Source: https://www.uspto.gov./patents-getting-started/patent-basics/types-patent-applications/nonprovisional-utility-patent
Timestamp: 2019-06-17 08:46:22
Document Index: 629829237

Matched Legal Cases: ['§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 1', '§ 601', '§ 1', '§ 1', '§ 1', '§1']

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A nonprovisional utility patent application can be filed with the USPTO through the Office's electronic filing system called EFS-Web, delivery by U.S. mail, or hand delivery to the Office in Alexandria, Virginia. By far, most patent applications filed at the USPTO are utility applications. Effective November 15, 2011, any regular nonprovisional utility application filed by mail or hand-delivery will require payment of an additional $400 fee called the "non-electronic filing fee," which is reduced by 50 percent to $200 for applicants that qualify for small entity status under 37 CFR § 1.27(a) or micro entity status under 37 CFR 1.29(a) or (d). The only way to avoid paying the additional $400 non-electronic filing fee is by filing the nonprovisional utility application via EFS-Web. (The non-electronic filing fee does not apply to reissue, design, plant, or provisional applications.) EFS-Web is a Web-based patent application and document submission system in which anyone with a Web-enabled computer can file patent applications without downloading special software or changing document preparation tools and processes. More information is available at www.uspto.gov/patents/process/file/efs/index.jsp.. Full technical support for EFS-Web is available through the Patent Electronic Business Center by calling 866-217-9197 from 6 a.m. to 12 midnight Eastern Time, Monday through Friday, except federal holidays.
A nonprovisional utility patent application must include a specification, including a description and a claim or claims; drawings, when necessary; an oath or declaration; and the prescribed filing, search, and examination fees.
EFS-Web accepts electronic documents formatted in Portable Document Format (PDF). The specification (description and claims) can be created using a word processing program such as Microsoft® Word or Corel® WordPerfect. The document containing the specification can normally be converted into PDF format by the word processing program and can be included as an attachment when filing the application via EFS-Web. Other application documents, such as drawings and a hand-signed declaration, may have to be scanned as a PDF file for filing via EFS-Web.
Each document can be created in a PDF format for filing via EFS-Web must have a top margin of at least 2 cm (3/4 inch), a left-side margin of at least 2.5 cm (1 inch), a right-side margin of at least 2 cm (3/4 inch) and a bottom margin of at least 2 cm (3/4 inch). The application pages must be numbered consecutively (centrally located above or below the text) starting with page one. In addition, the PDF document size should be 8.5 inch by 11 inch (standard size) or 21 centimeter by 29.7 centimeter (DIN size A4). The specification, including the abstract and claims, must have lines that are 1.5 or double-spaced in a single column of text. The text must be a nonscript font (e.g., Arial, Times Roman, or Courier), preferably with a font size of 12. Handwritten text scanned into PDF format is not acceptable.
You can electronically submit the required filing, search, and examination fees using a credit card or electronic funds transfer. For example, when filing your patent application online via EFS-Web, it is better to pay these fees online when filing the application via EFS-Web rather than later, because any filing, search, or examination fee paid on a date later than the patent application filing date requires a late surcharge of $160 ($80 for small entity applicants and $40 for micro entity applicants). The late surcharge will also be owed if you file the required oath or declaration on a date later than the application filing date, so it is best to ensure that the required fees and the oath or declaration are included with the specification (including claims) and drawings filed via EFS-Web. You can also file your nonprovisional utility application in paper by mail or by hand-delivery; however, this will cost you an additional non-electronic filing fee of $400 ($200 for small and micro entities) on top of the regular filing, search, and examination fees. If you file in paper anyway, the Fee Transmittal Form (Form PTO/SB/17) may be used to calculate the prescribed filing, examination, and search fees, any excess claim fees or application size fee, and indicate the method of payment (by check, money order, USPTO deposit account, or credit card).
Micro Entity Status: Applicant must determine that micro entity status under 37 CFR § 1.29(a) or (d) is appropriate before filing the required certification of micro entity status and paying a fee at the 75 percent micro entity discount. The patent forms Web page is indexed under the Forms, Patents section on the USPTO website. There are two USPTO micro entity certification forms, namely form PTO/SB/15A for certifying micro entity status on the "gross income basis" under 37 CFR § 1.29(a), and form PTO/SB/15B for certifying micro entity status on the "institution of higher education basis" under 37 CFR § 1.29(d). Because the certifications that must be made in order to be considered a micro entity are rather detailed, it is strongly recommended that the appropriate USPTO micro entity certification form be used to certify qualification for micro entity status.
Effective November 15, 2011, any regular nonprovisional utility application filed by mail or hand-delivery will require payment of an additional $400 fee called the "non-electronic filing fee," which is reduced by 50 percent (to $200) for applicants that qualify for small entity status under 37 CFR § 1.27(a) or micro entity status under 37 CFR § 1.29(a) or (d). The only way to avoid having to pay the additional $400 non-electronic filing fee is by filing the regular nonprovisional utility application via EFS-Web.
Submission of an application data sheet (ADS) should be routine for all nonprovisional applications and is required in certain instances. For example, for applications filed on or after September 16, 2012, any domestic benefit claim(s) and any foreign priority claim(s) must be made in an ADS within four months from filing or 16 months from the filing date of the prior-filed application, whichever is later. See 37 CFR § 1.78 for information about domestic benefit claims and 37 CFR § 1.55 for information about foreign priority claims. Form PTO/AIA/14 is the USPTO's ADS form for filing utility applications. See 37 CFR § 1.76 and MPEP § 601.05 for more information.
