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A document description is a USPTO-defined description of forms and documents that are received and processed in the USPTO. These document descriptions have corresponding document codes that are established and managed in IFW.

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Amendment
Application Part
BPAI
Change Requests
Continued Prosecution
General Transmittal
IDS/References
Office of Patent Pub
OIPE
PCT - Amendment
PCT - Application Part
PCT - Change Request
PCT- Chapter II
PCT - Form

PCT - General Transmittal
PCT - Petition
Petition
Pre-Grant Pub

Priority Documents
Reexamination
Reissue

Document Description sort by document description Category USPTO Business Process Description
AbstractAmendmentA portion of the application, as submitted by the applicant, that gives a brief overview of the disclosed invention.
Amendment - After Non-Final RejectionAmendmentAmendment filed by the applicant in response to a non-final office action issued by the Examiner based on the merits of the application.
Amendment After FinalAmendmentAmendment provided by the applicant after the Examiner closes prosecution with a final rejection. Amendment is not automatically entered by the Examiner. It will not be entered if it requires additional search or more than cursory review.
Amendment Copy Claims/Response to Suggested Claims Amendment While the claims of two or more applications may not be identical, an interference exists if they are directed to the same patentable invention. If an applicant is not claiming the same patentable invention as another applicant, the examiner may suggest a claim or claims to the first applicant, provided the intention of the parties to claim the same patentable invention as expressed in the summary of the invention or elsewhere in the disclosure or claims is present. When an examiner suggests a claim, the applicant will be required to copy verbatim as suggested. A reply to the examiner's suggestion of a claim is not complete unless it includes an amendment adding the exact claim suggested to the application.
Amendment Submitted/Entered with Filing of CPA/RCE Amendment Applicant may submit an amendment at the time of the filing of a Request for Continued Prosecution Application (CPA)
Amendment after Notice of Allowance (Rule 312)AmendmentWhen applicant files an amendment after the Notice of Allowance has been mailed but before the issue fee is paid, the amendment is not entered automatically. It may only be entered upon recommendation of a Primary Examiner. It will not be entered if it requires additional search or more than cursory review.
Amendment/Argument after BPAI DecisionAmendmentAn amendment may be filed after the decision of the Board of Patent Appeals and Interferences. If it does include any recommendation made by the Board and presents new or amended claims, in view of the fact that prosecution is closed, the appellant is not entitled to have such amendment entered automatically. However, if the amendment is submitted with a request for continued examination, the prosecution of the application will be reopened and the amendment will be entered. If the amendment obviously places an application in condition for allowance, the primary examiner, with the concurrence of the supervisory patent examiner, will have the amendment entered. Arguments may be filed after the Board's decision such as the judicial precedent or rule or statute has been rescinded or overruled.
Amendment/Argument after Notice of AppealAmendmentAn amendment may be filed at any time after final rejection, but before the jurisdiction of the case has passed to the Board of Patent Appeals and Interferences. However, after the Notice of Appeal has been filed by applicant, any amendment or argument filed by applicant is not normally entered unless the paper presented clearly places the application in condition for allowance.
Applicant Arguments or Remarks Made in an AmendmentAmendmentA reply by the applicant to an office action must request reconsideration for further examination, must distinctly and specifically point out the supposed errors in the examiner's action and must reply to every ground of objection and rejection in the prior Office action. The reply must present arguments or remarks pointing out the specific distinctions believed to render the claims, including any newly presented claims, patentable over any applied references. In the amendment in reply to a rejection of claims, applicant's arguments or remarks must clearly point out the patentable novelty which he or she thinks the claims present in view of the references cited or the objections made.
Applicant summary of interview with examiner Amendment This letter from the applicant provides the applicant's summary of an interview held with the examiner.
ClaimsAmendmentThe claim is that part of a patent application particularly pointing out and distinctly claiming the subject matter which the applicant regards as the invention or discovery.
Drawings - only black and white line drawings Amendment One or more drawings where necessary for the understanding of the subject matter sought to be patented.
Drawings-other than black and white line drawings Amendment One or more drawings where necessary for the understanding of the subject matter sought to be patented where the drawings is other than a black and white line drawing.
Preliminary AmendmentAmendmentAmendment filed by the applicant prior to the Examiner issuing an office action that is based on the merits of the application.
Request for Continued Examination (RCE)AmendmentIf prosecution in an application is closed, an applicant may request continued examination (RCE) of the application by filing a submission and the fee prior to payment of the issue fee, abandonment of the application, or the filing of a notice of appeal. A submission includes, but is not limited to, an information disclosure statement, an amendment to the written description, claims, or drawings, new arguments, or new evidence in support of patentability. The USPTO will withdraw the finality of any Office action and the submission will be entered and considered.
Request for Reconsideration of BPAI Decision Amendment The Examiner may request rehearing of the decision of the Board of Patent Appeals and Interferences. All requests by the Examiner to the Board for rehearing of a decision must be approved by the TC Director and must also be forwarded to the Office of the Deputy Commissioner for Patent Examination Policy for approval before mailing. The request should set a period of 1 month for the appellant to file a reply. After the period set for appellant to file a reply has expired, the application file will be forwarded to the Board.
Request under Rule 48 correcting inventorship.AmendmentApplicant can file a request to correct inventorship under Rule 48 at any time during prosecution of an application.
Response after Ex Parte Quayle ActionAmendmentAn Ex parte Quayle action is an Office action noting that all claims are allowable and the application is in condition for allowance except as to matters of form such as correction of the specification or a new oath. An Ex parte Quayle action closes prosecution on the merits. A proper response from the applicant to an Ex parte Quayle action is limited to correcting these matters of form.
Response to Election / Restriction FiledAmendmentRestriction is a generic term that includes the practice of requiring an election between distinct inventions, for example, election between combination and subcombination inventions, and the practice relating to an election between independent inventions, for example, an election of species. An Examiner may make a restriction requirement when an application may properly support separate patents and they are either independent or distinct. The Examiner may make this request either over the telephone, in which case the applicant's response is recorded in the next Office action, or in a separate letter making the Election or Restriction requirement. In the latter case, the applicant responds to this requirement in a separate response electing an invention or species to be examined.
Specification Amendment The written description of the invention.
Supplemental Response or Supplemental AmendmentAmendmentSupplemental Response filed by the applicant at any time during prosecution in response to a communication issued by the USPTO to address informalities, corrections to the application or to augment arguments or a prior amendment submitted.
3D Protein Crystals (Text File)Application Part"Applicants may file supplemental protein structure content in PDB-compatible text format (i.e., .txt file) to facilitate prosecution of application. "
AbstractApplication PartA portion of the application, as submitted by the applicant, that gives a brief overview of the disclosed invention.
Appendix to the SpecificationApplication PartA sequence listing table or a computer program of greater than a specified size must be submitted as an appendix to the specification and be provided on a compact disc.
Application Data SheetApplication PartThe application data sheet is a sheet voluntarily submitted in either provisional or nonprovisional applications and contains bibliographic data, arranged in a format specified by the USPTO in 37 CFR § 1.76. Supplemental application data sheets may be submitted prior to payment of the issue fee either to correct or update information in a previously submitted application data sheet.
Chemical Formulae (Text File)Application Part Applicants may file supplemental chemical content in InChI text format (i.e., .txt file) to facilitate prosecution of application.
ClaimsApplication PartThe claim is that part of a patent application particularly pointing out and distinctly claiming the subject matter which the applicant regards as the invention or discovery.
Computer Listing(Text File)Application Part Computer program listings may be submitted in patent applications when necessary for the purpose of providing the appropriate sequence of instructions, routines, and other contents of a program for a computer. If the computer program listing is sufficiently short, it may be submitted either as drawings or as part of the specification. Longer computer program listings must be submitted on a compact disc. A compact disc containing such a computer program listing is referred to as a "." The not be part of the printed patent.
Documents submitted with 371 ApplicationsApplication PartFor an international application designating the United States, to begin the national stage, an applicant files International Bureau documents including the international application, a translation if necessary, and other documents such as an international search report and a preliminary examination report.
Drawings - only black and white line drawings Application Part One or more drawings where necessary for the understanding of the subject matter sought to be patented.
Drawings-other than black and white line drawings Application Part One or more drawings where necessary for the understanding of the subject matter sought to be patented where the drawings is other than a black and white line drawing.
Mathematical Formulae (Text File) Application Part Applicants may file supplemental mathematical content in MathML text format (i.e., .txt file) to facilitate prosecution of application.
Oath or Declaration fieldApplication PartEach 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 under 37 CFR § 1.63, As set forth in 37 CFR § 1.64, the oath or declaration must be signed by all of the actual inventors except as provided for in 37 CFR §§ 1.42, 1.43, 1.47, or 1.67.
Rule 130, 131 or 132 AffidavitsApplication PartWhen any claim of an application or a patent under reexamination is rejected under 35 U.S.C. 103 on a U.S. patent or U.S. patent application publication which is not prior art under 35 U.S.C. 102(b), and the inventions defined by the claims in the application or patent under reexamination and by the claims in the patent or published application are not identical but are not patentably distinct, and the inventions are owned by the same party, the applicant or owner of the patent under reexamination may disqualify the patent or patent application publication as prior art by submission of an affidavit under Rule 130 stating common ownership and stating that the inventor named is the prior inventor. When a reference applied by the Examiner has a patent or publication date less than 1 year before the U.S. filing date of the application being examined, applicant may file an affidavit under Rule 131 to show prior inventorship to overcome the rejection. Evidence submitted by applicant to overcome a rejection or objection on a basis not otherwise provided for in the rules is submitted as an affadavit under Rule 132. Exhibits may be supplied to support either type of affadavit. Affadavits are normally submitted prior to a final rejection.
Sequence ListingApplication PartPatent applications which contain disclosures of nucleotide and /or amino acid sequences must contain, as a separate part of the disclosure, a paper or electronic copy disclosing the nucleotide and/or amino acid sequences and associated information using the symbols and format established in 37 CFR 1.822 and 1.823.
