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Office of Initial Patent Examination (OIPE) - PowerPoint PPT Presentation


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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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pre exam process
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

non provisional application days to mail filing receipt
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
provisional application days to mail filing receipt
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
filing receipt quality
October

November

December

January

February

March

April

May

June

71%

72%

80%

80%

87%

94%

98%

97%

98%

Filing Receipt Quality
18 month publication
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
specification requirements
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
specification requirements1
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
drawing requirements
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
corrected application papers
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%
pre grant publication
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
oipe requirements
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+)
computer readable copy
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”
raw sequence listing crf
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
stic performs review of crf
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
crf problem report
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
raw sequence listing error report
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
some examples of rsl error report problems
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
oipe formalities review
OIPE Formalities Review
  • Check for the presence of nucleotide/amino acid sequences in the following documents:
  • Preliminary Amendment
  • Specification
  • Claims
  • Drawing figures
sequence id numbers
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
oipe formalities review continued
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
rls sequence listing comparison
RLS/Sequence Listing Comparison
  • Header information checked:
  • <110> Names of Inventors
  • <120> Title of Invention
  • <130> Attorney Docket Number
  • <160> Number of Sequences
notification of sequence problems
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
sequences compliance not required
Sequences – Compliance Not Required
  • Branched Sequences

Ala Leu Asp Arg

I

Glu

Tyr

Trp

sequences compliance not required1
Sequences – Compliance Not Required
  • D-Type amino acid sequences

Gln Lys D-Ser D-Arg Ile Val

  • Fewer than 10 nucleotides

atgctgca

compact disc cd submissions
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+)
compact disc cd submissions1
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