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Office of Initial Patent Examination (OIPE)

Office of Initial Patent Examination (OIPE). Pre-exam Process. Customer Window. Prepare for Scanning & Validate Post Card. Post Fees (RAM). Open & Sort Assign SN. USPS Mail. Scan and Index (PACR). Technology Centers. Security Screen. Notices & Filing Receipts. Formalities

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Office of Initial Patent Examination (OIPE)

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  1. Office of Initial Patent Examination (OIPE)

  2. Pre-exam Process Customer Window Prepare for Scanning & Validate Post Card Post Fees (RAM) Open & Sort Assign SN USPS Mail Scan and Index (PACR) Technology Centers Security Screen Notices & Filing Receipts Formalities Review (PALM) Classify

  3. January - June 2001 Within 30 Days 31 - 60 Days 61 - 90 Days 91 - 120 Days 121 - 150 Days 151 - 180 Days More Than 180 Days 10.5% 47.1% 21.1% 9.9% 7.3% 2.3% 1.8% Non Provisional Application Days to Mail Filing Receipt

  4. January - June 2001 Within 30 Days 31 - 60 Days 61 - 90 Days 91 - 120 Days 121 - 150 Days 151 - 180 Days More Than 180 Days 0.6% 6.0% 33.6% 43.0% 12.1% 3.5% 1.2% Provisional ApplicationDays to Mail Filing Receipt

  5. October November December January February March April May June 71% 72% 80% 80% 87% 94% 98% 97% 98% Filing Receipt Quality

  6. 18 Month Publication • Publication of utility and plant applications as filed after 18 months from earliest effective filing date • May request early publication • May provide assignment for publication • Applications must be ready for publication

  7. Specification Requirements • Left margin at least 2.5 cm (1") and all other margins at least 2.0 cm (3/4") Recommend at least 2.5 cm (1”) top • A4 (21cm x 29.7 cm) or 8-1/2"x 11" • Typewriter or mechanically printed • Line spacing 1-1/2 or double-spaced • A verified English translation

  8. Specification Requirements • Claim or claims must commence on a separate sheet • Abstract must commence on a separate sheet • An abstract must not exceed 150 words • Title must not exceed 500 characters • Figures not permitted in specification

  9. Drawing Requirements • Top and left margins at least 1 inch, right margin at least 5/8 inch, and bottom margin at least 3/8 inch • Drawing sheets must be either 8 ½ by 11 inches or DIN size A4 • Photographs not be permitted unless what is being shown cannot be drawn • English alphabet required, except where another alphabet is customarily used • Drawing views numbered in consecutive Arabic numerals starting with 1

  10. Corrected Application Papers • Incorrect margins – 16.4% • Abstract missing – 1.1% • Abstract exceeds 150 words – 0.6% • Abstract not on separate sheet – 0.4% • Claims not on separate sheet – 0.8%

  11. Pre Grant Publication • Pre Grant Publication legislation requires that the Raw Sequence Listing is published. • Certain Sequence Requirements must be complied with before the application is released from OIPE to the Technology Centers

  12. OIPE REQUIREMENTS • Raw Sequence Listing submitted on Computer Readable Format (CRF) (CFR 1.821(e)) • May use the CRF from a previously filed application (37 CFR 1.821(e)) • Paper or Compact Disc copy of Sequence Listing (37 CFR 1.821(c)) • Statement indicating that both the Raw Sequence Listing (CRF) and paper or CD copy are the same (37 CFR 1.821+)

  13. Computer Readable Copy • May be the original CRF of the “instant” application or the CRF from a previously filed application under 37 CRF 1.821(e) • OIPE refers to this as a “Transfer Request”

  14. Raw Sequence Listing (CRF) • The receipt of a CRF or Transfer Request is recorded in PTO’s PALM database if received when the application is filed • The CRF or Transfer Request is delivered to the Scientific and Technical Information Center (STIC) for review

  15. STIC Performs Review of CRF • If the CRF is in compliance, it is recorded in PALM and a Raw Sequence Listing is printed and matched with the file wrapper • If problems are found, one of the following reports are printed and matched with the file wrapper

  16. CRF Problem Report • CRF is Damaged or Unreadable • CRF is Blank or Empty (no files) • CRF has virus or not in ASCII text • CRF does not contain a Sequence Listing • A copy of the report is mailed to the customer

  17. Raw Sequence Listing Error Report • The error report contains many potential problems with the Sequence Listing provided on the CRF. • This report is also mailed to the customer to specify the exact nature of the CRF problem

  18. Some Examples of RSL Error Report Problems • Nucleotide/amino acid sequences “wrapped” to the next line of the RSL • Incorrect line length (max. 72 characters) • Misaligned amino acid numbering • Skipped or missing sequences • Corrupted Files

  19. OIPE Formalities Review • Check for the presence of nucleotide/amino acid sequences in the following documents: • Preliminary Amendment • Specification • Claims • Drawing figures

  20. Sequence ID Numbers • The presence of SEQ ID NO in the preliminary amendment, specification, claims or drawing figures indicates that the Raw Sequence Listing and paper or CD copy of the Sequence Listing are required

  21. OIPE Formalities Review Continued • Review STIC analysis of CRF • Verify the presence of a Sequence Listing • Check for statement (under 37 CFR 1.821) that both the CRF and paper or CD copy of Sequence Listing are the same • Compare header information of the RSL and Sequence Listing – verify that both are the same

  22. RLS/Sequence Listing Comparison • Header information checked: • <110> Names of Inventors • <120> Title of Invention • <130> Attorney Docket Number • <160> Number of Sequences

  23. Notification of Sequence Problems • OIPE notifies customers via Notice to Comply with Requirements for Patent Applications Containing Nucleotide Sequence And/Or Amino Acid Sequence… • Problems may also be listed on a Notice to File Missing Parts or Notice to File Corrected Application Papers

  24. Sequences – Compliance Not Required • Branched Sequences Ala Leu Asp Arg I Glu Tyr Trp

  25. Sequences – Compliance Not Required • D-Type amino acid sequences Gln Lys D-Ser D-Arg Ile Val • Fewer than 10 nucleotides atgctgca

  26. Compact Disc (CD) Submissions • Parts of application can now be filed on compact disc (CD) in lieu of paper, effective September 8, 2000, under 37 CFR 1.52(e) • Large tables over 50 pages (37 CFR 1.58) • Computer program listings (37 CFR 1.96) • Nucleotide and/or Amino Acid Sequences (37 CFR 1.821+)

  27. Compact Disc (CD) Submissions • Submission must be on CD-ROM or CD-R media only - no CD-RW or DVD allowed • CD must conform to ISO 9660 standards • Files must be in ASCII format • CDs must be submitted in duplicate (each CD set must be labeled Copy 1 and Copy 2) • Copy 2 must be an exact duplicate of Copy 1 (same file name, file size, date) • Contents of CD (name, size, date) must be indicated on transmittal letter and in specification

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