Sequence Listing (Text File)Application PartIn a patent application,a sequence listing filed as a .txt file is either the "Sequence Listing" under 37 CFR 1.821(c) or the "computer readable form (CRF)" under 37 CFR 1.821(e).
SpecificationApplication PartThe written portion of the application is submitted by the applicant describing the invention.
Specification - Not in EnglishApplication PartThe written portion of the application is submitted by the applicant describing the invention that is not submitted in English. Note translation requirements under 37 CFR § 1.52(d)
Statutory disclaimers per MPEP 1490.Application PartA statement in which a patent owner relinquishes legal rights to one or more claims of a patent. Claims of a patent cannot be disclaimed in favor of new claims to be added to the patent or an amendment to existing claims.
Table in text format Application PartIn a PCT application, the only tables that may be filed in .txt format are "Tables relating to sequence listing" in accordance with PCT Administrative Instruction Annex C-bis.
Terminal Disclaimer FiledApplication PartA timely filed terminal disclaimer may be filed by applicant to overcome an actual or provisional rejection based on a nonstatutory double patenting ground provided the conflicting application or patent is shown to be commonly owned with this application. The purpose of a terminal disclaimer is to obviate a double patenting rejection by removing the potential harm to the public by issuing a second patent, and not to remove a patent as prior art.
Translation of Foreign Priority DocumentsApplication PartAn application may be entitled to the benefit of the filing date of a prior application filed in a foreign country, to overcome an intervening reference or for similar purposes. As part of claiming the benefit of foreign priority, applicant is required to file a certified copy of the original foreign application, specification, and drawings upon which it is based. If the priority papers are not in the English language, a translation is required that may be filed with the priority papers or at a later time.
Affidavit/Dec/Exhibit after Notice of AppealBPAIAn affidavit, declaration or exhibit may be filed after the Notice of Appeal. However, after the jurisdiction of the case has passed to the Board of Patent Appeals and Interferences, an affidavit, declaration or exhibit may be considered by the Examiner only in the case that the Board remands the case to the Examiner for that purpose.
Amendment/Argument after Notice of AppealBPAIAn amendment may be filed at any time after final rejection, but before the jurisdiction of the case has passed to the Board of Patent Appeals and Interferences. However, after the Notice of Appeal has been filed by applicant, any amendment or argument filed by applicant is not normally entered unless the paper presented clearly places the application in condition for allowance.
Appeal Brief FiledBPAIAfter two rejections from the Examiner, applicant (now appellant) may file an Appeal Brief of the Examiner's decision. The appeal is to be decided upon by an administrative patent judge from the Board of Patent Appeals and Interferences within the USPTO. The judge weighs the evidence in the Appeal Brief and in an Examiner's Answer to reach a decision.
Appeal Postponement of Oral Hearing RequestBPAIAppellant may request an oral hearing before the Board of Patent Appeals and Interferences. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant cannot attend at the designated time, appellant may request a postponement of the hearing. Such a request may be granted if it does not unduly delay a decision in the case or place undue burden on the Board.
Confirmation of Hearing by AppellantBPAIAppellant may request an oral hearing before the Board of Patent Appeals and Interferences. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. The appellant must send a confirmation within a stated time period confirming that appellant will attend.
Notice of Appeal FiledBPAIAfter two rejections from the Examiner, applicant may file an Appeal Notice noting that applicant (now appellant) is appealing the Examiner's decision. The appeal is to be decided upon by an administrative patent judge from the Board of Patent Appeals and Interferences within the USPTO. The judge weighs the evidence in the Appeal Brief and in an Examiner's Answer to reach a decision.
Pre-Brief Appeal Conference request BPAIAfter a pre-brief review conference has taken place, the PTO provides a notice to the appellant advising the appellant: (1) that the review occurred and that the period set for filing an appeal brief runs from the mail date of such notice; and (2) of any rejection(s) that is withdrawn as a result of the review.
Reply Brief FiledBPAIIn response to an Examiner's Answer prepared by the Examiner following appellant's appeal brief to the Board of Patent Appeals and Interferences, appellant has a right to file a reply brief within two months of the mailing date of the Examiner's Answer.
Request for Oral HearingBPAIAppellant may request an oral hearing before the Board of Patent Appeals and Interferences. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board.
Request for Reconsideration of BPAI DecisionBPAIThe Examiner may request rehearing of the decision of the Board of Patent Appeals and Interferences. All requests by the Examiner to the Board for rehearing of a decision must be approved by the TC Director and must also be forwarded to the Office of the Deputy Commissioner for Patent Examination Policy for approval before mailing. The request should set a period of 1 month for the appellant to file a reply. After the period set for appellant to file a reply has expired, the application file will be forwarded to the Board.
Request to Withdraw Appeal by AppellantBPAIAppellant may file a request to withdraw an appeal to the Board of Patent Appeals and Interferences. If no claims are allowed, the withdrawal is an express abandonment. If some claims are allowed, the withdrawal is the equivalent of an amendment canceling the appealed claims.
Supplemental Appeal BriefBPAIWhere prosecution is reopened by the primary examiner after an appeal or reply brief has been filed, appellant must either file a reply to the new office action or request a reinstatement of the appeal to avoid abandonment of the application. If reinstatement of the appeal is requested by appellant, such request must be accompanied by a supplemental appeal brief, but no new amendments, affidavits or other evidence are permitted. The supplemental appeal brief must follow the same rules for filing an appeal brief. Appellant also may file a Supplemental Appeal Brief after filing an Appeal Brief and prior to the Examiner's Answer.
Waiver of Hearing by AppellantBPAIAppellant may request an oral hearing before the Board of Patent Appeals and Interferences. In response to that request, a notice of the hearing stating the date, time and docket is forwarded to the appellant by the Board. The appellant must send a confirmation within a stated time period confirming that appellant will attend. If appellant no longer can or wishes to attend the scheduled hearing, appellant should inform the Board of a of waiver of hearing at the earliest possible opportunity.
Change of AddressChange RequestsWhere an attorney or agent of record (or applicant, if he or she is prosecuting the application pro se) changes his or her correspondence address, he or she is responsible for promptly notifying the USPTO of the new correspondence address (including ZIP Code). The notification should also include his or her telephone number. A change of correspondence address must be signed by an attorney or agent of record.
Oath or Declaration fieldChange RequestsEach 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 under 37 CFR § 1.63, As set forth in 37 CFR § 1.64, the oath or declaration must be signed by all of the actual inventors except as provided for in 37 CFR §§ 1.42, 1.43, 1.47, or 1.67.
Power of Attorney Change Requests Applicant may file a change in Power of Attorney at any time during prosecution of an application. The POA indicates representatives given permission to act on behalf of the inventor or assignee to prosecute an application.
Power to Make Copies and/or InspectChange RequestsWritten authority signed by an applicant, an attorney or agent of record, an authorized official of an assignee or a registered attorney or agent named in the papers accompanying the application papers can be submitted to give access to an application to any person. This written authority gives the named person or persons a power to inspect and make copies of the application. An unrestricted power to inspect given by an applicant is recognized as in effect until rescinded.
Amendment Submitted/Entered with Filing of CPA/RCEContinued ProsecutionApplicant may submit an amendment at the time of the filing of a Request for Continued Prosecution Application (CPA)
Continued Prosecution Application - Continuation (ACPA)Continued ProsecutionA Continued Prosecution Application (CPA) is filed by applicant before abandonment or termination of proceedings of a prior application and requests express abandonment of that prior application. The CPA discloses and claims only subject matter disclosed in the prior application.
Continuing Prosecution Application - Divisional (DCPA)Continued ProsecutionA Continued Prosecution Application (CPA) is filed by applicant before abandonment or termination of proceedings of a prior application and requests express abandonment of that prior application. The CPA discloses and claims only subject matter disclosed in the prior application. The CPA may be either a continuation or a Divisional CPA. In the Divisional CPA (DCPA), applicant requests prosecution of claims that were directed to the non-elected invention in the prior application.
Request for Continued Examination (RCE)  Continued ProsecutionIf prosecution in an application is closed, an applicant may request continued examination (RCE) of the application by filing a submission and the fee prior to payment of the issue fee, abandonment of the application, or the filing of a notice of appeal. A submission includes, but is not limited to, an information disclosure statement, an amendment to the written description, claims, or drawings, new arguments, or new evidence in support of patentability. The USPTO will withdraw the finality of any Office action and the submission will be entered and considered.
Accelerated Exam - Transmittal amendment/replyGeneral TransmittalThe transmittal accompanying an amendment or reply in an application undergoing accelerated examination.
Any request going to L RGeneral TransmittalRequests coming into Licensing and Review include expedited licensing requests for foreign filing, retroactive licensing requests and responses to property rights potential claims from NASA or the Department of Energy.
Applicant summary of interview with examinerGeneral TransmittalThis letter from the applicant provides the applicant's summary of an interview held with the examiner.
Assignee showing of ownership per 37 CFR 3.73(b)General TransmittalWhen an assignee to the entire title first seeks to take an action in a patent application, patent or reexamination proceeding, the assignee must file documentary evidence of title as well as a document stating that the evidence has been reviewed and certifying that, to the best of assignee's knowledge and belief, title is in the assignee seeking to take action.
Authorization for Extension of Time all repliesGeneral Transmittal37 CFR 1.136 is the patent rule governing extensions of time. A constructive petition for an extension of time should be document coded as 136A, and is treated as requesting an extension of time for any paper needing an extension of time to be treated as timely filed. In accordance with 37 CFR 1.136(a)(3), there are two types of deposit account authorizations that may be treated as a constructive petition for time for any concurrent or future reply.
CRF Statement Paper and CRF are the sameGeneral TransmittalIn an application with a sequence listing, applicant must submit a copy of the "Sequence Listing" in computer readable form (CRF). In addition to a compact disc copy, a paper copy is required along with a statement that the "Sequence Listing" content of the paper and the computer readable copy are the same.
Examination support document General Transmittal An accelerated examination support document including an information disclosure statement in compliance with 37 CFR 1.98 citing each reference deemed most closely related to the subject matter of each of the claims, identification of all the limitations in the claims that are disclosed by the reference specifying where the limitation is disclosed for each reference cited, a detailed explanation of how each of the claims are patentable over the references cited with the particularity required by 37 CFR 1.11(b) and (c), a concise statement of the utility of the invention as defined in each of the independent claims, a showing of where each limitation of the claims finds support under the first paragraph of 35 U.S.C. 112 in the written description of the specification, and identification of any cited references that may be disqualified as prior art under 35 U.S.C. 103(c) as amended by the Cooperative Research and Technology Enhancement (CREATE) Act.
