# Presentation: 214855

## Best Practices - Suggestions and Tips: 

**Avoid The Most Common Mistakes Made By Practitioners:**
**Andrew Faile**
**Director TC 2600**

**Avoid Mistakes Throughout Prosecution**

**Tips and Suggestions**
**Preparing the Application**
**Filing the Application****	**
**Avoiding Publication Pitfalls**
**Examination Processing Tips**
**Post Allowance Tips**
**Best Practice Tips *****(see Appendix)***

## Preparing the Application

**Avoid submitting an application in the European problem/solution format.  **
**Format the application according to US rules and procedures.  See MPEP § 608**
**Avoid including multiple dependent claims that depend from other multiple dependent claims**
**Craft claims according to US practice, see MPEP § 608.01(n)**
**Avoid including “Use” claims**
**Craft claims according to US practice, see MPEP § 608.01(k)**

## Pre-Examination Tips

**Forms**
**Do use USPTO forms without altering the language.**
**Do not use a combined declaration and power of attorney form.  **
**USPTO forms can be found at: http://www.uspto.gov/web/forms/index.html**

## Pre-examination Tips

**Application Data Sheets**
**Do use an Application Data Sheet (ADS), although an ADS is not required.  ****Customers using an ADS** **can expect two advantages when applying for a patent: **
**	****	****1.****      ****Improved accuracy of filing receipts. **
**	****	****2.****      ****Accurately recorded application data. **
**	****	**

## Pre-examination Tips

**Application Data Sheets (Cont’d)**
**Use of a supplemental ADS is possible even though no original ADS was submitted on filing.**
**The following information can be supplied on an ADS:**
**Application Information**
**Applicant  Information**
**Correspondence Information**
**Representative Information**
**Domestic Priority Information**
**Foreign Priority Information**
**Assignment Information**

## Pre-examination Tips

**Preliminary Amendments In New Applications**
**Avoid submitting Preliminary Amendments on filing **
**A substitute specification will be required if a preliminary amendment present on filing makes changes to the specification, except for:**
**Changes to title, abstract, claims or addition of benefit claim information to the specification**
**See the notice  “*****Revised Procedure for Preliminary Amendments Presented on Filing of a Patent Application*****,” 1300 *****Off. Gaz. Pat. Office***** 69 (November 8, 2005), available at:**
**  ****http://www.uspto.gov/web/offices/com/sol/og/2005/week45/patrevs.htm**

## Pre-Examination Tips

**Preliminary Amendments in Continuations and Divisionals**
**Avoid submitting Preliminary Amendments on filing a Continuation or Divisional**
**Avoid Preliminary Amendments that cancel all the claims and add new ones**

## Filing the Application

**Select a method of filing the application**
**	****1.  Accelerated Examination **
**	****2.  EFS-Web**
**	****3.  Traditional Mail Route**

## Filing the Application		

**Accelerated Examination Common Failings**
**Failure to provide the text search logic. A mere listing of terms will not suffice.**
**Failure to search the claimed invention. The petition for accelerated examination may be dismissed if the search is not commensurate in scope with the claims.**
**Failure to show support in the specification and/or drawings for each limitation of each claim****.  **

## Filing the Application

**Accelerated Examination Common Failings (Cont)**
**Failure to show support in the specification and/or drawings for each limitation of each claim for every document whose benefit is claimed. **
**Failure to specifically identify the limitations in each claim that are disclosed in each reference.**
** **

## Filing the Application

**EFS-Web Filing**
**Avoid coding (identifying) a Request for Continued Examination (RCE)  as an “Amendment” when filing an RCE**
**Avoid identifying papers after the initial filing as “new”**
**Avoid common PCT filing mistakes**
**Avoid filing color images or images that have a resolution higher than 300x300 dots per inch (dpi) **

## Avoid Publication Pitfalls

**Nonpublication Requests**
**Avoid inconspicuous requests for nonpublication.**
**Publication will generally include all preliminary amendments submitted in time to be included in the publication.**
**If amendments to the specification are desired to be included in publication, submit a substitute specification.**

## Avoid Publication Pitfalls

**Publication Corrections**
**Practitioners must include the assignment information in the transmittal letter or ADS.**
** ****Avoid misspelling the names of inventors or assignees.**
**Review the filing receipt promptly so that corrections can be requested **_**before**_** publication or export of data for publication. **
**Avoid filing requests for Corrected Publication 37 CFR § 1.221(b) that  fail to recite material errors.**

## Examination Processing Tips

**General Prosecution Advice**
**Amendments to the claims and/or specification should be accompanied by a written statement indicating specific support for the change.  If the support is implicit, an explanation is beneficial. **
**In response to restriction requirements, where inventions are indeed patentably indistinct, applicants should present arguments to that end.**
**Read the entire prior art reference cited by the examiner, not just the part relied upon by the examiner in the rejection.**

## Examination Processing Tips

**Pre-Appeal Brief Conference **
**Avoid sending the request separate from the Notice of Appeal. **
**Avoid making a request when there is an outstanding after-final amendment.**
**Avoid attaching more than five pages to the cover form. **
**Avoid sending in a supplemental request.**
**Avoid paying a second Notice of Appeal fee in the application. **

