What is non-provisional patent?
The following
is direct from the uspto guidelines for a non-provisional patent.
· A Introduction
The United States Patent and Trademark Office (USPTO or Office) is the
government agency responsible for examining patent applications and
issuing patents. A patent is a type of property right. It gives the
patent holder the right, for a limited time, to exclude others from
making, using, offering to sell, selling, or importing into the United
States the subject matter that is within the scope of protection granted
by the patent. The USPTO determines whether a patent should be granted
in a particular case. However, it is up to 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 such documents.
Thus, after reviewing this guide, you may wish to consult with a registered
patent attorney or agent. Additional information is available:
" by calling the USPTO's General Information Services Division
at 800-PTO-9199 or 703-308-4357,
" from the USPTO's Web site at www.uspto.gov, and
" at your nearest Patent and Trademark Depository Library (PTDL).
You will find information on PTDLs at the end of this guide.
There are various types of patents-utility, design, and plant. There
are also two types of utility and plant patent applications-provisional
and nonprovisional. Each year the USPTO receives approximately 350,000
patent applications. Most of these are for nonprovisional utility patents.
This guide contains information to assist you in filing your nonprovisional
utility patent application. It discusses the required parts of the utility
patent application and identifies some of the forms you may use (which
are available on the USPTO's Web site www.uspto.gov). This information
is generally derived from patent laws and regulations, found at Title
35 of the United States Code (U.S.C.), and Title 37 of the Code of Federal
Regulations (CFR). These materials, as well as the Manual of Patent
Examining Procedure, are available at the USPTO's Web site ,PTDLs, and
at most law libraries.
If you have questions about:
" other types of patent applications,
" locating a patent attorney or agent,
" obtaining the most up-to-date Fee Schedule, or
" obtaining copies of other USPTO publications,
please contact General Information Services Division, the USPTO's Web
site, or a PTDL.
Nonprovisional Utility Patent
Application Requirements
A nonprovisional utility patent application must be in the English language
or be accompanied by a translation in the English language, a statement
that the translation is accurate and a fee set forth in 37 CFR §1.17(i).
All papers which are to become part of the permanent records of the
USPTO must be typewritten or produced by a mechanical (or computer)
printer. The text must be in permanent black ink or its equivalent;
on a single side of the paper; in portrait orientation; on white paper
that is all of the same size, flexible, strong, smooth, nonshiny, durable,
and without holes. The paper size must be either:
" 21.6 cm. by 27.9 cm. (81/2 by 11 inches), or
" 21.0 cm. by 29.7 cm. (DIN size A4).
There must be a left margin of at least 2.5 cm. (1 inch) and top, right,
and bottom margins of at least 2.0 cm. (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 in the order shown.
" Utility Patent Application Transmittal Form or Transmittal Letter
" Fee Transmittal Form and Appropriate Fees
" Application Data Sheet (see 37 CFR § 1.76)
" Specification (with at least one claim)
" Drawings (when necessary)
" Executed Oath or Declaration
" Nucleotide and/or Amino Acid Sequence Listing (when necessary)
These elements are further described as follows:
Utility Patent Application Transmittal Form or Transmittal
Letter
A Utility Patent Application Transmittal Form (Form PTO/SB/05) or
a transmittal letter should be filed with every patent application
to instruct the USPTO as to what actual types of papers are being
filed (e.g., specification, claims, drawings, declaration, information
disclosure statement). It identifies the name of the applicant, the
type of application, the title of the invention, the contents of the
application, and any accompanying enclosures. (Form PTO/SB/21 is to
be used for all correspondence after initial filing.)
Fee Transmittal Form and Appropriate Fees
The Fee Transmittal Form (Form PTO/SB/17) may be used to calculate
the prescribed filing fees and indicate the method of payment, by
check or by credit card. The fees are dependent upon the number of
sheets of paper in the specification and drawings, the number and
type of claims presented, and whether 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 application and must be made payable
to the "Director of the United States Patent and Trademark Office"
if paid by check. If an application is filed without the fees, the
applicant will be notified and required to submit the fees within
the time period set in the notice. If the basic filing fee was not
paid at the time of filing the application, a surcharge is also required
for late acceptance of the basic filing fee. Fees are subject to change
and the applicant 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 you qualify as a small entity
for patent fee purposes, no special form is required to claim your
entitlement to reduced fees (you may check a special box on the transmittal
form), but you should only pay small entity rates after ensuring that
you qualify for the small entity discount. For example, if the inventors
have not assigned any rights 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 is appropriate.
