P101 Introduction to the USPTO EFS

Technical Specifications for Patent Drawings - Manual of Patent Examining Procedures (MPEP)

Views required-MPEP- 37 CFR 1.81, 1.84 h 1,2,2i,2ii,3,4,5, 5i, 5j

Source: USPTO- www.uspto.gov/web/offices/pac/doc/general/drawing.htm

Patent Drawings submitted to the USPTO must include as many views as necessary to show the invention. Since one drawing of an object is not usually sufficient to show all the important features, several drawings are typically necessary to illustrate an object from different angles. Plan (illustrating the top view), elevation (illustrating the height), section or perspective views can be used. Drawings should be arranged on the page upright and conserving space while remaining clearly separate. The most common of these views are: front side, rear side, left side, right side, top side and bottom side views, in which the viewer's gaze is centered on the side illustrated.

Perspective- Perspective views are illustrated in such a way as to present an object as it would be seen in everyday life, with a sense of depth. The same 6 views: front, rear, left, right, top and bottom given above can be used as perspective views, showing the object angled slightly away form the viewer. Variations of perspective views are exploded views, which display parts of an object disassembled and spread apart in space to show features that would otherwise be hidden. Another perspective variation is called a sectional view, in which part of the object is cut away to reveal the interior makeup.

Objectives:

3D solid models- 3D solid models can be created using Computer Animated Drawing (CAD) programs, assembled in cyberspace and can be moved and manipulated more freely than an actual model. With just one 3D model, many different views can be generated and printed out as 2D drawings.

3D surface models:

2D views- 2D drawings do not illustrate depth, and when created in a computer drawing program are simply mechanized versions of drawings done on paper.

Intanglio and relief:

Artistic and creative use of line.

Graphical Symbols- MPEP- 37 CFR 1.84 n:

Graphical symbols such as flowcharts and electrical schematics can be included in patent drawings as long as they are easily understood and clearly identified in the specification. 2D CAD programs can be used to generate graphical symbols that are easily recognizable and can be assembled into drawings.

Flow charts:

Flow charts can be included in the drawing set for a patent application when they are necessary to show processes, movement and/or progression. Typically used to illustrate manufacturing methods or computer programs.

Drawing Requirements:

Types: (MPEP- 37 CFR 1.81, 1.84a 1 &a2)

Formal and Informal- MPEP- 37 CFR 1.84, (informal) 608.02 (b), 37 CFR 1.85

Formal drawings are those that comply with the specifications outlined by the USPTO Manual for Patent Examining Procedure section 37 CFR 1.84. Informal drawings are those that do not comply with the USPTO's specifications and, if submitted, will considered by a Draftsperson for examination purposes only.

Engineering Drawings:

Utility Patents Details- (MPEP- 1502.01, 35 U.S.C. 101)

Source: www.uspto.gov/web/offices/pac/utility/utility.htm

There are two types of utility patent applications- provisional and non-provisional. The most common patent granted by the USPTO is a non-provisional utility patent. A utility patent application must include a written specification describing the invention and the manner and process of using and making it in such a way as to be understood and acted upon by anyone skilled in science or art. Drawings are usually necessary to properly illustrate an invention, and an application that requires drawings must include enough different views to show the invention completely.

Views Required: (pg. 10 of 15 (USPTO))

An application must contain enough views- arranged to save space- to divulge the invention fully. They should be grouped, preferably upright, separately on the page. Plan, elevation, section or perspective views may be used. Important features of the invention should be numbered for referencing within the specification.

Prior Art: (MPEP- 608.02 (g))

Figures showing prior art are usually unnecessary, but should be included when needed for an understanding of the invention.

Features: ( pg. 5 of 15)

Parts Behind Transparent Surfaces: ( pg. 11 of 15 )

Functional Parts:

Surface Markings: (pg. 12 of 15)

Shading is used to indicate the surface or shape of different elements of the invention. Surface shading can indicate curve or depth and is especially relevant in perspective drawings.

Unclaimed Environment: (pg. 6 of 15)

Unclaimed areas of an invention, that are not part of the patent but are necessary to the drawings for understanding, are usually indicated by their being drawn with broken lines.

