Table of ContentsIntroduction INonprovisional Utility Patent. 2

Filing Options 2Application Requirements 2

Utility Patent Application Transmittll Form or Transmittal Letter 3Fee Transmittal Form and Appropriate Fees 3Application Data Sheet " 3Specification 4Drawings (when necessary) 6Oath Or Declaration 6Sequence Listing (when necessary) 7

Obtaining Receipt for Documents Mailed to USPTO 8Drawing Requirements 10

Identification of Draw.ings 10Graphic Forms in Drawings 10Paper 11Views 11Arrangement of Views 12Front Page View 12Scale 13Character of Lines, Numbers, and Letters 13Shading 13Symbols 13Legends 13Numbers, Letters, and Reference Characters 13Lead Lines and Arrows 14Cop}Tight or Mask Work Notice 14Numbering of Sheets of Drawings and Views 14Security 1'vlarkings 15Corrections 15Holes 15

Patent and Trademark Depository Ljbraty (PTDL) Program 16

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A Guide to Filing a Utility Patent Application

IntroductionThe United States Patent and Trademark Office (USPTO or Office) is the government agency responsiblefor examining patent applications and issuing patents. A patent is a type of property right. It gives thepatent holder the right, for a limited time, to exclude others from making, using, offering to sell, selling, orimporting into the United States the subject matter that is within the scope of protection granted by thepatent. The USPTO detennines whether a patent should be granted in a particular case. However, it is upto the patent holder to enforce his or her own rights if the USPTO does grant a patent.

The purpose of this guide is to provide you with basic information about filing a utility patent application.A patent application is a complex legal document, best prepared by one trained to prepare suchdocuments. Thus, after reviewing this guide, you may wish to consult with a registered patent attorney oragent. Additional infonnation is available:

by calling the USPTO's Contact Center at 800-PTO-9199 (800-786-9199) or 571-272-1000,

from the USPTO's web site at urww.uspto.gov, and

at your nearest Patent and Trademark Depository Library (PTDL).You will find infonnation on PTDLs at the end of this guide.

There are three types of patents - utility, design, and plant and there are two types of utility and plantpatent applications - provisional and nonprovisional. A provisional application is a guick and inexpensiveway for inventors to establish a U.S. filing date for their invention which can be claimed in a later filednonprovisional application. A provisional application is automatically abandoned twelve months after itsfiling date and is not examined. A nonprovisional application is examined by a patent examiner, and maybe issued as a patent if all the requirements for patentability are met. Each year the USPTO receivesapproximately 400,000 patent applications. Most of the applications filed with the USPTO are fornonprovisional utility patents.

This guide contains infomution to assist you in filing your nonprovisional utility patent application. Itspecifies the reguired parts of the utility patent application and identifies some of the forms you may use(which are available on the USPTO's web site at www.uspto.gov).This information is generally derivedfrom patent laws and regulations found at Title 35 of the United States Code (U.S.c.), and Title 37 of theCode of Federal Regulations (CFR). These materials, as well as the JvlantJa! ifPatent Examining Procedtffrf

(MPEP), are available at the USPTO's web site at www.uspto.gov, at PTDLs, and at most law libraries.

Please contact USPTO's Contact Center, the USPTO's web site, or a PTDL if you have questions about:

• other types of patent applications,

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locating a patent attorney or agent,

obtaining the most up-to-date Fee Schedule, or

obtaining copies of other USPTO publications.

N onprovisional Utility Patent

Filing OptionsA nonprovisional utility patent application can be fIled with the USPTO through the Office's electronicfiling system called EFS-Web, delivery by U. S. mail, or hand delivery to the Office in Alexandria, Virginia.EFS-Web is a web-based patent application and document submission system in which anyone with aweb-enabled computer can ftle patent applications and documents without downloading special softwareor changing document prepa~tion tools and processes. Full technical support for EFS-Wcb is availablethrough the Patent Electronic Business Center (BBC) at 866-217-9197 from 6 a.m. to 12 midnight EasternStandard Time (EST), Monday through Friday, except Federal holidays. For more information on EFS­Web, see the USPTO website at www.uspto.gov.

Application RequirementsA nonprovisional utility patent application must be in the Engltsh language or be accompanied by atranslation in the English language, a statement that the translation is accurate and a fee set forth in 37CFR §1.17 (D. If an applicant ftles a non-provisional utility application in a language other than Englishwithout a translation or statement, the Applicant will be given a notice and time period for submitting atranslation of the application and a statement that the translation is accurate.