Application Data Sheet
The application data sheet is a sheet or sheets, that may be voluntarily
submitted in either provisional or nonprovisional applications, which
contains bibliographic data, arranged in a format specified by the
USPTO. Specific bibliographic data includes applicant information,
correspondence information, application information, representative
information, domestic priority information, foreign priority information
and assignment information. (See 37 CFR § 1.76.) The sheets must
be produced according to a format provided by the USPTO and which
is downloadable to applicant's computer.
Supplemental application data sheets may be subsequently supplied
prior to payment of issue fee to either correct or update information
in a previously submitted application data sheet, or an oath or declaration
under title 37 CFR § 1.63 or 1.67. However, inventorship changes
are governed by 37 CFR § 1.48, correspondence changes are governed
by 37 CFR § 1.33(a), and citizenship changes are governed by
37 CFR § 1.63 or 1.67. Supplemental application data sheets must
be titled "Supplemental Application Data Sheet, "include
all of the section headings listed in 37 CFR 1.76(b), include all
appropriate data for each section heading and must identify the information
that is being changed, preferably with underlining for insertions,
and strike-through or brackets for text removed.
Specification
The specification is a written description of the invention and of
the manner and process of making and using the same. The specification
must be in such full, clear, concise, and exact terms as to enable
any person skilled in the art or science to which the invention pertains
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 than in a reissue application
or reexamination proceeding, the pages of the specification (but not
the transmittal letter sheets or other forms), including claims and
abstract, must be numbered consecutively, starting with 1, the numbers
being centrally located above or preferably below, the text. The lines
of the specification must be 1.5 or double spaced (lines of text not
comprising the specification need not be 1.5 or double spaced). It
is desirable to include an indentation at the beginning of each new
paragraph, and for paragraphs to be numbered ("[0001]",
"[0002]", "[0003]" etc.).
It is preferable to use all of the section headings described below
to represent the parts of the specification. Section headings should
be in upper case without underlining or bold type. If the section
contains no text, the phrase "Not Applicable" should follow
the section heading.
Title of the Invention
The title of the invention (or an introductory portion stating the
name, citizenship, residence of each applicant, and the title of the
invention) should appear as the heading on the first page of the specification.
Although a title may have up to 500 characters, the title must be
as short and specific as possible.
Cross-Reference to Related Applications
Any nonprovisional utility patent application claiming the benefit
of one or more prior filed copending nonprovisional applications (or
international applications designating the United States of America)
under 35 USC §§ 120, 121 or 365(c) must contain in the first
sentence(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 indicating the relationship of the applications, or include
the reference to the earlier application in an application data sheet
under 37 CFR § 1.76. See 37 CFR 1.78. Cross-references to other
related patent applications may be made when appropriate.
Statement Regarding Federally Sponsored Research or Development
The application should contain a statement as to rights to inventions
made under federally sponsored research and development (if any).
Reference to Sequence Listing, a Table, or a Computer Program Listing
Compact Disc Appendix
Any material submitted separately on a compact disc must be referenced
in the specification. The only disclosure material accepted on compact
disc are computer program listings, gene sequence listings and tables
of information. All such information submitted on compact disc must
be in compliance with 37 CFR § 1.52(e), and the specification
must contain a reference to the compact disc and its contents. The
contents of compact disc files must be in standard ASCII character
and file formats. The total number of compact discs including duplicates
and the files on each compact disc must be specified.
If a computer program listing is to be submitted and is over 300 lines
long (each line of up to 72 characters), the computer program listing
must be submitted on a compact disc in compliance with 37 CFR §
1.96, and the specification must contain a reference to the computer
program listing appendix. A computer program listing of 300 or less
lines may be, but is not required to be, submitted on compact disc.
The computer program listing on compact disc will not be printed with
any patent or patent application publication.