Extension of TimeGeneral TransmittalIf applicant is required to respond within a shortened statutory time, the applicant may extend that period up to the maximum 6 month period set by statute by filling a written request and the appropriate fee.
Fee Worksheet (PTO-06)General TransmittalFee worksheet is found at the end of the application used by the Technical Administrative Staff to determine the amount of fees due from the applicant. This worksheet can also include various other payment related internal documents.
Form PTO/SB/94 - SIR RequestGeneral TransmittalAn applicant for an original patent may request, at any time during the pendency of applicant 's pending complete application, that the specification and drawings be published as a statutory invention registration (SIR). Any request for publication of a statutory invention registration must include a waiver of the applicant 's right to receive a patent on the invention claimed effective upon the date of publication of the SIR, the required fee, and a statement that the application to which the request is directed complies with the formal requirements for printing as a patent. The application to be published as a SIR must be complete including a specification with a claim or claims, an oath or declaration, and drawings when necessary.
Issue Fee Payment (PTO-85B)General TransmittalWhen applicant transmits the issue fee payments on an issue fee transmittal form, the payment of that fee in Revenue Accounting and Management (RAM) system is recorded on that form.
Letter Express Abandonment of the applicationGeneral TransmittalAt any time during the prosecution of the application, applicant may file a letter expressly abandoning the application.
Letter Requesting Interview with ExaminerGeneral TransmittalInterviews with examiners concerning applications and other matters pending before the Office must be conducted on Office premises and within Office hours. An interview should normally be arranged for in advance, as by letter or telephone call, in order to insure that the primary examiner and/or the examiner in charge of the application will be present and available in the Office.
Letter Requesting Suspension of ProsecutionGeneral TransmittalAn applicant may file a petition to suspend action in an application for a specific period of time for good and sufficient reasons. An example would be where a request for continued examination is made before a preliminary amendment is filed. The suspension would be requested to prevent having the case examined before the preliminary amendment is entered.
Letter to Official Draftsman Filed P/EGeneral TransmittalWhere applicant files a reply to a request for drawing corrections in an application, the applicant sends that reply to the Official Draftsman requesting approval of the changes.
Miscellaneous Incoming LetterGeneral TransmittalA miscellaneous incoming letter from applicant shall be submitted any time during prosecution that is not directed to a requirement, notice or Office action sent by the USPTO.
New or Additional DrawingsGeneral TransmittalTransmittal letter is filed by applicant during prosecution of an application indicating that new or additional drawings were submitted.
Patent Term Extension Application Under 35 USC 156General TransmittalIf a product is required to be reviewed by the FDA or the Dept of Agriculture, a patent claiming the product, a method of use of the product, and/or a method of manufacturing the product may be eligible for extension. To obtain an extension, an application must be filed pursuant to 35 USC 156.
Post Allowance Communication Incoming CorrespondenceGeneral TransmittalCommunication is received from applicant after allowance of an application and prior to publication thereof.
Provisional Cover Sheet (SB16)  General Transmittal A cover sheet for a provisional application indicating the contents of the submission.
Refund RequestGeneral TransmittalA formal request made from the applicant to refund fees paid during the prosecution of an application. The request must include reasons indicating why the fees are to be refunded. Any request for refund must be filed within two years from the date the fee was paid.
Request for Expedited Processing, Design Rocket DocketGeneral TransmittalA request is sent by applicant to expedite the processing and examination of a Design application. The request must be received prior to an examiner's action. The request must include a submission of request with fee, drawings, a statement that a preexamination search was conducted indicating the field of search with an Information Disclosure Statement (IDS) and that the application is in condition for examination.
Request for status of ApplicationGeneral TransmittalThis letter from the applicant is a simple request for the status of the application, such as the time until a first action can be expected.
Request under Rule 129 to Reopen Prosecution General Transmittal An applicant in an application, other than for reissue or a design patent, that has been pending for at least two years as of June 8, 1995 can request to have prosecution An applicant in an application, other than for reissue or a design patent, that has been pending for at least two years as of June 8, 1995 can request to have prosecution reopened for examination. Applicant is entitled to have a first submission entered and considered on the merits after a final rejection on the merits has closed prosecution if the first submission and the fee are filed prior to the filing of an appeal brief and prior to abandonment of the application. The finality of the final rejection is automatically withdrawn upon the timely filing of the submission and payment of the fee. A submission includes, but is not limited to, an information disclosure statement, an amendment to the written description, claims or drawings and a new substantive argument or new evidence in support of patentability.
Response providing copy of record for reconstructionGeneral Transmittal Response providing copy of record for reconstruction: A copy of the applicant ’s or patentee ’s record (if any) of all of the correspondence between the Office and the applicant or patentee for such application, patent, or other proceeding (except for U.S. patent documents). See 37 CFR 1.251.
Response to Rule 105 CommunicationGeneral TransmittalIf an Examiner determines that he or she does not have all information reasonably necessary to properly examine or treat a matter in a pending application, the Examiner may require additional information from the applicant or any assignee. Applicant's response to a Requirement for Information must include a complete response to each enumerated requirement for information giving either the information required or a statement that the information required to be submitted is unknown and/or is not readily available to the party or parties from which it was requested. There is no requirement for the applicant to show that the required information was not readily attainable, but applicant is required to make a good faith attempt to obtain the information and to make a reasonable inquiry once the information is requested.
Statement of preexamination search General Transmittal In a request for accelerated examination, a statement that a preexamination search was conducted, including an identification of the field of search by United States class and subclass and the date of the search, where applicable, and for database searches, the search logic or chemical structure sequence used as a query, the name of the file or files search and the database service, and the date of the search. The search must involve U.S. patents and patent application publications, foreign patent documents, and non-patent literature.
Supplemental Response or Supplemental AmendmentGeneral TransmittalSupplemental Response filed by the applicant at any time during prosecution in response to a communication issued by the USPTO to address informalities, corrections to the application or to augment arguments or a prior amendment submitted.
Transmittal of New ApplicationGeneral TransmittalA transmittal letter for an application indicating the contents of the submission. Applicant usually files the PTO-1382.
Transmittal Reissue ApplicationGeneral Transmittal Upon filing any papers in the USPTO for a reissue application, applicant includes a transmittal letter stating/listing the contents of the submission, including any fees that may accompany the papers. This filing may include an Express Mail Certificate of Mailing.
Withdrawal of Application for PTE General Transmittal If a product is required to be reviewed by the FDA or the Dept of Agriculture, a patent claiming the product, a method of use of the product, and/or a method of manufacturing the product may be eligible for extension. To obtain an extension, an application must be filed pursuant to 35 USC 156.
1.501 Submission by Patent OwnerIDS/ReferencesAt any time after allowance of an application and during the period of enforceability of the patent, a patent owner may cite, to the Office in writing, prior art consisting of patents or printed publications which are stated to be pertinent and applicable to the patent and believed to have a bearing on the patentability of any claim of the patent. The period of enforceability is the length of the term of the patent plus the 6 years under the statute of limitations for bringing an infringement action.
Foreign ReferenceIDS/ReferencesThe foreign references originally cited by the Examiner or the applicant are made of record in the application and are viewable in IFW.
Information Disclosure Statement Letter IDS/ReferencesThe applicant provides an Information Disclosure Statement (IDS) letter along with an IDS form (PTO/SB/08) at the earliest possible stage of prosecution detailing the most pertinent references known to applicant.
NPL Documents IDS/References Document code is used for indicating Non Patent Literature (NPL) submitted by applicant or cited by the examiner.
Nonpublication request from applicantOffice of Patent PubA nonpublication request must be submitted with the application upon filing, certifying that the invention disclosed in the application has not been and will not be the subject of an application filed in another country,or under a multilateral international agreement, that requires publication at eighteen months after filing. Form PTO/SB/35 may be used by applicant for filing this request.
Request for Certificate of CorrectionOffice of Patent PubWhenever a mistake of a minor character appears in a patent and a showing has been made that such mistake occurred in good faith, the applicant may request that the USPTO issue a certificate of correction. The certificate is then attached to each printed copy of the patent, and the certificate is considered as part of the original patent.
Request for Corrected Notice of AllowanceOffice of Patent PubIf, on examination, it appears that the applicant is entitled to a patent under the law, a Notice of Allowance is sent to the applicant. The Notice of Allowance specifies an issue fee that must be paid within three months from the date of mailing of the Notice of Allowance to avoid abandonment of the application. Applicant may file necessary amendments, assignments, petitions, information disclosure statements, or other papers prior to the date of issue fee payment. One such paper is a request for a corrected Notice of Allowance, where some information on the Notice of Allowance is incorrect.
Request for New or Replacement Patent GrantOffice of Patent PubAt the request of the patentee or the patentee' s assignee, the USPTO may issue a certificate of correction pursuant to correct a mistake in a patent, incurred through the fault of the Office, wherein the mistake is clearly disclosed in the records of the Office. If the nature of the mistake on the part of the Office is such that a certificate of correction is deemed inappropriate in form, the USPTO may issue a corrected patent as a more appropriate form for correction, without expense to the patentee.
Rescind Nonpublication Request for Pre Grant PubOffice of Patent PubAn applicant may rescind at any time a prior filed request that an application not be published. This request will result in the publication of the application at eighteen months from the filing date of the application or as of the request to rescind the nonpublication request, whichever is earlier.
Applicant Response to Pre-Exam Formalities NoticeOIPEResponse is sent by applicant to a notification to file missing parts or a notification of failure to comply with reissue rules within the time period for reply as set in the notice.
Nonpublication request from applicantOIPEA nonpublication request must be submitted with the application upon filing, certifying that the invention disclosed in the application has not been and will not be the subject of an application filed in another country,or under a multilateral international agreement, that requires publication at eighteen months after filing. Form PTO/SB/35 may be used by applicant for filing this request.
Request for Corrected Filing ReceiptOIPEWhen an application is initially filed, applicant is informed of the application number and filing date by a filing receipt sent out by the USPTO. If applicant discovers an error in the filing receipt, applicant may send a request to the USPTO to correct the error.