Claimed:

Design Patents

Details: (MPEP- 1500, 1501, 1502, 1503, 1503.01)

Source: www.uspto.gov/web/offices/pac/design/definition.html

A design patent is geared specifically to protecting the ornamental appearance of an invention and, to do so, relies heavily on the inclusion of a number of highly detailed and specific drawings. Design patents cover only the appearance and surface ornamentation of an object and must accurately show the object's shape, proportions, contours and its material properties and/or textures. Design patent applications consist of the following elements: 1) Preamble stating the name of the applicant, title of the design and a brief description of its nature and intended use. 2) Description of the drawings 3) Feature description 4) A single claim 5) Drawings 6) Executed oath or declaration

Views Required (MPEP-1503.02 I, and pg. 6 of 9)

A design patent application must contain drawings illustrating completely all sides and/or views of the claimed object. Typically a full disclosure of the object's appearance requires at least six views: front, back, right, left, top and bottom. Although not required, perspective views are suggested to give a more clear description of the object's appearance. Duplicate views (if right and left look exactly the same) need not be included.

Prior Art: (MPEP- 1503.01 IID, 37 CFR 1.71, 608.02 (g) 6.36.01)

Source: www.uspto.gov/web/offices/pac/design/design.html

Features (MPEP- 1503.02, 37 CFR 1.152, 1503.01 II D)

Design patents must illustrate all features of the invention that are visible during normal use.

Parts Behind Transparent Surfaces: (MPEP- 1503.02 III, 15.50)

Source: www.uspto.gov/web/offices/pac/design/definition.html (Pg. 7 of 9)

Parts that can be seen through transparent surfaces should be drawn with solid lines slightly thinner than the drawing's other lines to distinguish it.

Scenarios:

Functional Parts : (MPEP- 1504.01 © I, II)

Functional parts that are not visible during an invention's “normal use” need not be included in the illustrations of a design patent application.

Surface Markings: (MPEP- 1503.02 II, 15.49 )

Markings on the surface of a claimed object- such as labels or logos- must be illustrated in continuous lines. These markings will be considered as part of the patented invention and consideration should be given as to whether they are an integral part of the device.

Unclaimed Environment: (1503.02 III, 15.50)

Source: www.uspto.gov/web/offices/pac/design/definition.html (pg. 7-8 of 9)

Unclaimed elements of a design are illustrated using broken lines and are included for illustrative purposes only if necessary to show how the object is used.

Claimed Embodiments: ( MPEP- 1503.03, 37 CFR 1.153)

The claimed design illustrated in a design patent application should be shown using solid lines.

Alternate Embodiments: ( Color- MPEP- 1503.02, 37 CFR 1.152 (2), 15.05.041)

Source: www.uspto.gov/web/offices/pac/design/definition.html (pg. 9 of 9)

While color drawings can be considered as formal drawings if the proper application for such consideration is filed, color schemes particular to the object are normally illustrated using specified hatch patterns. The same sort of hatch patterns are used to illustrate different materials the object may be made of (metal, wood, ceramic, etc). If a design patent application contains this type of hatching in its illustrations, it must be explained as such in the description.

Materials: (see above.)

Line Styles: (MPEP- 1503.02 II, III)

Source: www.uspto.gov/web/offices/pac/design/definition.html (pg. 7 of 9)

Most design patent applications are illustrated in black and white and, as such, require the use of different line styles to clearly disclose the claimed object. Edge lines of the drawing should be continuous lines of about .2 to .3 mm thick. Environmental structures and surface markings should be dashed or phantom lines. Shading on opaque surfaces should be shown using parallel continuous lines, broken lines or dots (stippling) about .1 to .2 mm thick. Transparent or translucent surfaces should be illustrated using parallel continuous lines about .1 to .2 mm thick. Sectional views containing hatch lines should be shown as continuous, parallel, straight, slanted lines about .1 mm thick.

Photographs: (MPEP- 1503.02 V., 15.05.03, 15.05.041, 15.45)

Source: www.uspto.gov/web/offices/pac/design/definition.html (pg.8 of 9)

Photographs may be considered as formal illustrations of a claimed object only if granted permission by the USPTO under petition 37 CFR 1.84(b)(1). High-quality black and white photos may be used if they fully disclose all the elements and views of an object with no ambiguity. Color photos can also be petitioned for, but are usually considered as informal drawings.