AU papers which will become part of the pennanent records of the USPTO must be typewritten orproduced by a mechanical (or computer) printer. The text must be in permanent black ink or itsequivalent; on a single side of the paper; in portrait orientation; on white paper that is all of the same size,flexible, strong, smooth, oonshiny, durable, and without holes. All text matter should be in at least 12point font and each letter must be clear and distinct. The paper size must be either:

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21.6 em. by 27.9 em. (8 1/2 by 11 inches), or

21.0 em. by 29.7 em. (DIN size A4).

There must be a left margin of at least 2.5 em. (1 inch) and top, right, and bottom margins of at least 2.0em. (3/4 inch). Drawing page requirements are discussed separately below.

A nonprovisional utility patent application must include a specification, including a claim or claims;drawings, when necessary; an oath or declaration; and the prescribed filing, search, and examination fees.A complete nonprovisional utility patent application should contain the elements listed below, arranged inthe order shown. Description of these elements are provided in the following sections:

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Utility Patent Application Transmittal Form or Transmittal Letter,

Fee Transmittal Form and Appropriate Fees,

Application Data Sheet (see 37 CFR §1.76),

Specification (wirh at least one claim),

Drawings (when necessary),

Executed Oath or Declaration,

Nucleotide and I or Amino Acid Sequence Listing (when necessary), and

Large Tables or Computer Listings (when necessary).

Utility Patent Application Transmittal Form or Transmittal LetterA Utility Patent Application Transmittal Form (Form PTO/SB/OS) or a transmittal letter should be fIledwith every patent application to identify the items being flIed (e.g., specification, claims, drawings,declaration, information disclosure statement). The form identifies the applicant(s), the type of application,the title of the invention, the contents of the application, and any accompanying enclosures. (FormPTO/SB/21 should be used for aU correspondence after initial filing.)

Fee Transmittal Form and Appropriate FeesThe 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 ofpayment (by check, money order, deposit account, or credit card). The amount is dependent on thenumber of sheets of paper in the specification and drawings, the number and type of claims presented, andwhether or not a written assertion of small entity status is provided.

The filing, search, and examination fees for a patent application should be submitted with the applicationand must be made payable to the "Director of the United States Patent and Trademark Office" if paid bycheck or money order. If an application is flied without the fees, the applicant will be notified and requiredto submit the fees within the time period set in the notice. If the basic filing fee was not paid at the time offlling the application or an executed oath or declaration was not included, a surcharge is also required forlate acceptance of the basic flling fee or the oath or declaration. Fees are subject to change and theapplicant should consult the current Fee Schedule before filing.

Please note that two sets of fees exist, one for small entities and one for other than small entities. If youqualify as a small entity for patent fee purposes, no special form is required to claim your entitlement toreduced fees (you may check a special box on the transmittal form), but you should only pay small entityrates after ensuring that you qualify for the small entity status. For example, if the inventors have notassigned any right~ in the invention set forth in the application and are not under any obligation to do so(as may be required in an employment contract), small entity status may be appropriate. See 37 CPR §1.27and :MPEP §509.02 for more information.

Application Data SheetThe application data sheet or sheets are voluntarily submitted in either provisional or nonprovisionalapplications with bibliographic data arranged in a format specified by the USPTO. Specific bibliographicdata includes applicant information, correspondence information, application information, representativeinfonnation, domestic priority information, foreign priority information and assignment information. See37 CFR §1.76 and MPEP §601.0S for more information.

Supplemental application data sheets may be subsequently provided prior to payment of the issue fee to

either correct or update information in a previously submitted application data sheet, or an oath ordeclaration under title 37 CFR §1.63 or 1.67. However, certain information cannot be changed by simplyfiling a supplemental application data sheet. For example, changes to the named inventors must complyw-ith the requirements of 37 CPR §1.48, correspondence address changes must comply with therequirements of 37 CFR §1.33(a), and changes to an inventor's citizenship must comply with therequirements of 37 CFR §1.63 or 1.67. Supplemental application data sheets must be titled "SupplementalApplication Data Sheet," include all of [he section headings listed in 37 CPR 1.76(b) and all appropriatedata for each section heading, and must identify the information that is being changed, preferably withunderlining for insertions, and strike-through or brackets for text removed.

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SpecificationThe specification is a written description of the invention and of the manner and process of making andusing the invention that concludes with the claims to the invention, which must begin on a new page. Thespecification must be in such full, clear, concise, and exact terms as to enable any person skilled in the artor science to whjeh the invention penains to make and use the same.

Computer program listings may be submitted as part of the specification as set forth in 37 CFR 1.96(b)and (c). Other th~\n in a reissue application or reexamination proceeding, the pages of the specification (butnot the ttansmittalletter sheets or other fOnTIs), including claims and abstract, must be numberedconsecutively, starting with 1, the numbers being centrally located above or preferably below, the text. Thelines of the specification must be 1.5 or double spaced (lines of text nor comprising the specification neednot be 1.5 or double spaced). Ir is desirable to include an indenration at the beginning of each newparagraph, and for paragraphs to be numbered (i.e., [0001], [0002], r0003], etc.).