Rescind Nonpublication Request for Pre Grant PubOIPEAn applicant may rescind at any time a prior filed request that an application not be published. This request will result in the publication of the application at eighteen months from the filing date of the application or as of the request to rescind the nonpublication request, whichever is earlier.
Response to Pre-Exam Reissue NoticeOIPEResponse is sent by applicant to a notification to file missing parts or a notification of failure to comply with reissue rules within the time period for reply as set in the notice.
Response to Pre-Exam Sequence NoticeOIPEThe USPTO will send applicant a notification of a failure to comply with the sequence rules and include an analysis of any submitted computer readable form. Upon detection during the preexamination processing of damage or a deficiency, a notice will be sent to the applicant detailing the damage or deficiency and setting a two month period for reply. Applicant must respond to the notice within the indicated time period and supply any information required.
CHII - Amendment to the claims - PCT Art. 34PCT - AmendmentUnder PCT Article 34, the applicant may submit amendments to the claims prior to preparation of the International Preliminary Examination Report.
CHII - Amendments to descript/drawings - PCT Art. 34PCT - AmendmentUnder PCT Article 34, the applicant may submit amendments to the claims, description and drawings prior to preparation of the International Preliminary Examination Report.
CHII - Request for Reconsideration - IAPCT - AmendmentRequest for Reconsideration - IA (Chapter II)
CHII - Response to form PCT/IPEA/408  PCT - AmendmentThe applicant is entitled to submit a response to the written opinion (Form IPEA/408).
Request for Reconsideration - IAPCT - AmendmentRequest for Reconsideration - IA
Substitute DrawingsPCT - AmendmentUnder PCT rule 26, the applicant may submit formalized drawings as long as no new matter is introduced.
3D Protein Crystals (Text File)  PCT - AmendmentApplicants may file supplemental protein structure content in PDB-compatible text format (i.e., .txt file) to facilitate prosecution of application.
AbstractPCT - Application PartA portion of the application, as submitted by the applicant, that gives a brief overview of the disclosed invention.
Chemical Formulae (Text File)  PCT - Application PartApplicants may file supplemental chemical content in InChI text format (i.e., .txt file) to facilitate prosecution of application.
ClaimsPCT - Application PartThe claim is that part of a patent application particularly pointing out and distinctly claiming the subject matter which the applicant regards as the invention or discovery.
Corp. Resolution/Auth. to Act on Behalf of Corp. PCT - Application Part If the applicant in an international application is a legal entity such as a corporation, then a "resolution" signed by one or more corporate officers is needed in order to delegate authority to sign legal documents on behalf of the corporate entity to one or more people.
Drawings - only black and white line drawings PCT - Application PartWhere it is necessary to understand the invention, a complete application must include drawings illustrating the disclosed invention.
Fee payment - International Application PCT - Application Part A payment of fees by the applicant either in response to an invitation therefore (RO/102, RO/133, IPEA/403 or IPEA/440) or, as sometimes happens, spontaneously.
Mathematical Formulae (Text File) PCT - Application Part Applicants may file supplemental mathematical content in MathML text format (i.e., .txt file) to facilitate prosecution of application.
Misc. incoming letter from Applicant - IA PCT - Application Part Miscellaneous incoming communication from the applicant concerning an international application.
Oath or Declaration field PCT - Application Part 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 under 37 CFR § 1.63, As set forth in 37 CFR § 1.64, the oath or declaration must be signed by all of the actual inventors except as provided for in 37 CFR §§ 1.42, 1.43, 1.47, or 1.67.
PCT EASY Validation Log PCT - Application Part The authoring program devised by the International Bureau for preparing the request form (Form PCT/RO/101) automatically scans entered data for obvious errors and inconsistencies and generates this list of any problems detected.
PCT-Transmittal Letter PCT - Application Part Upon filing any papers to the USPTO regarding the filing of a new application, applicant includes a transmittal letter indicating the contents of the submission, including any fees that may accompany the papers. This letter usually includes the Express Mail Certificate of Mailing. This transmittal letter corresponds to the transmittal letter in a PCT application.
Power of Attorney PCT - Application Part Applicant may file a change in Power of Attorney or an associate Power of Attorney at any time during prosecution of an application. The POA indicates representatives given permission to act on behalf of the inventor or assignee to prosecute an application.
RO/101 - Annex (fee calculation sheet) PCT - Application Part New international applications are accompanied by a form authored by the applicant showing how much money is due and for which fees.
RO/101 - Request form for new IA - Conventional PCT - Application Part New international applications are accompanied by a bibliographic data form authored by the applicant. The form is referred to by number as the RO/101 or, alternatively, by name as the "Request". The "conventional" format of this form is filled out manually.
RO/101 - Request form for new IA - PCT EASY Format PCT - Application Part New international applications are accompanied by a bibliographic data form authored by the >applicant. The form is referred to by number as the RO/101 or, alternatively, by name as the "Request". The "SAFE" format of this form is filled out using an authoring tool developed by the International Bureau (IB). The bibliographic data is stored to a diskette that accompanies the paper application to the receiving Office.
RO/134 - Deposited Microorganisms/Bio MaterialPCT - Application PartIf the invention in an international application pertains to a microorganism or other biological material, the applicants use this form to document that they have fulfilled their obligation to deposit a sample with an appropriate authority.
Seq Listing Cover Sheet/Stmt under PCT Rule 13ter PCT - Application Part Where a sequence listing is provided in both computer readable and in paper form, the applicant supplies a statement verifying that the content of the two forms is the same
Sequence ListingPCT - Application PartIn a PCT application, the "sequence listing part of the description" under PCT Rule 5.2 in paper or electronic format in compliance with the PCT Administrative Instructions. If applicant files the sequence listing as a PDF file, applicant must also file the sequence listing as a .txt file in response to an invitation from the International Searching Authority under PCT Rule 13ter.1.
Sequence Listing (Text File)PCT - Application PartIn a PCT application, the sequence listing is filed as a .txt file either as the "sequence listing part of the description" under PCT Rule 5.2 or the sequence listing in electronic form under PCT Rule 13ter.1.
SpecificationPCT - Application PartThe written portion of the application is submitted by the applicant describing the invention.
Statement explaining lack of signature - IAPCT - Application PartPCT Rule 4.15(b) provides that where an applicant refused to sign the request or could not be found or reached after diligent effort, the request need not be signed by that applicant if it is signed by at least one applicant and a statement is furnished explaining, to the satisfaction of the receiving Office, the lack of the signature concerned.
Table in text formatPCT - Application PartIn a PCT application, the only tables that may be filed in .txt format are "Tables relating to sequence listing" in accordance with PCT Administrative Instruction Annex C-bis.
CHII - Request for recording change/PCT Rule 92bisPCT - Change RequestUnder PCT Rule 92bis, the applicant may submit changes to the person, name, residence, nationality or address of the applicant, inventor or agent (attorney) (Chapter II)
CHII - Request to withdraw as attorney - IAPCT - Change RequestUnder PCT Rule 90.6(d), an agent or common representative may renounce his appointment by a notification signed by him. (Chapter II)
CHII - Request to withdraw designation - IAPCT - Change RequestUnder PCT Rule 90bis.2, the applicant may withdraw the designation of any designated State at any time prior to the expiration of 30 months from the priority date. (Chapter II)
CHII - Request to withdraw priority claim - IAPCT - Change RequestUnder PCT Rule 90bis.3, the applicant may withdraw a priority claim made under Article 8(1) at any time prior to the expiration of 30 months from the priority date. (Chapter II)
CHII - Response to form PCT/IPEA/404PCT - Change RequestIf certain defects are noted in the Demand, the IPEA invites the applicant to make correction by sending a form IPEA/404. Applicant is expected to submit corrections within one month.
Power of AttorneyPCT - Change RequestApplicant may file a change in Power of Attorney or an associate Power of Attorney at any time during prosecution of an application. The POA indicates representatives given permission to act on behalf of the inventor or assignee to prosecute an application.
Priority Claim Adjustment under PCT Rules 26bisPCT - Change RequestUnder PCT Rule 26bis, the applicant may correct or add a priority claim
Request for recording of a change/ PCT Rule 92bisPCT - Change RequestUnder PCT Rule 92bis, the applicant may submit changes to the person, name, residence, nationality or address of the applicant, inventor or agent (attorney).
Request for rectification - IA PCT - Change Request Under PCT Rule 91, the applicant may request that obvious errors in the international application or other papers submitted by the applicant may be rectified.
Request to withdraw - IA PCT - Change Request Under PCT Rule 90bis.1, the applicant may withdraw the international application at any time prior to the expiration of 30 months from the priority date.
Request for recording of a change/ PCT Rule 92bisPCT - Change RequestUnder PCT Rule 92bis, the applicant may submit changes to the person, name, residence, nationality or address of the applicant, inventor or agent (attorney).
Request for rectification - IAPCT - Change RequestUnder PCT Rule 91, the applicant may request that obvious errors in the international application or other papers submitted by the applicant may be rectified.
Request to withdraw as attorney - IAPCT - Change RequestUnder PCT Rule 90.6(d), an agent or common representative may renounce his appointment by a notification signed by him.
Request to withdraw designation - IAPCT - Change RequestUnder PCT Rule 90bis.2, the applicant may withdraw the designation of any designated State at any time prior to the expiration of 30 months from the priority date.
Request to withdraw priority claim - IAPCT - Change RequestUnder PCT Rule 90bis.3, the applicant may withdraw a priority claim made under Article 8(1) at any time prior to the expiration of 30 months from the priority date.
Substitute Drawings PCT - Change Request Under PCT rule 26, the applicant may submit formalized drawings as long as no new matter is introduced.
Substitute Sheets - IAPCT - Change Request Under PCT Rule 26, the applicant may submit corrected versions of one or more pages of the initially filed description, claims, abstract or sequence listing in an international application as long as no new matter is introduced.
Substitute Sheets of Request (Form PCT/RO/101)PCT - Change RequestUnder PCT Rule 26, the applicant may submit a new version of one or more pages of the bibliographic data form (PCT/RO/101) as long as no new matter is introduced.
CHII - Amendment to the claims - PCT Art. 34 PCT – Chapter II Under PCT Article 34, the applicant may submit amendments to the claims prior to preparation of the International Preliminary Examination Report.
CHII - Amendments to descript/drawings - PCT Art. 34 PCT – Chapter II Under PCT Article 34, the applicant may submit amendments to the claims, description and drawings prior to preparation of the International Preliminary Examination Report.
CHII - Fee payment - International Application PCT – Chapter II A payment of fees by the applicant either in response to an invitation therefore (RO/102, RO/133, IPEA/403 or IPEA/440) or, as sometimes happens, spontaneously.
CHII - Form IPEA/401 Annex PCT – Chapter II As part of the papers needed to initiate Chapter II processing, the applicant submits a fee calculation sheet (Form IPEA/401 Annex)
CHII - Form PCT/IPEA/401 - Demand PCT – Chapter II As part of the papers needed to initiate Chapter II processing, the applicant submits a bibliographic data form, the Demand, PCT Form/IPEA/401
CHII - Misc. communication from Applicant - IA PCT – Chapter II Miscellaneous incoming communication from the applicant concerning an international application. (Chapter II)
CHII - Petition for review by the PCT legal office PCT – Chapter II An incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. Some petitions are delegated to the Patent Cooperation Treaty Legal Administrator to act on the decision or continue prosecution. (Chapter II).
CHII - Request for Reconsideration - IA