If a gene sequence listing is to be submitted, the sequence may be
submitted on a compact disc in compliance with 37 CFR §§
1.821-1.825, in lieu of submission on paper, and the specification
must contain a reference to the gene sequence listing on compact disc.
If a table of data is to be submitted, and such table would occupy
more than 50 pages if submitted on paper, the table can be submitted
on a compact disc in compliance with 37 CFR § 1.58, and the specification
must contain a reference to the table on compact disc. The data in
the table must properly align visually with the associated rows and
columns.
Background of the Invention
This section should include a statement of the field of endeavor to
which the invention pertains. This section may also include a paraphrasing
of the applicable U.S. patent Classification Definitions or the subject
matter of the claimed invention.
This section should also contain a description of information known
to you, including references to specific documents, which are related
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.
Brief Summary of the Invention
This section should present 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 existing problems, preferably
those problems identified in the BACKGROUND OF THE INVENTION. A statement
of the object of the invention may also be included.
Brief Description of the Several Views of the Drawing
Where there are drawings, you must include a listing of all figures
by number (e.g., Figure 1A) and with corresponding statements explaining
what each figure depicts.
Detailed Description of the Invention
In this section, the invention must be explained along with the process
of making and using the invention in full, clear, concise, and exact
terms. This section should distinguish the invention from other inventions
and 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 the
specific improvement and to the parts that necessarily cooperate with
it or which are necessary to completely understand the invention.
It is required that the description be sufficient so that any person
of ordinary skill in the pertinent art, science, or area could make
and use the invention without extensive experimentation. The best
mode contemplated by you of carrying out your invention must be set
forth in the description. Each element in the drawings should be mentioned
in the description. This section has often, in the past, been titled
"Description of the Preferred Embodiment."
Claim or Claims
The claim or claims must particularly point out and distinctly claim
the subject matter which you regard as the invention. The claims define
the scope of the protection of the patent. Whether a patent will be
granted is determined, in large measure, by the choice of wording
of the claims.
A nonprovisional application for a utility patent must contain at
least one claim. The claim or claims section must begin on a separate
physical sheet or electronic page. If there are several claims, they
shall be numbered consecutively in Arabic numerals.
One or more claims may be presented in dependent form, referring back
to and further limiting another claim or claims in the same application.
All dependent claims should be grouped together with the claim or
claims to which they refer to the extent practicable. Any dependent
claim that refers to more than one other claim ("a multiple dependent
claim") shall refer to such other claims in the alternative only.
Each claim should be a single sentence, and where a claim sets forth
a number of elements or steps, each element 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 by the number of claims, independent
claims, and dependent claims.
Abstract of the Disclosure
The purpose of the abstract is to enable the USPTO and the public
to determine quickly the nature of the technical disclosures of your
invention. The abstract points out what is new in the art to which
your invention pertains. It should be in narrative form and generally
limited to a single paragraph, and it must begin on a separate page.
An abstract should not be longer than 150 words.
Drawings (when necessary)
A patent application is required to contain drawings if drawings are
necessary for the understanding of the subject matter sought 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 detailed discussion of
drawing requirements.
Oath Or Declaration
Forms PTO/SB/01, PTO/SB/01A, PTO/SB/02, and PTO/SB/02LR are made available
by the Office for applicant's use. Each inventor must make an oath
or declaration that he/she believes himself/herself to be the original
and first inventor of the subject matter of the application, and he/she
must make various other statements required by law and various statements
required by the USPTO rules. If an application data sheet is filed,
the USPTO rules require fewer statements in the oath or declaration.
See title 37, Code of Federal Regulations, Sections 1.63 and 1.76.
The oath must be sworn to by the inventor before a notary public or
other officer authorized to administer oaths. A declaration may be
used in lieu of an oath. Oaths or declarations are required for applications
involving designs, plants, and utility inventions and for reissue
applications. A declaration does not require any witness or person
to administer or verify its signing. Thus, use of a declaration is
preferable. When filing a continuation or divisional application a
copy of an earlier-filed oath or declaration from the parent application
may be acceptable. The oath or declaration must be signed by the inventor
in person, or by the person entitled by law to make application on
the inventor's behalf. A full first and last name with middle initial
or name, if any, and the citizenship of each inventor are required.
