Note: This location should only be selected when the application is complete and ready to be sent to the corps for examination.

3. Press Tab to move to the Application Number field.

4. Wand the following Application Number bar code.

*09330158*

09330158

The status bar displays the message “Dispatch successful” and the Application Number field is cleared for the next case.

Tip: Selecting the generic Tech Center location is equivalent to executing the 1018 transaction in the old system.

Student 01 3-9 01/28/00

5. Wand the following Application Number bar code:

*09330159*

09330159

A message is displayed indicating that the application is not Complete, and therefore cannot be dispatched to the Tech Center.

Note that you selected the incorrect location.

6. Select 03C0 from Dispatch Location list.

7. Click the Dispatch icon on the toolbar.

The status bar displays the message “Dispatch successful” and the Application Number field is cleared for the next case.

8. Click the Close icon on the PMG123C Dispatch Patent Case window.

Exercise 3.6 End a Processing Task without the Patent Case File

If you opened a task for an application without the patent case file wrapper, you must end the task if no further activity is required.

1. Open the PMG100C Application Patent Case window if necessary.

2. Click the Open icon on the PMG100C Application Patent Case window.

3. The PMG100C5 Open Application Patent Case dialog box is displayed.

4. Type in the application number 09330131 and press Enter.

5. Select the Complete Task/Dispatch Case menu option under the Patent Processing menu item.

The PMG123C Dispatch Patent Case window is displayed.

Note: Because you do not have the patent case file, do not select a dispatch location.

Student 01 3-10 01/28/00

6. Click the End Processing icon on the toolbar.

The PMG100C Application Patent Case window is displayed.

4 Application Inquiry

Student 01 4-1 01/28/00

Overview

The same windows which are used for maintaining bibliographic data are also used for displaying the data.

You should be aware…

1. The Bibliographic data search list is limited to 50 rows. If more than 50 rows meet the desired criteria and the application you are looking for does not appear in the list, you must provide additional search criteria to limit the number of matches found.

2. You may use the wild character “%” after a character string to indicate that you are looking for applications where the given search field begins with the character string provided. This functionality is available in the Inventor, Title, and Address search fields.

3. You may use the wild character “%” at the beginning of the Title search field to indicate that the character string may appear anywhere within the Title.

Student 01 4-2 01/28/00

Displaying Patent Application Information

See Appendix C for detailed descriptions of the functions that can be accessed from the PMG100C Application Patent Case window.

Exercise 4.1 Display Bib Data

1. Click the Open icon on the PMG100C Application Patent Case window.

2. Type 09330112 in the Application Number field.

3. Click OK.

Basic bibliographic data is displayed for the application.

4. Click on each of the tabs to view the information.

Note: You will not be able to update any information unless you have been granted authority to update the case when the application number has not been scanned.

5. Click Show/Attorneys.

The PMG130C APC Registered Practitioner List window is displayed.

6. Click the Close icon to close the window.

7. Click Show/Continuity.

The PMG130C APC Registered Practitioner List window closes and the PMG160C window is displayed.

8. Click the Close icon to close the window.

9. Click Show/Correspondence Address.

The PMG150C APC Correspondence Address window is displayed.

10. Click Cancel to close the window.

11. Click Show/Formalities Review.

The PMG200C Application Formalities Review window is displayed, and a message box is displayed asking whether you wish to perform a Walkthrough.

Student 01 4-3 01/28/00

12. Click the No button to close the message box.

13. Click the Close icon to close the window.

14. Click Show/Inventors.

The PMG140C APC Inventor/Interested Party window is displayed.

15. Drag the horizontal scroll bar to the right to see Inventor Residence information.

16. Click the Close icon to close the window.

Student 01 4-4 01/28/00

Searching for a Patent Application

These exercises will teach you how to:

♦ Use different criteria to find an application when the application number or patent number is unknown

♦ Search by date, family name, attorney docket number, and partial name and effective receipt date

Exercise 4.2 Find an Application using Bib Data

1. Double-click the Application Patent Case icon in the PALM Pre-exam Folder.

The PMG100C Application Patent Case window is displayed.

2. Click the Open button on the toolbar.

The PMG100C5 Open Patent Case dialog box is displayed.

3. Click the Search button.

The PMG102C Patent Case Search Criteria dialog box is displayed.

To search for applications for a specific inventor by name:

4. Enter 08/25/1999 into the Effective Receipt Date Range Start column.

5. Type 08/27/1999 in the Effective Receipt Date Range End column.

6. Type Smith in the Family Name box.

Note: When searching for an inventor name, you must also supply a date range indicating when the application was likely received. It is not recommended to span the search date to more than a couple of days.

7. Click OK.

The applications that were received during the date range are displayed with Smith listed as one of the applicants. The applicant name is displayed in the Search field column.

Student 01 4-5 01/28/00

Note: The system stops searching after 50 cases that match the search criteria are found. If 50 matches are found, a message dialog box is displayed indicating that the maximum number of cases has been reached.