## Examination Processing Tips

**Filing of Continuation-in-Part (CIP) Applications**
**Consider prosecuting an improved CIP invention independently of the prior invention****:**
**File, if need be, a continuation only to the original invention, or take an appeal on the original invention, and**
**File a new application, rather than a CIP, for only the new invention:**
**without a benefit claim (35 U.S.C. §120, 37 CFR § 1.78) to the initial application, and**
**therefore without shortening the patent term of the initial invention if it were to be included in the CIP application, as**
**any benefit claim in a CIP cannot protect the new invention.**

## Post Allowance Tips

**Issue Fee Payments**
**Avoid filing an Information Disclosure Statement (IDS) after payment of the issue fee****.**
**File an IDS filed after payment of the issue fee with a Petition for Withdrawal from Issue (37 CFR 1.313(c)) and an RCE (37 CFR § 1.114).  Otherwise, the IDS will be placed in the file and the cited documents will not be considered by the examiner. **
**Avoid delays in paying the issue fee.**
**The issue fee payment may be submitted via facsimile to the Office of Patent Publications ((571) 273-2885) or EFS-Web to ensure the payment is received within the non-extendable time period set forth in the Notice of Allowance and Fee(s) Due (PTOL-85).**

## Post Allowance Tips

**Withdrawal from Issue**
**Petitions to Withdraw from Issue may be hand carried or sent via facsimile to the Office of Petitions****. **
**Hand carries should be brought to the security guard station of the Madison West building, 600 Dulany Street, Alexandria VA 22314. **
**The facsimile number for the Office of Petitions is (571) 273-0025.  **
**Note:  All other types of petitions must be directed to the Central FAX ((571) 273-8300).  **

## Thank You.

## APPENDIXBEST PRACTICES

## Best Practices

**Use of S-signatures (37 CFR § 1.4(c)(2))**
**A practitioner creates a document and S-signature signs it on his/her PC. The practitioner can then: **
**Facsimile transmit the document directly from the PC to the Office; or **
**Print the document and then facsimile transmit, mail, or hand-carry the document to the Office. **
**An affidavit under 37 CFR § 1.132 is S-signed by the party making the affidavit, the S-signed affidavit is then: **
**Electronically sent to the practitioner, e.g., via an e-mail. The practitioner can then facsimile transmit, mail or hand-carry the S-signature signed document to the Office. **

## Best Practices	

**Power of Attorney Tips:**
**Do direct a Power of Attorney to the Attorneys Associated with the Customer Number to the Customer Number **
**Do provide a separate Power of Attorney and a separate Oath/Declaration**

## Best Practices	

**Priority Document Exchange Tips**
**Do provide a valid power of attorney with a submission for permission to access**
**Only the designated attorney or agent may grant permission to access.**

## Best Practices

**Fee Payment Tips**
**Avoid placing a stop payment on a check for USPTO services or to circumvent the rules of practice.  This action is not appropriate.**
**Request a refund (37 CFR § 1.26) where fees were paid by mistake or in excess of the amount required.**
**Avoid drafting a check to the USPTO for services on an account with insufficient funds.**
**Ensure that the account from which the check is drawn contains sufficient funds prior to submitting the check to the USPTO.**

## Best Practices

**Fee Payment Tips**
**Do use a Deposit Account Number on a transmittal form authorizing payment**** **
**Do not use a Customer Number to authorize payment of fees.  **
**Be clear with payment authorization statements.**
**Avoid contradictory statements on payment****	**

## Best Practices 

**Maintenance Fees/Deposit Accounts**
**Maintenance fees and replenishing of deposit accounts at the USPTO can be done online: **_**[https://ramps.uspto.gov/](https://ramps.uspto.gov/eram)**__**[eram](https://ramps.uspto.gov/eram)**_
**Inquiries related to deposit accounts, maintenance fees and refunds may be directed to the Office of Finance (571) 272-6500.**

## Best Practices

**Prosecution Tips**
**Proofread claims for clarity and precision**
**Present all cogent arguments and evidence before final rejection**
**If the examiner is believed to be ignoring a claim limitation, a personal or telephonic interview may facilitate the prosecution to completion. **

## Best Practices

**Prosecution Tips (cont’d)**
**Don’t initiate a response on the absolute last day of the statutory period, if possible.**
**Don’t personally attack the Examiner in a response to Office Action.**
**Follow the chain of command for assistance****: **
**First, call the Examiner. **
**If he or she is non-responsive or unavailable, contact the Supervisor.**
**If the issue is still not resolved, contact the Technology Center Director. **

## Further Information

**USPTO Useful Web Links - ****http://www.uspto.gov**
**Helpful Web Pages:**
**Notices, Recent Patent-Related – a very current list of all Federal Register, Official Gazette and pre-Official Gazette notices, and certain Office memoranda: ****http://www.uspto.gov/web/offices/pac/dapp/ogsheet.html**
**Forms Page – current USPTO forms available for use by the Public: ****http://www.uspto.gov/web/forms/index.html**
**Manual of Patent Examining Procedure (MPEP): ****http://www.uspto.gov/web/offices/pac/mpep/mpep.htm**

## Further Information

**USPTO Useful Web Links (cont’d)**
**Mailing Addresses and Mail Stops: ****http://www.uspto.gov/web/offices/com/sol/og/patboxs.htm**
**Facsimile Numbers: ****http://www.uspto.gov/web/offices/com/sol/og/2005/week42/patcorr.htm**
**USPTO Glossary: ****http://www.uspto.gov/main/glossary/index.html**