It is preferable to use ~Il of the section headings described below to represcnr the parts of thespecification. Section headings should use upper case text wimour underlining or bold type. If the sectioncontains no text, me phrase "Not Applicable" should follow the section heading.

Title of InventionThe title of the invention (or an introductory portion stati.ng the name, citizenship, residence of eachapplicant, and the title of the invention) should appear as the heading on rhe first page of the specification.Although a tide may have up to 500 characters, the title must be as shorr and specific as possible.

Cross-Reference to Related ApplicationsAny nonprovisional utility parent application claiming the benefit of one or more prior filed copendingnonprovisional applications (or international applications designating the United States of America) under3S USC §§120, 121 or 365(c), or to a provisional patent application under 3S USC §119(e) must comain inthe firsr senrence(s) of the specification following the title, a reference to each such prior application,identifying it by the application number or international application number and international filing date,and inilicating the relationship of the applications, or include the reference to the earlier application in anapplication data sheet under 37 CFR §1.76. See 37 CFR 1.78. Cross-references to other related patentapplications may be made when appropriate.

Statement Regarding Federally Sponsored Research or DevelopmentThe application should contain a statement as to rights ro inventions made under federally sponsoredresearch and development (if any). See MPEP §310 for more information.

Reference to Sequence Listing, a Table, or a Computer Program Listing CompactDisc AppendixAny material submitted separately on a compacr di~c musr be refetenccd in the specification. The onlymaterial accepted on compact disc are computer program listings, gene se<'luence listings, and tables ofinformation. All such information submitted on compact disc must be in compliance with 37 CPR§1.52(e), and the specification must contain a reference to the compact disc and its contents. The contentsof compact disc files must be in standard ASCII character and ftle formats. The toral number of compactdiscs including duplicates and the files on each compact disc must be specified in the specification.

If a computer program listing is submitted and is over 300 lines long (each line of up to 72 characters), thecomputer program listing must be submitted on a compact disc in compliance with 37 CFR §1.96, and thespecification must contain a reference to the computer program listing appendix. A computer programlisting of 300 or less lines may be, bur is Dol required to be, submitted on compact disc. The computerprogram listing on compact disc will not be printed with any patent or patent applica.tion publication.

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If a gene sequence listing is to be submitted, the sequence may be provided on a compact disc incompliance with 37 erR §§1.821-1.825, in lieu of submission on paper, and the specification must comaina reference to the gene sequence listing on compact disc.

If a table of data is submitted, and the table would occupy more U1an 50 pages if submitted on paper, thetable can be submitted on a compact disc in compliance with 37 CFR §1.58, and the specification mustcomain a reference to the table on compact disc. The data in the table must properly align visually with theassociated rows and columns.

Background of the InventionThis section should include a statement of the FJeld of endeavor to which the invention pertains. Thissection may also include a paraphrasing of the applicable U.S. patent classification definitions or thesubjecr matter of the cla..imed invention.

This section should also contain a description of informacion known to you, including references tospecific documents, which are reJated to your invention. It should contain, if applicable, references to

specific problems involved in the prior art (or state of technology) which your invention is drawn toward.See MPEP 608.01 (c) for more information.

Brief Summary of the InventionThis section should preseot the substance or general idea of the claimed invention in summarized form.The summary may point out the advantages of the invention and how it solves previously existingproblems, preferably those problems identified in the Background of the Invention section. A stMementof the object of the invention may also be included. See MPEP 608.01 (d) for more information.

Brief Description of the Several Views of the DrawingWhere there are drawings, you must include a bsting of aU figures by number (e.g., Figure 1A) and withcorresponding statements explaining what each figure depicts.

Detailed Description of the InventionIn this section, the invention must be explained along with the process of making and using the inventionin full, clear, concise, and exact terms. This section should distinguish the invention from other inventionsand from what is old and describe completely the process, machine, manufacture, composition of matter,or improvement invented. In the case of an improvement, the description should be confined to thespecific improvement and to the parts that necessarily cooperate with it or which are necessary tocompletely understand t.he invention.

It is required that the description be sufficient so that any person of ordinary skill in the pertinent an,science, or area could make and use the invention without extensive experimentation. The best modecontemplated by the inventor of carrying out the invention must be set forth in the description. Eachelement in the drawings should be mentioned in the description. In the past, this section was entitled"Description of the Preferred Embodiment." See NfPEP 608.01 (g) for more information.

Claim or Claims

The claim or claims must particularly point out and distinctly claim the subject matter which the inventoror inventors regard as the invention. The claims define the scope of the protecrion of the patem. \'V'hethera patent will be granted is determined, in large measure, by the scope of the claims.