PCT – Chapter II

Request for Reconsideration - IA (Chapter II)
CHII - Request for recording change/PCT Rule 92bis

PCT – Chapter II

Under PCT Rule 92bis, the applicant may submit changes to the person, name, residence, nationality or address of the applicant, inventor or agent (attorney) (Chapter II)

CHII - Request for rectification - IA

PCT – Chapter II

Under PCT Rule 91, the applicant may request that obvious errors in the international application or other papers submitted by the applicant may be rectified.
CHII - Request to withdraw as attorney - IA

PCT – Chapter II

Under PCT Rule 90.6(d), an agent or common representative may renounce his appointment by a notification signed by him. (Chapter II)

CHII - Request to withdraw designation - IA

PCT – Chapter II

Under PCT Rule 90bis.2, the applicant may withdraw the designation of any designated State at any time prior to the expiration of 30 months from the priority date. (Chapter II)

CHII - Request to withdraw priority claim - IA

PCT – Chapter II

Under PCT Rule 90bis.3, the applicant may withdraw a priority claim made under Article 8(1) at any time prior to the expiration of 30 months from the priority date. (Chapter II)

CHII - Response to form PCT/IPEA/404

PCT – Chapter II

If certain defects are noted in the Demand, the IPEA invites the applicant to make correction by sending a form IPEA/404. Applicant is expected to submit corrections within one month.

