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Office of Initial Patent Examination (OIPE). Pre-exam Process Open & Sort Assign SN Post Fees (RAM) Prepare for Scanning & Validate Post Card Security.

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Presentation on theme: "Office of Initial Patent Examination (OIPE). Pre-exam Process Open & Sort Assign SN Post Fees (RAM) Prepare for Scanning & Validate Post Card Security."— Presentation transcript:

1 Office of Initial Patent Examination (OIPE)

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

3 Non Provisional Application Days to Mail Filing Receipt January - June 2001 Within 30 Days Days Days Days Days Days More Than 180 Days 10.5% 47.1% 21.1% 9.9% 7.3% 2.3% 1.8%

4 Provisional Application Days to Mail Filing Receipt January - June 2001 Within 30 Days Days Days Days Days Days More Than 180 Days 0.6% 6.0% 33.6% 43.0% 12.1% 3.5% 1.2%

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

6 18 Month Publication zPublication of utility and plant applications as filed after 18 months from earliest effective filing date zMay request early publication zMay provide assignment for publication zApplications must be ready for publication

7 Specification Requirements zLeft 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 zA4 (21cm x 29.7 cm) or 8-1/2"x 11" zTypewriter or mechanically printed zLine spacing 1-1/2 or double-spaced zA verified English translation

8 Specification Requirements zClaim or claims must commence on a separate sheet zAbstract must commence on a separate sheet zAn abstract must not exceed 150 words zTitle must not exceed 500 characters zFigures not permitted in specification

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

10 Corrected Application Papers zIncorrect margins – 16.4% zAbstract missing – 1.1% zAbstract exceeds 150 words – 0.6% zAbstract not on separate sheet – 0.4% zClaims not on separate sheet – 0.8%

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

12 OIPE REQUIREMENTS zRaw Sequence Listing submitted on Computer Readable Format (CRF) (CFR 1.821(e)) zMay use the CRF from a previously filed application (37 CFR 1.821(e)) zPaper or Compact Disc copy of Sequence Listing (37 CFR 1.821(c)) zStatement indicating that both the Raw Sequence Listing (CRF) and paper or CD copy are the same (37 CFR )

13 Computer Readable Copy zMay be the original CRF of the instant application or the CRF from a previously filed application under 37 CRF 1.821(e) zOIPE refers to this as a Transfer Request

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

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

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

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

18 Some Examples of RSL Error Report Problems zNucleotide/amino acid sequences wrapped to the next line of the RSL zIncorrect line length (max. 72 characters) zMisaligned amino acid numbering zSkipped or missing sequences zCorrupted Files

19 OIPE Formalities Review zCheck for the presence of nucleotide/amino acid sequences in the following documents: zPreliminary Amendment zSpecification zClaims zDrawing figures

20 Sequence ID Numbers zThe 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 zReview STIC analysis of CRF zVerify the presence of a Sequence Listing zCheck for statement (under 37 CFR 1.821) that both the CRF and paper or CD copy of Sequence Listing are the same zCompare header information of the RSL and Sequence Listing – verify that both are the same

22 RLS/Sequence Listing Comparison zHeader information checked: z Names of Inventors z Title of Invention z Attorney Docket Number z Number of Sequences

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

24 Sequences – Compliance Not Required zBranched Sequences Ala Leu Asp Arg I Glu Tyr Trp

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

26 Compact Disc (CD) Submissions zParts of application can now be filed on compact disc (CD) in lieu of paper, effective September 8, 2000, under 37 CFR 1.52(e) zLarge tables over 50 pages (37 CFR 1.58) zComputer program listings (37 CFR 1.96) zNucleotide and/or Amino Acid Sequences (37 CFR )

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


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