A nonprovisional application for a utility patent must conta..in at least one claim. The claim or claimssection must begin on a separate physical sheet or electronic page. If there are several claims, they shall benumbered consecutively in Arabic numerals.

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One or more claims may be presented In dependent form, referring back to and further limitillg anotherclaim or claims in the same application. All dependent claims should be grouped together widl the claim orclaims to which they refer to the extent practicable. Any dependent claim that refers to more than oneother claim ("a multiple dependent claim") shall refer to such other claims in the alternative only. Eachclaim should be a single sentence, and where a claim sets forth a number of elements or steps, eachelement or step of the claim should be separated by a line indentation.

The fee required to be submitted with a nonprovisional utility patent application is, in part, determined bythe nwnber of claims, independent claims, and total claims.

Abstract of the DisclosureThe purpose of the abstract is to enable the USPTO and the public to determine quickly the nature of thetechnical disclosures of your invention. The abstract points out what is new in the art to which yOUTinvention pertains. It should be in narrative form and generally limited to a single paragraph, and it mustbegin on a separate page. An abstract should not be longer man 150 words. See MPEP 608.01 (b) for moteinformation.

Drawings (when necessary)A patent application is required to contain drawings, if drawings are necessary to understand the subjectmatter to be patented. The drawings must show every feature of the invention as specified in the claims.Omission of drawings may cause an application to be considered incomplete. Please see the detailedDrawing Requirements section.

Oath Or DeclarationForms PTO/SB/Ol, PTO/SB/01A, PTO/SB/02, PTO/SB/02LR, PTO/SB/03, fYfO/SB/03a,PTO/SB/04, PTO/SB/51, and PTO/SB/SIS are made available by the Office for an applicant's usc.Oaths or declarations are required for applications involving designs, plants, and utility inventions and forreissue applications, with PTO/SB/03 and PTO/SB/03a for plant applications and PTO/SB/51 andPTO/SB/51s for reissue applications. Each inventor must make an oath or declaration that he/shebelieves himself/herself to be me original and first inventor of the subject matter of the application, andhe/she must make various other statements required by law and various statements required by theUSPTO rules. If an application data sheet is filed, the USPTO rules require fewer SQtements in the oath ordeclaration. See Title 37, Code of Federal Regulations, Sections 1.63 and 1.76. The oath must be sworn toby d1e inventor before a notary public 01' other officer authorized to administer oaths. A declaration maybe used in lieu of an oath. A declaration does not require any witness or person to administer or verify itssigning. Thus, use of a declaration is preferable. When filing a continuation or divisional application, acopy of an earlier-med oath or declaration from the parent application may be acceptable. The oath ordeclaration must be signed by me inventor in person, or by the person entitled by law to make applicationon the inventor's behalf. A full first and last name with middle initial or name, if any, and the citizenship ofeach inventor are required. The mailing address of each inventor and foreign priority information (if any)is also required if an application data sheet is not used.

Any oath or declaration must be in a language the inventor understands. If the oath or declaration used isin a language other than English, and is nOt in a form provided by the United States Patent and TrademarkOffice or provided in accordance with Patent Cooperation Treaty (peT) Rule 4. 17(iv), an Englishtranslation together with a statement that d1e translation is accurate is required. The USPTO providesforms PTO/SB/l01-110, which are declaration forms in certain foreign languages with an Englishtranslation, for an applicant's use.

If the person making the oath or declaration is not the lnventor, the oad1 or declaration shall state therelationship of that person to the inventor, upon information and belief, the facts which the inventor

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would have been required to state, and the circumstances which render the inventor unable to sign, namelydeath, insanity or legal incapacity or unavailability/refusal to sign. (See 37 CFR §§1.42, 1.43, and 1.47.) Ifthe invencor has refused or cannot be reached to sign the declaration, then a petition under 37 CFR §1.47is required, and if there are inventors who have signed the oath or declaration, then the remaininginventors must sign the oath or declaration on behalf of the non-signing inventor. If the sole or all of theinventors has not signed the oath or declaration, then the oath or declaration must be signed by the partyshowing proprietary interest in the application, as shown in the petition under 37 CFR §1.47(b). If theinventor has died or is legally incapacitated, then the legal representative of the deceased or incapacitatedinventor must sign the oath or declaration on behalf of the inventor.

Sequence Listing (when necessary)This section, for the disclosure of a nucleotide and/or amino acid sequence, should contain a listing of thesequence complying with 37 CFR §1.821 through 37 CFR §1.825 and may be in paper or electronic form.