The mailing address of each inventor and foreign priority information
(if any) are 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 is in a language other than English,
and is not in a form provided by the United States Patent and Trademark
Office or provided in accordance with PCT Rule 4.17 (iv), an English
translation together with a statement that the translation is accurate
is required.
If the person making the oath or declaration is not the inventor,
the oath or declaration shall state the relationship of that person
to the inventor, upon information and belief, the facts which the
inventor would have been required to state, and the circumstances
which render the inventor unable to sign, namely death, insanity or
legal incapacity or unavailability/refusal to sign. (See 37 CFR §§
1.42, 1.43, and 1.47.) If the inventor has refused or cannot be reached
to sign the declaration, then a petition under 37 CFR § 1.47
is required, and if there are inventors who have signed the oath or
declaration, then the remaining inventors must sign the oath or declaration
on behalf of the non-signing inventor. If the sole or all of the inventors
has not signed the oath or declaration, then the oath or declaration
must be signed by the party showing proprietary interest in the application,
as shown in the petition under 37 CFR § 1.47(b). If the inventor
has died or is legally incapacitated, then the legal representative
of the deceased or incapacitated inventor 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 the sequence complying with
37 CFR § 1.821 through 37 CFR § 1.825 and may be in paper
or electronic form.
Obtaining Receipt for Documents Mailed to USPTO
A receipt for documents mailed 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 that identifies 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 discrepancies between the
detailed list and the actual contents will be noted on the postcard.
The postcard will be initialed and date stamped by the person at the
USPTO who received the delivery. The postcard will be returned by
mail to the addressee whose name appears on 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 annotated
to indicate that a particular paper was not received, the postcard
receipt will not serve as evidence of receipt of that paper in the
USPTO. Likewise, the postcard receipt will not serve as evidence of
receipt of papers which are not adequately itemized.
When preparing the detailed list of documents identified on the postcard,
it is important to include the following identifying information:
" the application number (if known)
" the confirmation number (if known)
" the filing date of the application (if known)
" the title of the invention
" 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 each document that are included in
the delivery. If the postcard is submitted with a patent application,
the detailed listing should include the following items:
" the title and number of pages of each USPTO form
" 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 each document
" the amount of payment and the method of payment (i.e., check,
credit card, money order, or deposit account).
It is important that the postcard itemizes each component of the application.
For example, a general statement such as "complete application"
or "patent application" or "drawings" will not
show that each of the required components of an application was included
if one of the items is later found to be missing by the USPTO.
When the self-addressed postcard is submitted with a utility patent
application, the USPTO will stamp the postcard being returned to the
addressee with both the receipt date and the application number before
placing it in the outgoing mail.
Upon receipt of the returned postcard, the addressee should promptly
review the postcard to ensure that all documents and all pages were
received by the USPTO.
Pursuant to 35 USC 21 and 37 CFR § 1.10, any correspondence received
by the USPTO (including an application filing) that was delivered
by the "Express Mail 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" on the "Express
Mail" mailing label or other official USPS notation. If the USPS
deposit date cannot be determined, however, the correspondence will
be accorded the Office receipt date as the filing date. Before depositing
an application with the USPS in accordance with the Express Mail procedure
set forth at 37 CFR § 1.10, it is important to place the number
of the "Express Mail" mailing label on the application papers.
Further, only one application should be mailed in a single "Express
Mail" package.
Drawing Requirements
Information on drawing requirements is based substantially on 37 CFR
§ 1.84. There are two acceptable categories for presenting drawings
in utility patent applications: black ink (black and white) and color.
Black and white drawings are normally required. India 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 subject matter sought to be patented in a utility
patent application is disclosed. The USPTO will accept color drawings
in utility patent applications and statutory invention registrations
only after granting a petition explaining why the color drawings are
necessary. Any such petition must include the following:
" the appropriate fee set forth in 37 CFR §1.17(h)
" three sets of color drawings; and
" the following language as the first paragraph in that portion
of the specification relating to the BRIEF DESCRIPTION OF THE SEVERAL
VIEWS OF THE DRAWING. If the language is not in the specification,
an amendment to insert the language must accompany the petition.