Paper and Margins: (MPEP- 608.02, 37 CFR 1.84 e,f,g )

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 2 of 7)

Drawings should be submitted on one side only of white, strong, nonshiny paper that is free from creases and folds. The paper should be 21.0 cm by 29.7, or 8.5 by 11 inches. Top and left margins should be at least 2.5 cm (1 inch), right margin should be at least 1.5 cm (5/8 inch) and bottom margin at least 1.0 cm (3/8 inch).

Mediums: (MPEP)

Formal utility or design patent drawings can be black and white lines drawings, black and white photographs or color drawings/photographs.

Arrangement of Views: ( MPEP- 608.02, 37 CFR 1.84 h 1,h2 h2i, h2ii, h3, I)

Drawings should be arranged on the page to save space but also remain clearly defined. Illustrations should be arranged upright in respect to the top of the page.

Reference Numerals: (MPEP- 608.02, 37 CFR 1.84 p, p1, p2, p3, p4, p5)

All figures in a utility patent should be numbered using consecutive Arabic numerals, beginning on the first page.

Lead Lines: (MPEP- 608.02, 37 CFR 1.84 q)

In a utility patent application, reference numerals must be clearly identified with the part they are referencing by the use of lead lines which extend from the surface of the object to close to the number itself.

Arrows: (MPEP- 608.02, 37 CFR 1.84 r, r1, r2, r3 )

Arrows can be used as long as their meaning is clear, either as an indicator at the end of a line, to show several parts labeled with the same number, or to show direction of movement.

Line Styles: ( MPEP- 608.02, 37 CFR 1.84 l )

Solid lines are used for shading and to show the edge of an object. Dashed lines are used to illustrate hidden parts. Any part of a design patent drawing that is necessary to show, but is not part of the invention should be drawn with phantom (dash-dot-dot-dash) lines. Lastly, projected (dash-dot-dash) lines should be used to show how parts of an object fit together.

Character of Lines: (MPEP- 608.02, 37 CFR 1.84 l)

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 4 of 7)

Excepting color drawings, all lines in a drawing must be black and of a thickness allowing photocopies to be made without loss of detail.

Descriptive Legend: (MPEP- 608.02, 37 CFR 1.84 (o))

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 5 of 7)

A legend describing elements of a drawing, when necessary, should contain as few words as possible. Legends may also be used as elements of flow charts.

Scale: (MPEP- 608.02, 37 CFR 1.84 (k) (k1), (k2), (k3))

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 4 of 7)

The object illustrated should be shown as the same size in different figures and, if a larger view of a certain element is needed, that should be drawn separately and labeled as such. The scale of an object should be large enough that the details are easily comprehensible and, if it is reduced to 2/3 size for reproduction, the lines will not crowd each other.

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 6 of 7)

If applying for a patent on an object that is already copyrighted, the copyright notice should be included below the copyrighted design, within the margins of the drawing. The lettering for this notice should be between .32 and .64 cm (1/8 to ¼ inches) high. The same rules apply for mask work, a particular category of copyright.

Security Markings: (MPEP- 608.02, 37 CFR 1.84 (v) )

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 6 of 7)

Certain authorized security markings may be placed outside the sight (margins) of a drawing, in the center of the upper margin.

Corrections: ( MPEP- 608.02, 37 CFR 1.84 (w))

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 6 of 7)

Any corrections to drawings should be durable and permanent, either using erasure or masking fluid such as White Out.

Prohibited Elements: (MPEP- )

There are 10 elements that should not appear on patent drawings: 1) Any indication regarding the scale of the figures, as the USPTO often reduces the size of drawings when printing them out, making such indications inaccurate. 2) Expressions or illustrations of profanity or violent imagery, except as is necessary for the patent. 3) Trademarks, unless you are able to prove a proprietary interest in the mark.4) Anything obviously irrelevant and unnecessary to the drawing. 5) Descriptive legends- text labeling certain parts- except where absolutely necessary, as in a flowchart. 6) Center lines illustrating the center of circular parts 7) Brackets or circles around reference numbers. 8) Any lines connecting separate figures, unless those lines indicate electrical waveforms. 9) Solid black shading, unless used in a bar graph, or to indicate black color in an object that contains color as a distinguishing feature. 10) Figures or artwork covered by copyright, unless you can prove a proprietary interest in the copyright.