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Obtaining a Receipt for Documents Mailed to the USPTOA receipt for documents mailed or hand delivered to the USPTO can be obtained by attaching a stamped,self-addressed postcard to the first page of the documents. The postcard should contain a detailed list thMidentifies each type of document and the number of pages of each document. Upon receipt at the USPTO,the detailed list on the postcard will be compared to the actual contents of the delivery. Any discrepanciesbetween the detailed list and the actual contents will be noted on the postcard. The postcard will beinitialed and date stamped by the person who reviewed the application in the Office of Initial PatentExamination. The postcard will be returned by mail to the addressee whose name appears 00 the postcard.

The returned postcard serves as evidence of receipt in the USPTO of all items listed on the postcard,unless otherwise noted by the USPTO on the postcard. That is, if the postcard receipt has been annotatedto indicate that a particular paper was not received, the postcard receipt will not serve as evidence ofreceipt of that paper in the USPTO. Likewise, the postcard receipt \,vill not serve as evidence of receipt ofpapers which are not adequately itemized.

When preparing the detailed list of documents identified on the postcard, it is important to include ,hefollowing identifying infonnacion:

• the application number Of known),

• the confIrmation number (jf known),

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the filing date of the application (if known),

the title of tl1e invention, and

• the name of the inventor or inventors.

The postcard should also include a detailed list of every document type and the number of pages of eachdocument that are included in tl1e delivery. If the postcard is submitted with a patent application, thedetailed listing should include the following items:

• the title and number of pages of each USPTO fonn,

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the number of pages of specification (excluding claims),

the number of claims and the number of claim pages,

the number of figures of drawing and the number of sheets of drawings,

whether an oath or declaration statement is included and the number of pages,

the type and number of other documents that are included and the number of pages of eachdocument, and

• the amount of payment and the method of payment (i.e., check, credit card, money order, ordeposit account).

It is important that the postcard itemizes each component of the application. For example, a generalstatement such as "complete application" or "patent application" or "drawings" will not show that each ofthe required components of an application was included if one of the items is later found to be missing bythe USPTO.

When the self-addressed postcard is submirred with a utility patent application, the USPTO will stamp thepostcard being returned to the addressee with both the receipt date and the application number beforeplacing it in the outgoing mail.

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Upon receipt of the returned postcard, the addressee should ptomptly review the postcard to ensure thatall documents and aU pages were received by the USPTO.

Pursuant to 35 U.s.c. 21 and 37 CFR §1.10, any correspondence received by [he USPTO (including anapplication filing) that was delivered by the "Express Mail Post Office to Addressee" service of the UnitedSrares Postal Service (USPS) will be considered filed in the Office on the dare of deposit with the USPS.The date of deposit with the USPS is shown by the "date-in" on the "Express .Mail" mailing label Of otherofficial USPS notation. If the USPS deposit date cannot be determined, however, the correspondence willbe accorded the Office receipt date as the filing date. Before depositing an application with the USPS inaccordance with the "Express Ivfail" procedure set forth at 37 CPR §1.10, it is imponant to place thenumber of the "Express Mail" maiJjng label on the application papers. Further, only one applicationshould be mailed 10 a single "Expre% Mail" package.

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Drawing RequirementsInformacion on drawing requirements is based substantially on 37 CFR §1.84. There are two acceptablecategories for presenting drawings in utility patent applications: black ink (black and white) and color.

Black and white drawings are normally required. Inclia ink, or its equivalent that secures black solid lines,must be used for drawings, Drawings made by computer printer should be originals, not photocopies.

On rare occasions, color drawings may be necessary as the only practical medium by which the subjectmatter sought to be patented in a utility patent application is disclosed. The USPTO wiU accept colordrawings in utility patent applications and statutory invention registrations only after granting a petitionexplaining why the color drawings are necessary. Any such petition must include:

the appropriate fee set forth in 37 CFR §1.17(h).

three sets of color dra'\Nmgs, and

the foUowing language as the first paragraph in that portion of the specification relating to theBrief Description of the Several Views of the Drawing. If the language is not in thespecification, an amendment to insert the language must accompany the petition,

"The patent or application fIle contains at least one drawing executed incolor. Copies of this patent or patent application publication with colordra\l;ring(s) will be provided by the Office upon request and payment of the

J: "necessary ree.

Photographs are nor ordinarily permitted in utility patent applications. The USPTO will accept black andwhite photographs in utility patent applications in applications in which the invention is not capable ofbeing illustrated in an ink drawing or where the invention is shown mOre dearly in a photograph. ForeX3mple, photographs or photomicrographs of electrophoresis gels, blots (e.g., immunological, western,southern, and northern), autoradiographs, cell cultures (stained and unstained), histological tissue ccosssections (stained and unstained), animals, pL1.Ots, in vivo irrul.ging, thin layer chromatography plates,crystalline structures, and ornamental effects continue to be acceptable. Only one set of black and whitephotographs is required. Furthermore, no petition or additional processing fee is required.