"The patent or application file contains at least one drawing
executed in color. Copies of this patent or patent application publication
with color drawing(s) will be provided by the Office upon request
and payment of the necessary fee."
Photographs are not ordinarily permitted in utility patent applications.
The USPTO will accept black and white photographs in utility patent
applications only in applications in which the invention is not capable
of being illustrated in an ink drawing or where the invention is shown
more clearly in a photograph. For example, photographs or photomicrographs
of electrophoresis gels, blots (e.g., immunological, western, southern,
and northern), autoradiographs, cell cultures (stained and unstained),
histological tissue cross sections (stained and unstained), animals,
plants, in vivo imaging, thin layer chromatography plates, crystalline
structures, and ornamental effects continue to be acceptable. Only
one set of black and white photographs is required. Furthermore, no
additional processing fee is required.
Photographs have the same sheet size requirements as other drawings.
The photographs must be of sufficient quality so that all details
in the drawing are reproducible in the printed patent or any patent
application publication.
Color photographs will be accepted in utility patent applications
if the conditions for accepting color drawings and black and white
photographs have been satisfied.
Identification of Drawings
Identifying indicia, if provided, should include the title of the
invention, the inventor's name, the application number (if known),
and docket number (if any). This information should be placed on the
top margin of each sheet of drawings. The name and telephone number
of a person to call if the USPTO is unable to match the drawings to
the proper application may also be provided.
Graphic Forms in Drawings
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. Each group of waveforms
must be presented as a single figure, using a common vertical axis
with 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. Typewritten characters used in such formulas
and tables must meet the requirements set forth in 37 CFR 1.58(c).
A space at least 0.64 cm. (1/4 inch) high should be provided between
complex formulas or tables and the text.
Paper
Drawings 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 the sheet shall
be used for the drawing. Each sheet must be reasonably free from erasures
and must be free from alterations, overwritings, and interlineations.
All drawings sheets, including sheets containing photographs, in an
application must be the same size. One of the shorter sides of the
sheet is regarded as its top. The size of the sheets on which drawings
are made must be:
" 21.6 cm. by 27.9 cm. (81/2 by 11 inches), or
" 21.0 cm. by 29.7 cm. (DIN size A4).
The sheets must not contain frames around the sight (the usable surface),
but should have scan target points (cross hairs) printed on two catercorner
margin corners. The following margins are required:
" On 21.6 cm. by 27.9 cm. (81/2 by 11 inch) drawing sheets, each
sheet must include a top margin of at least 2.5 cm. (1 inch), a left
side margin of at least 2.5 cm. (1 inch), a right side margin of at
least 1.5 cm. (5/8 inch), and a bottom margin of at least 1.0 cm.
(3/8 inch) from the edges, thereby leaving a sight no greater than
17.6 cm. by 24.4 cm. (6 15/16 by 9 5/8 inches).
" On 21.0 cm. by 29.7 cm. (DIN size A4) drawing sheets, each
sheet must include a top margin of at least 2.5 cm. (1 inch), a left
side margin of at least 2.5 cm. (1 inch), a right side margin of at
least 1.5 cm (5/8 inch), and a bottom margin of at least 1.0 cm. (3/8
inch) from the edges, thereby leaving a sight no greater than 17.0
cm. by 26.2 cm.
Views
The drawing must 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 if necessary, may
also be used. All views of the drawing must be grouped together and
arranged on the sheet(s) without wasting space, preferably in an upright
position, clearly separated from one another, and must not be included
in the sheets containing the specifications, claims, or abstract.
Views must not be connected by projection lines and must not contain
center lines. Waveforms of electrical signals may be connected by
dashed lines to show the relative timing of the waveforms.
Exploded Views
Exploded views, with the separated parts embraced by a bracket, to
show the relationship or order of assembly of various parts are permissible.
When an exploded view is shown in a figure which is on the same sheet
as another figure, the exploded view should be placed in brackets.
Partial Views
When necessary, a view of a large machine or device in its entirety
may be broken into partial views on a single sheet, or extended over
several sheets if there is no loss in facility of understanding the
view. Partial views drawn on separate sheets must always be capable
of being linked edge to edge so that no partial view contains parts
of another partial view. A smaller scale view should be included showing
the whole formed by the partial views and indicating the positions
of the parts shown. When a portion of a view is enlarged for magnification
purposes, the view and the enlarged view must each be labeled as separate
views.