Identification Information: (MPEP- 608.02 37 CFR 1.84 (c))

Source: www.uspto.gov/web/offices/pac/doc/general/drawing.htm (pg. 2 of 7)

Although identification information on drawings is optional, it may be a good idea to provide such info on the back of drawings in case they become separated from the rest of the application. Such info should include 1) the title of the invention 2) the name of the inventor 3) application serial number and 4) group art unit. This info should be put lightly on the back of drawings, so as not to show through.

The last 2 pieces of info will not be known until the patent is applied for, and are only relevant to be included with corrected drawings.

ELECTRONIC FILING SYSTEM

Source: www.uspto.gov/ebc/efs/downloads/documents.htm

All info from USPTO @ - www.uspto.gov/ebc/efs/downloads/documents.htm

The Electronic Filing System (EFS) is a service offered by the USPTO to provide patent applicants and practitioners with software capabilities and technical guidance to author patent application information electronically for its submission to the USPTO via the Internet. EFS is made up of two software elements: 1) authoring software that is in compliance with USPTO business rules and electronic data capture standards and 2) submission software that organizes, validates, compresses and submits securely the electronic application files and information. The free and preferred authoring software provided by the USPTO is a tool known as PASAT (Patent Application Specification Authoring Tool). PASAT utilizes the MS-Word environment to author the specification document. A WordPerfect XML Specification Template is also made available for authoring. The software provided by the USPTO for submission formatting is called the Electronic Packaging and Validation Engine, or ePAVE. After a successful transmission, ePAVE returns an acknowledgment receipt including the date the USPTO received the application and an assigned patent application number.

System requirements for filing with EFS:

Minimum:

Pentium Processor: 233 MHz

Memory: 64 MB RAM

Screen Display: 800x 600

Browser: Internet Explorer 5.0

Plug-in: TIFF Viewer Plug-In

Free Hard Disk Space: 42 Megabytes

Internet Connection: 56 Kbps or faster modem

Operating System: Windows 95/98/2000 with Service Release 1 or higher/

NT 4.0 (Service Pack 3 or later)

Applications: Microsoft Word 97/2000 including Office Assistant for PASAT

OR WordPerfect 9 (Service Pack 2 or higher) for the WordPerfect XML Template

OR Graphics package (for TIFF image formatting)

Up-to-date Printer Driver(s)

MDAC 2.1

Scanner: Capable of producing black and white TIFF images at 300 dpi: non-compressed or group IV compression

Recommended for Best Results :

Pentium Processor: 266 MHZ or higher

Memory: 128 MB RAM

Screen Display: 1024 x 768 or higher

Browser: Internet Explorer 5.5

Plug-in: Alterna TIFF Plug-In v 1.3.5

TIFF Files:

EFS allows the submission of electronic drawing files as TIFF (Tagged Image File Format) only. TIFF is a common and widely accepted file format, and all image files- including figures and declarations, should be submitted as TIFF files. Submitted TIFF images should be 300 dpi, black and white, and should be compressed with “Group IV” compression, although EFS also accepts uncompressed TIFF images. TIFF images are a common file output on many graphics programs and Imaging- the Windows accessory program- will produce TIFF images in Group IV compression. The USPTO is exploring the idea of accepting a wider range of file formats, including ChemDraw and Mathematica.

Formatting:

Formatting patent applications to EFS specifications is made easier by the free, assisted software programs provided by the USPTO for this purpose. The tools provided by the USPTO for authoring interact with Microsoft Word and WordPerfect environments. Of the two authoring tools provided by the USPTO- PASAT and WordPerfect XML- PASAT is recommended for its additional functionality.

Patent Application Specification Authoring Tool (PASAT) is an authoring tool used in conjunction with EFS to author electronic (XML) versions of specifications, complying with USPTO specifications, with little or no previous XML knowledge. The environment of PASAT is a familiar Microsoft Word 97 or 2000 setup with a slightly modified interface to create a Specification.

For any users not utilizing Microsoft Word, the Word Perfect XML Template is an alternative authoring tool. The WordPerfect template is used to author electronic versions of the Specification in XML format.

Submission:

Electronic Filing System EFS

Table of Contents

What is a patent?

What can be patented?

Copyrights

P101a Electronic Filing System

P102 Understanding and preparing Design Patents graphics