CHII - Response to form PCT/IPEA/405

PCT – Chapter II

CHII - Response to form PCT/IPEA/405

CHII - Response to form PCT/IPEA/408PCT – Chapter II

The applicant is entitled to submit a response to the written opinion (Form IPEA/408).
CHII - Form IPEA/401 AnnexPCT - FormAs part of the papers needed to initiate Chapter II processing, the applicant submits a fee calculation sheet (Form IPEA/401 Annex)
CHII - Form PCT/IPEA/401 - DemandPCT - FormAs part of the papers needed to initiate Chapter II processing, the applicant submits a bibliographic data form, the Demand, PCT Form/IPEA/401
Foreign Origin Search copies - IAPCT - FormThe ISA/US has agreed to be a searching authority for a number of foreign countries. Upon completion of receiving Office processing, the foreign receiving Office forwards the Search Copy to the USPTO.
RO/101 - Request form for new IA - ConventionalPCT - FormNew international applications are accompanied by a bibliographic data form authored by the applicant. The form is referred to by number as the RO/101 or, alternatively, by name as the "Request". The "conventional" format of this form is filled out manually.
RO/101 - Request form for new IA- PCT EASY FormatPCT - FormNew international applications are accompanied by a bibliographic data form authored by the applicant. The form is referred to by number as the RO/101 or, alternatively, by name as the "Request". The "SAFE" format of this form is filled out using an authoring tool developed by the International Bureau (IB). The bibliographic data is stored to a diskette that accompanies the paper application to the receiving Office.
Substitute Sheets of Request (Form PCT/RO/101)PCT - FormUnder PCT Rule 26, the applicant may submit a new version of one or more pages of the bibliographic data form (PCT/RO/101) as long as no new matter is introduced.
CHII - Fee payment - International Application

PCT - General Transmittal

A payment of fees by the applicant either in response to an invitation therefore (RO/102, RO/133, IPEA/403 or IPEA/440) or, as sometimes happens, spontaneously.
CHII - Misc. communication from Applicant - IA

PCT - General Transmittal

Miscellaneous incoming communication from the applicant concerning an international application. (Chapter II)
CHII - Request for Reconsideration - IA