Where views on two or more sheets form, in effect, a single complete
view, the views on the several sheets must be so arranged that the
complete figure can be assembled without concealing any part of any
of the views 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 relationship between the
different parts must be clear and unambiguous.
Sectional Views
The plane upon which a sectional view is taken should be indicated
on the view from which the section is cut by a broken line. The ends
of the broken line should be designated by Arabic or Roman numerals
corresponding to the view number of the sectional view, and should
have arrows to indicate the direction of sight. Hatching must be used
to indicate section portions of an object, and must be made by regularly
spaced oblique parallel lines spaced sufficiently apart to enable
the lines to be distinguished without difficulty. Hatching should
not impede the clear reading of the reference characters and lead
lines. If it is not possible to place reference characters outside
the hatched area, the hatching may be broken off wherever reference
characters are inserted. Hatching must be at a substantial angle to
the surrounding axes or 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 from which the cross section was taken.
The parts in cross section must show proper material(s) by hatching
with regularly spaced parallel oblique strokes; the space between
strokes being chosen on the basis of the total area to be hatched.
The various parts of a cross section of the same item should be hatched
in the same manner and should accurately and graphically indicate
the nature of the material(s) illustrated in cross section.
The 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 be hatched. Different types of hatching should have different
conventional meanings as regards the nature of a material seen in
cross section.
Alternate Position
A moved position may be shown by a broken line superimposed upon a
suitable view if this can be done without crowding; otherwise, a separate
view must be used for this purpose.
Modified Forms
Modified forms of construction must be shown in separate views.
Arrangement of Views
One view must not be placed upon another or within the outline of
another. All views on the same sheet should stand in the same direction
and, if possible, stand so that they can be read with the sheet held
in an upright position. If views wider than the width of the sheet
are necessary for the clearest illustration of the invention, the
sheet may be turned on its side so that the top of the sheet is on
the right-hand side, with the appropriate top margin used as the heading
space. Words must appear in a horizontal, left-to-right fashion when
the page is either upright or turned so that the top becomes the right
side, except for graphs utilizing standard scientific convention to
denote the axis of abscissas (of X) and the axis of ordinates (of
Y).
Front Page View
One of the views should be suitable for inclusion on the front page
of the patent application publication and patent as the illustration
of the invention.
Scale
The scale to which a drawing is made must be large enough to show
the mechanism without crowding when the drawing is reduced in size
to two-thirds in reproduction. Indications such as "actual size"
or "scale 1/2" are not permitted on the drawings since these
lose their meaning with reproduction in a different format.
Character of Lines, Numbers, and Letters
All drawings must be made by a process which will give them satisfactory
reproduction characteristics. Every line, number, and letter must
be durable, clean, black (except for color drawings), sufficiently
dense and dark, and uniformly thick and well-defined. The weight of
all lines and letters must be heavy enough to permit adequate reproduction.
This requirement applies to all lines however fine, to shading, and
to lines representing cut surfaces in sectional views. Lines and strokes
of different thicknesses may be used in the same drawing where different
thicknesses have a different meaning.
Shading
The use of shading in views is encouraged if it aids in understanding
the invention and if it does not reduce legibility. Shading is used
to indicate the surface or shape of spherical, cylindrical, and conical
elements of an object. Flat parts may also be lightly shaded. Such
shading is preferred in the case of parts shown in perspective, but
not for cross sections. See discussion of sectional views above. Spaced
lines for shading are preferred. These lines must be thin, as few
in number as practicable, and they must contrast with the rest of
the drawings. As a substitute for shading, heavy lines on the shade
side of objects can be used except where they superimpose on each
other or obscure reference characters. Light should come from the
upper left corner at an angle of 45°. Surface delineations should
preferably be shown by proper shading. Solid black shading areas are
not permitted, except when used to represent bar graphs or color.