[)hotographs have the same sheet size requirements as other drawings. The photographs must be ofsufficient quality so that all details in the drawing are reproducible in the printed patent or any patentapplication publication.

Color photographs will be accepted in utility patent applications if the conditions for accepting colordrawings have been satisfied.

Identification ofDrawingsfdemifying indicia, jf provided, should include the title of the invention, the inventor's name, theapplication nwnber (if known), and docket number (if any). This information must be placed within thetop margin of each sheet of drawings. The name and telephone number of a person to call if the USPTOis unable to match the drawings to the proper application may also be provided.

Graphic Forms in DrawingsChemical or mathematical formulas, ~bles, computer program listings, and waveforms may be subnuttedas drawings and are subject to the same reCjuirements as drawings. Each chemical or mathematical formulamust be labeled as a separate figure, using brackets when necessary, to show that information is properlyintegrated. Each group of waveforms must be presented as a single figure, using a common vertical axiswith time extending along the horizontal axis. Each individual waveform discussed in the specification

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must be identified with a separate letter designation adjacent to the vertical axis. These may be placed in alandscape orientation if they cannot be presented satisfactorily in a portrait orientation. Typewrittencharacters used in such formulas and tables must meet the requirements set forth in 37 CFR §1.S8(c).

PaperDrawings submitted to the USPTO must be made on paper which is flexible, strong, white, smooth,nonshiny, and durable. All sheets must be free from cracks, creases, and folds. Only one side of rhe sheetshall be used for the drawing. Each sheet must be reasonably free from erasures and must be free fromalterations, overwriting-s, and interlincations.

All drawings sheets, including sheets containing photographs, in an application must be rhe same size. Oneof the shotter sides of (he sheet is regarded as its top. The size of the sheets on which drawings are mademust be:

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21.6 em. by 27.9 cm. (8 1/2 by 11 inches), or

21.0 em. by 29.7 cm. (DIN size A4) .

The sheets must not contain frames around the sighc (the usable surface), but should have scan targetpoints (cross hairs) printed on two cater-corner margin corners. The following margins are required:

• On 21.6 cm. by 27.9 em. (8 1/2 by 11 inch) drawing sheets, each sheet must include a top marginof at least 2.5 em. (1 inch), a left side margin of at least 2.5 cm. (1 inch), a right side margin of atleast 1.5 em. (5/8 inch), and a bottom margin of at least 1.0 em. (3/8 inch) from the edges, therebyleaving a sight no greater than 17.6 em. by 24.4 em. (6 15/16 by 9 5/8 inches).

• On 21.0 em. by 29.7 em. (DIN size A4) drawing sheets, each sheet must include a top margin of atleast 2.5 em. (1 inch), a left side margin of at least 2.5 em. (l inch), a right side margin of at least 1.5em (5/8 inch), and a bottom margin of at least 1.0 em. (3/8 inch) from the edges, thereby leaving asight no greater than 17.0 em. by 26.2 em.

ViewsThe drawing muse contain as many views as necessary to show the invention. The views may be plan,elevation, section, or perspective views. Detailed views of portions of elements, on a larger scale ifnecessary, may also be used. AJJ views of the drawing must be grouped together and arranged on thesheet(s) without wasting space, preferably in an upright position, cleady separated from one another, andmust not be included in the sheen; containing the specifications, claims, or abstracL Views must not beconnected by projection lines and must not contain center lines. Waveforms of electrical signals may beconnected by dashed lines to show the rdative timing of the waveforms.

Exploded ViewsExploded views, wim che separated parts embraced by a bracket, to show the relationship or order ofassembly of various parts ate permissible. When an exploded view is shown in a figure which is on thesame sheet as another tigure, the exploded view should be placed in brackets.

Partial Views\X!hen necessary, a view of a large machine or device in its entirety may be broken into partial views on asingle sheet, Of extended over several sheecs if there is no loss in facility of understanding the vie"v. Partialviews drawn on separate sheets must always be capable of being linked edge to edge so that no partial viewcontains parts of another partial view. A smaller scale view should be included showing the whole fonnedby the partial views and indicating the positions of tI,e parts shown. When a portion of a view is enlargedfor magnification purposes, the view and rhe enlarged view must each be labeled as separate views.

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Where views on two or more sheets form, io effec~ a single complete view, the views 00 the several sheetsmust be so arranged that the complete figure can be assembled withom cooce::lliog any part of any of theviews appearing on the various sheets.

A very long view may be divided into several parts placed one above the other on a single sheet. However,the rdationshjp between the different parts must be cleat and unambiguous.