PCT - General Transmittal

Request for Reconsideration - IA (Chapter II)
CHII - Request for rectification - IA PCT - General Transmittal Under PCT Rule 91, the applicant may request that obvious errors in the international application or other papers submitted by the applicant may be rectified.
CHII - Response to form PCT/IPEA/405 PCT - General Transmittal CHII - Response to form PCT/IPEA/405
Corp. Resolution/Auth. to Act on Behalf of Corp. PCT - General Transmittal If the applicant in an international application is a legal entity such as a corporation, then a "resolution" signed by one or more corporate officers is needed in order to delegate authority to sign legal documents on behalf of the corporate entity to one or more people.
Extension of Time PCT - General Transmittal  
Fee Worksheet (PTO-06) PCT - General Transmittal Fee worksheet is found at the end of the application used by the Technical Administrative Staff to determine the amount of fees due from the applicant. This worksheet can also include various other payment related internal documents.
Fee payment - International Application PCT - General Transmittal A payment of fees by the applicant either in response to an invitation therefore (RO/102, RO/133, IPEA/403 or IPEA/440) or, as sometimes happens, spontaneously.
Misc. incoming letter from Applicant - IA PCT - General Transmittal Miscellaneous incoming communication from the applicant concerning an international application.
PCT EASY Validation LogPCT - General TransmittalThe authoring program devised by the International Bureau for preparing the request form (Form PCT/RO/101) automatically scans entered data for obvious errors and inconsistencies and generates this list of any problems detected.
PCT-Transmittal LetterPCT - General TransmittalUpon filing any papers to the USPTO regarding the filing of a new application, applicant includes a transmittal letter indicating the contents of the submission, including any fees that may accompany the papers. This letter usually includes the Express Mail Certificate of Mailing. This transmittal letter corresponds to the transmittal letter in a PCT application.
Power of Attorney  PCT - General Transmittal Applicant may file a change in Power of Attorney at any time during prosecution of an application. The POA indicates representatives given permission to act on behalf of the inventor or assignee to prosecute an application.
RO/101 Annex (fee calculation sheet) PCT - General Transmittal New international applications are accompanied by a form authored by the applicant showing how much money is due and for which fees.
Request for Reconsideration - IA PCT - General Transmittal Request for Reconsideration - IA
Request for status of Application PCT - General Transmittal This letter from the applicant is a simple request for the status of the application, such as the time until a first action can be expected.
Request to withdraw US designation - IA PCT - General Transmittal In order to avoid some of the ensuing complications, some applicants in international applications particularly do not want the US designated. In such situations, they will withdraw the designation of the United States under PCT Rule 90bis.2.
Response to Form PCT/ISA/206 Unity of Invention PCT - General Transmittal If the application contains claims to more than one invention, the applicant is invited to either limit the application to only one of the inventions or to pay additional search fees for one or more of the remaining inventions. If the invitation is made in writing (see P.206), the written response is titled under this doc code. See also P.299.
Request to withdraw as attorney - IAPCT - General TransmittalUnder PCT Rule 90.6(d), an agent or common representative may renounce his appointment by a notification signed by him.
Request to withdraw designation - IAPCT - General TransmittalUnder PCT Rule 90bis.2, the applicant may withdraw the designation of any designated State at any time prior to the expiration of 30 months from the priority date.
Request to withdraw IAPCT - General TransmittalUnder PCT Rule 90bis.1, the applicant may withdraw the international application at any time prior to the expiration of 30 months from the priority date.
Request to withdraw priority claim - IAPCT - General TransmittalUnder PCT Rule 90bis.3, the applicant may withdraw a priority claim made under Article 8(1) at any time prior to the expiration of 30 months from the priority date.
Request to withdraw US designation - IAPCT - General TransmittalIn order to avoid some of the ensuing complications, some applicants in international applications particularly do not want the US designated. In such situations, they will withdraw the designation of the United States under PCT Rule 90bis.2.
Response to form PCT/ISA/206 Unity of InventionPCT - General TransmittalIf the application contains claims to more than one invention, the applicant is invited to either limit the application to only one of the inventions or to pay additional search fees for one or more of the remaining inventions. If the invitation is made in writing, the written response is titled under this doc code.
Seq Listing Cover Sheet/Stmt under PCT Rule 13ter PCT - General TransmittalWhere a sequence listing is provided in both computer readable and in paper form, the applicant supplies a statement verifying that the content of the two forms is the same
Statement explaining lack of signature - IAPCT - General TransmittalPCT Rule 4.15(b) provides that where an applicant refused to sign the request or could not be found or reached after diligent effort, the request need not be signed by that applicant if it is signed by at least one applicant and a statement is furnished explaining, to the satisfaction of the receiving Office, the lack of the signature concerned.
CHII - Petition for review by the PCT legal officePCT - Petition An incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. Some petitions are delegated to the Patent Cooperation Treaty Legal Administrator to act on the decision or continue prosecution. (Chapter II)
Petition for review by the PCT legal office.PCT - PetitionAn incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. Some petitions are delegated to the Patent Cooperation Treaty Legal Administrator to act on the decision or continue prosecution.
Patent Pros Hwy request/petition to make app Special Petition Applicant uses the request/petition form to request participation in the Patent Prosecution Highway (PPH) program. The request form has a checklist of all the requirements and the use of the form will ensure that all requirements are complied with.
Petition automatically processed and granted by EFS Petition Petition automatically processed and granted by EFS.
Petition for 12-month Accelerated Exam Petition A petition to make an application special for accelerated examination except in the cases of an applicant’s age or health. See 37 CFR 1.102 and MPEP 708.02. This is preferably filed using form PTO/SB/28.
Petition for review by the Office of PetitionsPetitionAn incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. Some petitions are delegated to the Office of Petitions to act on the decision or continue prosecution.
Petition for review by the Technology Center SPRE Petition An incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. Some petitions are delegated to the Technology Center Special Program Examiner to act on the decision or continue prosecution.
Petition for review/ processing depending on status Petition An incoming petition from applicant is sent to the official who has been delegated with the authority to decide the petition. For some petitions, the office that is to review and process a petition is determined based on the processing status of the application as defined by the PALM status codes.
Petition to Convert Regular to ProvisionalPetition A non-provisional regular application may be converted to a provisional application provided a petition requesting the conversion is submitted by applicant along with the petition fee. The petition and fee must be submitted prior to the earlier of the abandonment of the nonprovisional application, the payment of the issue fee, the expiration of 12 months after the filing date of the nonprovisional application, or the filing of a request for statutory invention registration.
Petition to Withdraw from Issue Petition Prior to paying the issue fee, applicant can request that the Office withdraw an application from issue upon filing a petition including the fee and a showing of good and sufficient reasons why withdrawal of the application from issue is necessary. Once the issue fee has been paid, the application will only be withdrawn from issue upon filing a petition by applicant indicating unpatentability of one of more claims. The petition must be accompanied by an unequivocal statement that one or more claims are unpatentable, an amendment to the unpatentable claims, and an explanation as to how the amendment causes the claims to be patentable.
Petition under 1.378(c)  Petition Electronically granted petition under 37 CFR 1.378(c) submitted via EFS-Web.
Petition to Withdraw from IssuePetitionPrior to paying the issue fee, applicant can request that the Office withdraw an application from issue upon filing a petition including the fee and a showing of good and sufficient reasons why withdrawal of the application from issue is necessary. Once the issue fee has been paid, the application will only be withdrawn from issue upon filing a petition by applicant indicating unpatentability of one of more claims. The petition must be accompanied by an unequivocal statement that one or more claims are unpatentable, an amendment to the unpatentable claims, and an explanation as to how the amendment causes the claims to be patentable.
Req for Rule 1.138(c) Express Abandon to avoid pubPre-Grant PubAn applicant seeking to abandon an application to avoid publication of the application must submit a declaration of express abandonment by way of a petition including a fee in sufficient time to recognize the abandonment and remove the application from the publication process. Applicant should submit the declaration of express abandonment, petition and fee more than four weeks prior to the projected date of publication.
Request for Early PublicationPre-Grant PubApplications are normally published 18 months after they are filed. Applicant may request that his or her application be published earlier than that date.
Request for Refund of Publication Fee PaidPre-Grant PubUpon filing a request to withdraw the request for publication, applicant may also include a request for a refund of any amount paid in excess of the application filing fee and a handling fee as set forth by the USPTO. The request for refund of the publication fee must be filed prior to the publication of the application.
Request/Corrected Patent Application PublicationsPre-Grant PubThe Office will grant a request for a corrected or revised patent application publication from applicant when the Office makes a material mistake which is apparent from Office records. Any request for a corrected or revised patent application publication from applicant must be filed within two months from the date of the patent application publication and include an indication of the mistake.
Rescind Nonpublication Request for Pre Grant Pub Pre-Grant Pub An applicant may rescind at any time a prior filed request that an application not be published. This request will result in the publication of the application at eighteen months from the filing date of the application or as of the request to rescind the nonpublication request, whichever is earlier.
Authorization to access Appl. by Trilateral OfficePriority DocumentsThis document is an authorization from a US applicant permitting access to their electronic US Patent Applications by participating International Offices.
Request for USPTO to retrieve priority docs Priority Documents Request from the applicant authorizing the USPTO to electronically retrieve Official Priority Documents from participating foreign IP Office and enter them into the file wrapper.
Appeal Brief- Third Party Requester ReexaminationAn Appellant Brief filed by the third party requester in an inter partes reexamination proceeding. The patent owner can then file a Respondent Brief. An Examiner’s Answer is then prepared by the Examiner based on the issues of the Brief(s). The appeal is then decided upon by an administrative judge from the Board of Patent Appeals and Interferences within the PTO. The judge weighs the evidence in the Brief(s) and the Examiner's Answer.
Appeal Brief-OwnerReexaminationAn Appellant Brief filed by the patent owner in an inter partes reexamination proceeding. The third party requester can then file a Respondent Brief. An Examiner’s Answer is then prepared by the Examiner based on the issues of the Brief(s). The appeal is then decided upon by an administrative judge from the Board of Patent Appeals and Interferences within the PTO. The judge weighs the evidence in the Brief(s) and the Examiner's Answer.
Copy of patent for which reexamination is requestedReexaminationThe patent copy containing the specification and claims, for which patent the reexamination is requested
Defective Notice of Appeal or Cross Appeal FiledReexaminationDefective Notice of Appeal or Cross Appeal Filed
Expedited Request for a Right of Appeal NoticeReexaminationAn Expedited Request for a Right of Appeal Notice is filed by either party w/agreement of other party
Notice of Appeal- RequesterReexaminationIn an inter partes reexamination proceeding, after an examiner issues a Right of Appeal Notice (RAN), the patent owner and a third party requester may both participate in the appeal process. As such, the patent owner and the third party may each file a Notice of Appeal in response to the RAN. A Notice of Appeal may also be filed with the Court of Appeals for the Federal Circuit, after a final agency Board decision.
Notice of Cross Appeal- Owner Reexamination Patent owner filed a Notice of Cross Appeal in an Inter Partes Reexam
Notice of Cross Appeal- Third Party Requester Reexamination Third party requester filed a Notice of Cross Appeal in an Inter Partes Reexam
Notice of concurrent proceeding(s)ReexaminationNotice of concurrent proceeding(s) filed by any party informing the Office of concurrent proceeding(s) with respect to the patent being reexamined
Notice of concurrent proceedings / decisions Reexamination In ex parte reexamination proceedings, patent owners are required to file a notice of concurrent proceedings and decisions on such proceedings in which the patent is or was involved.
Oral Hearing Request- Third Party RequesterReexaminationIn an inter partes reexamination proceeding, after an examiner issues a Right of Appeal Notice, a third party requester may participate in the appeal process. As such, the third party requester may file a request for an oral hearing by the Board.
Oral Hearing Request-OwnerReexaminationRequest filed by patent owner in an inter partes reexamination proceeding requesting an oral hearing.
Pat Ownr Rep to Reqr Cmnts-Exam Deter after Brd Decn W/ New Grnd of Rej Reexamination Patent owner filed a Reply to requester Comments on Examiner’s Determination after Board Decision With New Ground of Rejection