Symbols
Graphical drawing symbols may be used for conventional elements when
appropriate. The elements for which such symbols and labeled representations
are used must be adequately identified in the specification. Known
devices should be illustrated by symbols which have a universally
recognized conventional meaning and are generally accepted in the
art. Other symbols which are not universally recognized may be used,
subject to approval by the USPTO, if they are not likely to be confused
with existing conventional symbols, and if they are readily identifiable.
Legends
Suitable descriptive legends may be used, or may be required by the
examiner, where necessary for understanding of the drawing, subject
to approval by the USPTO. They should contain as few words as possible.
Numbers, Letters, and Reference Characters
The English alphabet must be used for letters, except where another
alphabet is customarily used, such as the 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 so as to avoid
having to rotate the sheet. Reference characters should be arranged
to follow the profile of the object depicted.
Numbers, letters, and reference characters must measure at least 0.32
cm. (1/8 inch) in height. They should not be placed in the drawing
so as to interfere with its comprehension. Therefore, they should
not cross or mingle with the lines. They should not be placed upon
hatched or shaded surfaces. When necessary, such as indicating a surface
or cross section, a reference character may be underlined and a blank
space 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 designated by the same reference character,
and the same reference character must never be used to designate different
parts.
Reference characters not mentioned in the description shall not appear
in the drawings. Reference characters mentioned in the description
must appear in the drawings.
Lead Lines and Arrows
Lead lines are those lines between the reference characters and the
details to which they refer. Such lines may be straight or curved
and should be as short as possible. They must originate in the immediate
proximity of the reference character and extend to the feature indicated.
Lead lines must not cross each other. Lead lines are required for
each reference character except for those which indicate the surface
or cross section on which they are placed. Such a reference character
must be underlined to make it clear that a lead line has not been
left out by mistake. Lead lines must be executed in the same way as
lines in the drawing.
Arrows may be used at the ends of lines, provided that their meaning
is clear, as follows:
" on a lead line, a freestanding arrow to indicate the entire
section toward which it points;
" on a lead line, an arrow touching a line to indicate the surface
shown by the line looking along the direction of the arrow; or
" to show the direction of movement.
Copyright or Mask Work Notice
A copyright or mask work notice may appear in the drawing, but must
be placed within the sight of the drawing immediately below the figure
representing the copyright or mask work material and be limited to
letters having a print size of 0.32 cm. to 0.64 cm. (1/8 to 1/4 inches)
high. The content of the notice must be limited to only those elements
provided for by law. For example, "©1983 John Doe"
(17 U.S.C. 401) and "*M* John Doe" (17 U.S.C. 909) would
be properly limited and, under current statutes, legally sufficient
notices of copyright and mask work, respectively. Inclusion of a copyright
or mask work notice will be permitted only if the authorization language
set forth in 37 CFR §1.71(e) is included at the beginning (preferably
as the first paragraph) of the specification.
Numbering of Sheets of Drawings and Views
The sheets of drawings should be numbered in consecutive Arabic numerals,
starting with 1, within the sight (the usable surface). These numbers,
if present, must be placed in the middle of the top of the sheet,
but not in the margin. The numbers can be placed on the right-hand
side if the drawing extends too close to the middle of the top edge
of the usable surface. The drawing sheet numbering must be clear and
larger than the numbers used as reference characters to avoid confusion.
The number of each sheet should be shown by two Arabic numerals placed
on either side of an oblique line, with the first being the sheet
number 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 1, independent of the numbering of the sheets and, if
possible, in the order in which they appear on the drawing sheet(s).
Partial views intended to form one complete view, on one or several
sheets, must be identified by the same number followed by a capital
letter. View numbers must be preceded by the abbreviation "FIG".
Where only a single view is used in an application to illustrate the
claimed invention, it must not be numbered and the abbreviation "FIG".
must not appear.
Numbers and letters identifying the views must be simple and clear
and must not be used in association with brackets, circles, or inverted
commas. The view numbers must be larger than the numbers used for
reference characters.
Security Markings
Authorized security markings may be placed on the drawings provided
they are outside the sight, preferably centered in the top margin.
Corrections
Any corrections on drawings submitted to the USPTO must be durable
and permanent.
Holes
No holes should be made by the applicant in the drawing sheets. Rather
than use of a staple, a non-hole producing binder clip should be used.