Sectional ViewsThe plane upon which a sectional view is taken should be indicated by a broken line on the vicw fromwhich the section is cut. The ends of the broken line should be designated by Arabic or Roman numc.t'alscorresponding to the view number of the sectional view, and should have arrmvs to indicate the directionof sight. Hatching must be:: used to indicate section portions of an object, and must be made by regularlyspaced oblique paraUellines spaced sufficiently apart CO enable the lines to be distinguished withoutdifficulty. Hatching should not impede the clear reacling of the reference characters and lead lines. If it isnot possible to place reference characters outside the hatched area, the hatching may be broken offwherever reference characters are inserted. Hatching must be at a substantial angle to the surrounding a.'(esor principal lines, preferably 45°.

A cross section must be set out and drawn to show all of the materials as they are shown in the view fromwhich the cross section was taken. The parts in cross section must show proper material(s) by hatching'A.1th regularly spaced paraUd oblique strokes; the space between strokes being chosen on the basis of therotaJ area to be hatched. The various parts of a cross section of the same item should be harched in thesame manner and should accurately and graphically indicate the nature of the matedal(s) illustrated in c.rosssectlon.

Thc hatching of juxtaposed different elements must be angled in a different way. In the case of large areas,hatching may be confined to an edging drawn around the entire inside of the outline of the area to behatched. Different types of harching should have different conventional meanings as regards the nature ofa ffi::lterial seen in cross section.

Alternate PositionA moved position may be shown by a broken line superimposed upon a suitable view if this can be donewithout crowding; othcl'vise, a separate view must be used for this pmpose.

Modified FormsMoclified forms of construction must be shown in separate views.

Arrangement ofViewsOne view must not be placed upon another or within the outline of anorher. All views on the same sheetshould stand in the same direction and, if possible, stand so that they can be read with the sheet heJd in anupright position. If "iews wider than the width of the sheet are necessary for the dearest illustration of thejnven60n, the sheet may be turned on its side so that the top of the sheet is on the rigbt-hand side, withthe appropriate tOp margin used as the heading space. Words must appear in a horizontal, left-to-rightfashion when the page is either upright or turned so that the top becomes the right side, except for graphsutili7-ing standard scientific convention to denote d1C axis of abscissas

(of X) and the axis of ordinates (ofY).

Front Page ViewOne of the views should be suitable for inclusion on the front page of the patent application publicationand patent as the illustration of the invention.

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ScaleThe scale to which a drawing is made must be large enough to show the mechanism without crowdingwhen the drawing is reduced in size to [Wo-thirds in reproduction. Indications such as "actual size" or"scale 1/2" are not pennitted on the drawings since these lose their meaning '..vith reproduction in adifferent format.

Character ofLines, Numbers, and LettersAll drawings must be made by a process which will give them satisfactory reptoduction characteristics.Every tine, number, and letter must be durable, clean, black (except for color drawings), sufficiently denseand dark, and uniformly thick and well-defined. The weight of allunes and letters must be heavy enoughto permit adequate reproduction. This requirement applies to all lines however fine, to shading, and tolines representing cut surfaces in sectional views. Lines and strokes of different thicknesses may be used inthe same drawing where different thicknesses have a different meaning.

ShadingThe use of shading in views is encouraged if it aids in understanding the invention and if it does notreduce legibility. Shading is used to indicate the surface or shape of spherical, cyl,indrical, and conicalelements of an object. Flat parts may aJso be lighd)T shaded. Such shading is preferred in the case of partsshown in perspective, bm not for cross sections. See discussion of sectional views above. Spaced lines forshading are preferred. These lines must be thin, as few in number as practicable, and they must contrastwith the rest of the drawings. As a substitute for shading, heavy lines on the shade side of objects can beused except where they superimpose on each other or obscure reference characters. Light should comefrom the upper left corner at an angle of 45°. Surface delineations should preferably be shown by propershading. Solid black shading areas are not permitted, except when used to represent bar graphs or color.

SymbolsGraphical drawing symbols may be used for conventional elements when appropriate. The elements forwhich such symbols and labeled representations arc used must be adequately identified in the specification.Known devices should be illustrated by symbols which have a universally recognized conventionalmeaning and afe generaUy accepted in the art. Other symbols which are not universally recognized may beused, subject to approval by the USPTO, if they are not likely to be confused with existing conventionalsymbols, and if they are reacWy identifiable.

LegendsSuitable descriptive legends may be used, or may be reguired by the examiner, where necessary forunderstanding of the drawing, subject to approval by the USPTO. They should contain as few words aspossible.

Numbers, Letters, and Reference CharactersThe English alphabet must be used for letters, except where another alphabet is customarily used, such asthe Greek alphabet to indicate angles, wavelengths, and mathematical formulas.