Pat Ownr Rep to Reqr Cmnts-Exam Deter after Brd Decn W/ New Grnd of Rej-Timely Reexamination Third Party Requester filed a Reply to Patent Owner Reply on Examiner’s Determination after Board Decision With New Ground of Rejection
Patent Owner Appeal to the Federal Circuit FiledReexaminationPatent Owner filed an Appeal to the Federal Circuit
Patent Owner Comments after Action Closing ProsecutionReexaminationPatent owner amendment/comments filed after Action Closing Prosecution - the paper is placed in the file, but not automatically entered; it is entered only if approved by the examiner for entry in a reexamination proceeding.
Patent Owner Comments on Examiner’s Determination after Board Decision ReexaminationPatent owner filed Comments on Examiner’s Determination after Board Decision With New Ground of Rejection
Patent Owner request for RehearingReexaminationPatent owner filed request in an inter partes reexamination proceeding for rehearing of the decision rendered by the Board of Patent Appeals and Interferences.
Patent Owner Response after Board DecisionReexaminationResponse filed by patent owner in an inter partes reexamination proceeding after a decision by the Board of amendment Patent Appeals and Interferences pursuant to 37 CFR 41.77-41.79.
Petition for Review of Reexam DenialReexaminationA petition filed by the requester (can be patent owner or third party requester), asking that the decision denying the reexamination request be reconsidered.
Petition received re:Denial of a RequestReexaminationPetition filed by third party requester in an inter partes reexamination proceeding seeking review of the PTO's denial for inter partes reexamination.
Rebuttal Brief- OwnerReexaminationPatent owner filed a Rebuttal Brief, after an Examiner's Answer was issued in an inter partes reexamination proceeding
Rebuttal Brief- RequesterReexaminationThird party requester filed a Rebuttal Brief,after an Examiner's Answer was issued in an inter partes reexamination proceeding
Receipt of Corrected Original Ex Parte RequestReexaminationAn incoming document (request) the corrects a previously filed original (request) document requesting an ex parte reexamination proceeding (a corrected request would be filed in response to the Office’s notice of failure of the originally filed request papers to comply with filing date requirements)
Receipt of Corrected Original Inter Partes RequestReexaminationIncoming document (request) that corrects previously filed original (request) document requesting an inter partes reexamination proceeding (a corrected request would be filed in response to the Office’s notice of failure to comply with reexamination request filing date requirements)
Receipt of Orig. Ex Parte Request by Third Party ReexaminationAn incoming original document (request) requesting an ex parte reexamination proceeding, where the request is made by a third party
Receipt of Original Ex Parte Reexam RequestReexaminationAn incoming original document (request) requesting an ex parte reexamination proceeding
Receipt of Original Inter Partes Reexam RequestReexaminationA Request for Inter Partes Reexamination of a patent filed by a third party requester is received
Receipt of Petition in a ReexamReexaminationA petition filed by the requester or owner in a reexamination proceeding.
Reexam - Affidavit/Decl/Exhibit Filed by 3rd Party ReexaminationReexamination - affidavit(s), declaration(s) and/or exhibit(s) filed by third party requester.
Reexam - Correspondence Address Change for 3rd Party Reexamination A correspondence address change for third party requester, filed in a reexamination proceeding.
Reexam - Info Disclosure Statement Filed by 3rd Party Reexamination An Information Disclosure Statement (IDS) filed by third party requester, in a rexamination proceeding .
Reexam - Opposition filed in response to petition Reexamination Opposition paper filed in response to petition
Reexam - Change in Power of Attorney (May Include Associate POA) for Third Party RequesterReexaminationA change in Power of Attorney (POA) for third party requester (May include associate POA) .
Reexam - Correspondence Address Change for Third Party RequesterReexaminationA correspondence address change for third party requester, filed in a reexamination proceeding..
Reexam - Information Disclosure Statement Filed by Third Party RequesterReexaminationAn Information Disclosure Statement (IDS) filed by third party requester, in a rexamination proceeding .
Reexam - Opposition filed in response to petitionReexaminationOpposition paper filed in response to petition
Reexam Appeal BPAI Decision to Court of AppealsReexaminationNotification by owner that the Board of Patent Appeals and Interferences (BPAI) decision has been appealed to the Court of Appeals to reverse/overturn the BPAI decision
Reexam Certificate of MailingReexaminationA certificate included with an incoming paper, filed by either the owner or the third party requester, which indicates the date that the paper was deposited in the U.S. mail for filing in a reexamination proceeding.
Reexam Certificate of ServiceReexaminationA certificate included with an incoming paper, filed by either the owner or the third party requester, which indicates the date that the paper was served on the other party (or parties) in a reexamination proceeding.
Reexam Change in Pwr Atty for Third Party Requester Reexamination A change in Power of Attorney (POA) for third party requester (May include associate POA).
Reexam Court of Appeals Decision RenderedReexaminationNotification that a Court of Appeals decision was mailed by the Court in a reexamination proceeding.
Reexam Defective Brief FiledReexaminationAn appeal brief that is defective, because it is not in a format in compliance with the rules of practice governing appeal briefs in a reexamination proceeding.
Reexam Fee Payment Only FiledReexaminationAn incoming paper filed by the owner or the third party requester, which only includes payment of a fee
Reexam follow-on papers received in OIPEReexaminationAny follow-on incoming ex parte reexam papers (control no. 90/xxxxxx or 95/xxxxxx) addressed to the CRU/TC may, and probably will, initially be indexed with a generic document code. An auto-message will be sent for review by CRU/TC SPRE. This code may also be used for an internal notice and/or special instructions to SPRE/SPE/Examiner.
Reexam Miscellaneous Incoming LetterReexaminationA miscellaneous letter filed by either the owner or the third party requester in a reexamination proceeding.
Reexam Notice of Court ActionReexaminationA notification filed by any party informing the Office of action taken by the Court with respect to patent being reexamined, or other patent.
Reexam Miscellaneous Incoming Letter Reexamination A miscellaneous letter filed by either the owner or the third party requester in a reexamination proceeding.
Reexam Notice of Court Action Reexamination A notification filed by any party informing the Office of action taken by the Court with respect to patent being reexamined, or other patent.
Reexam Request for Extension of TimeReexaminationA letter or petition filed by the owner, requesting an extension of time to respond to the last Office action in a reexamination proceeding.
Reexam Req for For Priority (Priority Papers May Be Incl) Reexamination A letter filed by the owner requesting that foreign priority be given to the patent being reexamined
Reexam Request to Lift Suspension of ProsecutionReexaminationA letter requesting that the suspension of the reexamination proceeding be lifted.
Reexam Response to Final RejectionReexaminationA response filed by the patent owner in response to a final rejection, which is placed in the file, but not automatically entered; it is entered only if approved by the examiner for entry in a reexamination proceeding.
Reexam Timely Patent Owner's Statement in Response to Order ReexaminationAn optional "statement" that was filed by patent owner more than two months after the mailing of the order, and is therefore not timely filed in a reexamination proceeding.
Reexam Timely Requester's Reply to an Owner's Statement Reexamination An optional requester's reply was filed by the requester within two months of the service of the owner's statement on the requester in a Reexamination Proceeding.
Reexam Untimely Reqr Reply to Owner Stmnt Reexamination An optional third party requester's "reply" that was filed by the requester more than two months from the date of service of the owner's "statement" on the requester, and therefore is not timely filed.
Reexam follow-on papers received in OIPE Reexamination Any follow-on incoming ex parte reexam papers (control no. 90/xxxxxx or 95/xxxxxx) addressed to the CRU/TC may, and probably will, initially be indexed with a generic document code. An auto-message will be sent for review by CRU/TC SPRE. This code may also be used for an internal notice and/or special instructions to SPRE/SPE/Examiner.
Request to Merge Reexam ProceedingsReexaminationA letter requesting that the reexamination be merged with another copending reexamination proceeding for reexamination of the same patent.
Requester Appeal to the Federal Circuit ReexaminationThird party requester filed an Appeal to the Federal Circuit
Reqr Comments on Examiners Determ after Board Decision Reexamination Third party requester filed Comments on Examiner's Determination after Board Decision With New Ground of Rejection
Requester Comments on Patent Owner Response after Board Decision ReexaminationComments filed by third party requester, after Patent Owner Response after Board Decision
Requester Request for Rehearing after Board Decision Reexamination Third party requester filed a Request for Rehearing after Board Decision
Respondent Brief- Owner Reexamination Patent owner filed a Respondent Brief, after an Appellant Brief was filed by the third party requester in an inter partes reexamination proceeding.
Respondent Brief- Requester Reexamination Third Party Requester filed a Respondent Brief, after an Appellant Brief was filed by the patent in an inter partes reexamination proceeding
Third Party Requester Comments after Action Closing Prosecution Reexamination Third party requester comments filed after Action Closing Prosecution. Can only be filed in response to patent owner amendment/comments after the Action Closing Prosecution.
Third Party Requester Comments after Non-final Action Reexamination Third party requester Comments after Non-final Action
Requester Request for Rehearing after Board Decision ReexaminationThird party requester filed a Request for Rehearing after Board Decision
Respondent Brief- OwnerReexaminationPatent owner filed a Respondent Brief, after an Appellant Brief was filed by the third party requester in an inter partes reexamination proceeding.
Respondent Brief- RequesterReexaminationThird Party Requester filed a Respondent Brief, after an Appellant Brief was filed by the patent in an inter partes reexamination proceeding
Response after non-final action-owner timelyReexaminationA timely amendment filed by the patent owner in an inter partes reexamination proceeding in response to a non-final Office action issued by the examiner, based on the merits of the proceedings.
Third Party Requester Comments after Action Closing ProsecutionReexaminationThird party requester comments filed after Action Closing Prosecution. Can only be filed in response to patent owner amendment/comments after the Action Closing Prosecution.
Third Party Requester Comments after Non-final ActionReexaminationThird party requester Comments after Non-final Action
Trans Letter filing of a response in a reexam ReexaminationA general Transmittal letter accompanying the filing of a paper in a reexamination proceeding.
Withdrawal of AppealReexaminationLetter filed by either the Patent Owner or the 3rd Party Requester in an inter partes reexamination proceeding requesting the withdrawal of the Appeal.
Consent of Assignee accompanying the declaration ReissueIf any of the inventors has/have assigned (transferred) their ownership of the original patent to one or more assignees, then all of the assignees must consent to the filing of a reissue application. The consent must be accompanied by an assignee showing of ownership per 37 CFR 3.73(b) for each assignee.
Notice of concurrent proceedings / decisions Reissue In ex parte reexamination proceedings, patent owners are required to file a notice of concurrent proceedings and decisions on such proceedings in which the patent is or was involved.
Reissue dec filed in accordance with MPEP 1414ReissueEach inventor must make a reissue oath or declaration under 37 CFR 1.175(a)(1) and (2) that: (1) he/she believes the original patent to be wholly or partly inoperative or invalid by reason of a defective specification or drawing, or by reason of the patentee claiming more or less than the patentee had the right to claim in the patent, stating at least one error being relied upon as the basis for reissue; (2) he/she believes the original patent to be wholly or partly inoperative or invalid by reason of a defective specification or drawing, or by reason of the patentee claiming more or less than the patentee had the right to claim in the patent, stating at least one error being relied upon as the basis for reissue; and (3) various other statements under 37 CFR § 1.63. Under 37 CFR 1.172 - the reissue oath or declaration must be signed by all of the actual inventors unless: (a) the reissue declaration is being executed by the assignee of the entire right title and interest of the patent (where the reissue application does not enlarge the scope of the claims of the original patent) or (b) the provisions of 37 CFR §§ 1.42, 1.43 or 1.47 are satisfied.
Supplemental reissue declaration filed in accordance with MPEP 1414.01ReissueAfter the first filed reissue oath or declaration, one or more additional reissue oaths or declarations may later be required. For example, if errors not covered by a prior reissue declaration are later corrected during prosecution of the application, then a supplemental reissue oath/declaration under either 37 CFR 1.175(b) or (c) must be filed prior to allowance by the examiner. If any error previously stated in the original reissue oath or declaration is still being corrected, then the supplemental oath/declaration need only state that “every error in the patent which was corrected in the present reissue application, and which is not covered by the prior oath(s) and/or declaration(s) submitted in this application, arose without any deceptive intention on the part of the applicant.” If no error previously stated in the original reissue oath or declaration is still being corrected, then the supplemental reissue oath or declaration must also specify at least one error being corrected in the reissue application. The supplemental reissue oath or declaration must be signed by the same parties who can sign an original declaration/oath.
Transmittal Reissue ApplicationReissueUpon filing any papers in the USPTO for a reissue application, applicant includes a transmittal letter stating/listing the contents of the submission, including any fees that may accompany the papers. This filing may include an Express Mail Certificate of Mailing.

Document Indexing
General rules for document description indexing

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