An oath or declaration is a formal statement that must be made by the inventor in a non-provisional application, including utility, design, plant and reissue applications. Either form PTO/AIA/01 or PTO/AIA/08 may be used to make the required declaration in a utility application. It is preferred that applicants use form PTO/AIA/01, which must be filed together with an application data sheet. Each inventor must sign an oath or declaration that includes certain statements required by law and the USPTO rules, including the statement that he or she believes himself or herself to be the original inventor or an original joint inventor of a claimed invention in the application, and the statement that the application was made or authorized to be made by him or her. See 35 U.S.C 115 and 37 CFR § 1.63. An oath must be sworn to by the inventor before a notary public. A declaration may be submitted in lieu of an oath. A declaration does not need to be notarized. Oaths or declarations are required for design, plant, utility, and reissue applications. In addition to the required statements, the oath or declaration must set forth the legal name of the inventor and, if not provided in an application data sheet, the inventor's mailing address and residence. In lieu of an oath or declaration, a substitute statement may be signed by the applicant with respect to an inventor who is deceased, legally incapacitated, cannot be found or reached after diligent effort, or has refused to execute the oath or declaration. Joint inventors who are the applicant may sign a substitute statement for an inventor who cannot be found or reached after diligent effort or has refused to execute the oath or declaration. However, joint inventors cannot sign a substitute statement for an inventor who is deceased or legally incapacitated. A legal representative of the deceased or legally incapacitated inventor or the assignee who is the applicant may sign a substitute statement for a deceased or legally incapacitated inventor. The assignee (or party to whom the inventor is obligated to assign the invention) who is the applicant may sign a substitute statement for an inventor who is deceased, legally incapacitated, cannot be found or reached after diligent effort, or has refused to execute the oath or declaration. Form PTO/AIA/02 is the USPTO's substitute statement form for filing utility applications in these situations. When filing a continuing application, a copy of the oath or declaration filed in the earlier application may be used provided that it complies with the rules in effect for the continuing application (i.e., the rules that apply to applications filed on or after September 16, 2012). The oath or declaration must be personally signed by the inventor, either with a handwritten signature (i.e., pen applied to paper) or an "S-signature" (a typed name or electronic image of a handwritten signature inserted between forward slashes on the signature line). Each inventor's legal name is required.
Patent correspondence filed in a nonprovisional utility application after the application filing date (known as "follow-on" correspondence) can still be filed by mail or hand-delivery without incurring the $400 non-electronic filing fee. You do not have to be a registered eFiler to file a patent application via EFS-Web; however, unregistered eFilers are not permitted to file follow-on correspondence via EFS-Web. Follow-on correspondence filed by anyone other than an EFS-Web registered eFiler must be sent by mail or be hand-delivered. In the event you receive from the USPTO a "Notice of Incomplete Application" in response to your EFS-Web filing stating that an application number has been assigned but no filing date has been granted, you must become a registered eFiler and file your reply to the "Notice of Incomplete Application" via EFS-Web in order to avoid the $400 non-electronic filing fee. To become a registered eFiler and have the ability to file follow-on correspondence, please consult the information at www.uspto.gov/patents/process/file/efs/guidance/register.jsp or call the Electronic Business Center at 866-217-9197.
Pursuant to 35 U.S.C. 21 and 37 CFR § 1.10, any correspondence received by the USPTO (including an application filing) that was delivered via "Priority Mail Express Post Office to Addressee" service of the United States Postal Service (USPS) will be considered filed in the Office on the date of deposit with the USPS. The date of deposit with the USPS is shown by the "date-in" or "date accepted" on the mailing label or other official USPS notation. If the USPS deposit date cannot be determined, the correspondence will be accorded the Office receipt date as the filing date. Before depositing an application with the USPS in accordance with the Priority Mail Express procedure set forth at 37 CFR § 1.10, it is important to place the number of the mailing label on the application papers. Further, only one application should be mailed in a single Priority Mail Express package.
Black and white drawings are normally required. India ink, or its equivalent that secures black solid lines, must be used for drawings. For nonprovisional utility applications, the "sheets" of drawings should be contained in an electronic document in PDF format filed via EFS-Web together with the other application documents in PDF format. Drawings made by hand should be scanned into PDF format for filing via EFS-Web. The following margins are required:
Chemical or mathematical formulas, tables, computer program listings, and waveforms may be submitted as drawings and are subject to the same requirements as drawings. Each chemical or mathematical formula must be labeled as a separate figure, using brackets when necessary, to show that information is properly integrated. With regard to electrical signals, each group of waveforms must be presented as a single figure using a common vertical axis and time extending along the horizontal axis. Each individual waveform discussed in the specification must be identified with a separate letter designation adjacent to the vertical axis. These may be placed in a landscape orientation if they cannot be presented satisfactorily in a portrait orientation. Characters used in such formulas and tables must meet the requirements set forth in 37 CFR §1.58(c).
This page is owned by Inventor Resources. Published on: Jan 31, 2018 11:24 AM EST	Last Modified: Jan 31, 2018 11:25 AM EST