Reference characters (numerals are preferred), sheet numbers, and view numbers must be plain and legible,and must not be used in association with brackets or inverted commas, or enclosed within outlines(encircled). They must be oriented in the same direction as the view to avoid having to rotate the sheet.Reference characters should be arranged to follow the pro6.1e of the object depicted.

Numbers, letters, and reference characters must measure at least 0.32 em. (1/8 inch) in height. Theyshould not be placed in the drawing in a way tbat interferes with its comprehension. TIH::refore, theyshould not cross or mingle wid1 the Jines. They should not be placed upon hatched or shaded surfaces.

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When necessary, to indicate a surface or cross section, a reference character may be underlined and a blankspace may be left in the hatching or shading where the character occurs so that it appears distinct.

The same part of an invention appearing in more than one view of the drawing mUSt always be designatedby the same reference character, and the same rderence charaerer muse never be used to designatedifferent parts.

Reference characters not mentioned .in the description shall not appear in the drawings. Referencecharacters mentioned in the description must appear in the drawings.

Lead Lines and ArrowsLead lines are those lines between the reference characters and the details to which they refer. Such linesmay be straight or curved and should be as short as possible. They must originate in the immediateproximity of the reference character and extend to the feature indicated. Lead lines must not cross eachother. Lead lines are required for each reference character except for those which indicate the surface orcross section on which they are placed. Such a reference character must be underlined to make it clear thata lead I.ine has not been left out by mistake. Lead lines must be executed in the same way as lines in thedrawing.

Arrows may be used at the ends of lines as follows, provided that their meaning is clear::

•

•

•

on a lead Line, a freestanding arrow is used to indicate the entire section toward which it points,

on a lead line, an arrow touching a line is used to indicate the surface shown by the line lookingalong the direction of the arrow, or

to show the direction of movement.

Copyright or Mask Work NoticeA copyright or mask work notice may appear in the drawing, but it must be placed with.in the sight of thedrawing immediately below the figure representing the copyright or mask work material and be limited toletters having a print size of 0.12 em. to 0.64 em. (1/8 to 1/4 inches) [Ugh. The content of the notice mustbe Limited to only those elements provided for by law. For example, "©1983 John Doe" (17 U.S.c. 401)and H*M* John Doe" (17 U.S.c. (09) would be properly limited and, under current statutes, legallysufficient notices of copyright and mask work, respectively. Inclusion of a copyright or mask work noticewill be permitted only if the authorization language set forth in 37 CPR §1.71(e) is included at thebeginning (preferably as the first paragraph) of the specification.

Numbering ofSheets ofDrawings and ViewsThe sheets of drawings should be numbered in consecutive Arabic numerals, starting with 1, within thesight (the usable surface). These numbers, if present, must be placed in the middle of the top of the sheet,bur not in the margin. The numbers can be placed on the right-hand side jf the drawing extends too closeto the middle of the top edge of the usable surface. The drawing sheet numbering must be clear and larger(han the numbers used as reference characters to avoid confusion. The number of each sheet should beshown by two Arabic numerals placed on either side of an oblique line, with the fust being the sheetnumber and the second being the total number of sheets of drawings, with no other marking.

The different views must be numbered in consecutive Arabic numerals, starting with -I, independent of thenumbering of the sheets and,.if possible, in the order in which they appear on the drawing sheet(s). Partialviews intended to form one complete view, on onc or several sheets, must be identified by the samenumber followed by a capital letter. View numbers must be preceded by the abbreviation "FIG". Whereonly a single view is used in an application to illustrate the claimed invention, it must not be numbered andthe abbreviation "FIG." must not appear.

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Numbers and letters identifying the views must be simple and clear and must not be llsed in associationwith brackets, circles, or inverted commas. The view numbers must be larger than the numbers used forreference characters.

Security MarkingsAuthorized security markings may be placed on the drawings provided they are outside the sight,preferably centered in the top margin.

CorrectionsAny corrections on drawings submitred to the USPTO must be durable and permanent.

HolesNo holes should be made by the applicant in the drawing sheets. Rather than use of a staple, a non-holeproducing binder clip should be used.

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Patent and Trademark Depository Library (PTDL) ProgramThe Patent and Trademark Depository Library Program is comprised of a network of Patent andTrademark Depository Libraries (PTDLs) located in the SO states, the District of Columbia, and PuertoRico which provide access to many of the same products and services offered at the USPTO searchfacilities in Alexandria, VA. The scope of PTDL collections, hours of operation, services, and fees (whereapplicable) vary depending on PTDL location. Users are advised to call ahead to determine products andservices available at a particular PTDL. PTDLs also offer automated access to patent and trademarkinformation. Please refer to the USPTO's web site for a complete list of PTDLs atwww.uspto.gov/go/ptdl/.

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