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282 | Patent it YOURSELF number assigned to your application and mail it back to you as soon as they open your letter (which can take two weeks). If you’re filing from abroad, be sure that your return postcard has sufficient U.S. postage. You can confirm the postcard postage to any nation at the U.S. Postal Service website (www.usps.gov) and you can usually buy U.S. stamps abroad at a philatelic store. 6. Maintain an Orderly File I often consult with “pro se” inventors (that is, those who have prepared and filed their own patent applications). Usually they bring me their “application” in the form of a sloppy, loose stack of mixed-up—and occasionally missing— papers. You’ll avoid this problem, and the serious trouble it can get you into, if you’ll heed Inventor’s Commandment 19, shown at the beginning of this chapter, which admonishes you to mount all official papers (those sent to and received from the PTO) in a separate folder. It’s good practice to write the date received on every paper you receive connected with your invention and also date every outgoing paper. You should have a two-part folder or jacket for (a) your application, and (b) correspondence to and from the PTO. Keep your prior-art references in a large envelope loose inside the folder. To avoid confusion, I recommend that you keep other nonofficial papers concerning your invention in a separate folder. 7. Assembly and Mailing of Your Application—Final Checklist Congratulations. You’re now ready to mail your patent application to the PTO, unless you want to include an Information Disclosure Statement (Section G), an Assignment (Section H), and/or a Petition to Make Special (Section I). If you do want to include any of these with your application (optional), consult the indicated sections, complete your paperwork, and then come back to this point. Assemble in the following order—and carefully check —the following items, which are the third part of the checklist I started in Chapter 8; please do this carefully and methodically, as “haste makes waste,” especially when applying for a patent. I suggest that you file a good photocopy of your signed application and keep the original of your application. In this way you can make copies later if the application is lost in the mail, or if you need to send them to manufacturers when you market your invention. (See Chapter 11.) Staple the pages of the specification, claims, abstract, and declarations together. Attach the drawings with a paper clip or other temporary fastener. Only one copy need be filed. If you mail the application by Express Mail, the papers should be transmitted in an Express Mail envelope. If the application doesn’t have more than about eight pages, you should include one or two sheets of cardboard or internal envelopes to protect the drawing from bending. You may send the application to the PTO by first-class mail, but if it’s lost in the mail, you will lose your filing date I strongly recommend that you use Express Mail (see next section). 8. Using Express Mail to Get an Instant Filing Date I strongly recommend you send your application to the PTO by Express Mail (EM). This will provide strong protection against loss of your application, secure full legal rights in case it is lost, give you an “instant” filing date (the date you actually mail your application), and will enable you to make absolutely sure your application is on file before the one-year period expires if a PPA was filed or the invention was put on sale, sold, or published. You must use “Express Mail Post Office to Addressee” service and you must indicate that you’re using this service by completing the EM section at the top of your transmittal letter (Form 10-2, Fig. 10J). Type the EM number in the box at the top right, fourth line of Form 10-2. The PTO’s Rule 10 (37 CFR 1.10) states, in effect, that mailing any paper to the PTO by EM, with the EM number on the transmittal letter, is the same as physically delivering the paper directly to the PTO. Thus you can consider and call your application “patent pending” as soon as the postal clerk hands you the EM receipt, and your filing date will be the date on this receipt, provided all papers of the application are present and are properly completed. Since postal clerks often don’t press hard enough when they date the EM receipt, I recommend you ask the clerk to stamp the receipt also with their rubber date stamp. If you’ve followed the final checklist above, your application will now be properly on file, i.e., patent pending. CAUTION You should NOT send your application by registered mail, certified mail, or private courier (Federal Express, etc.), and you should NOT use any “Certificate of Mailing” (Chapter 13). This is because Rule 10 does not give applicants any advantages if they use these methods of transmission. If you use any of these, your filing date will be the date the application is actually received at the PTO and you’ll have no rights if your application is lost.
ChaPter 10 | FINALING and MAILING Your APPLICATION | 283 Final Checklist for Filing a Patent Application by Mail n Return Receipt Postcard addressed to you with all papers listed on back.* n If you are paying the filing fee by a check or money order, make it out for the correct filing fee (basic fee plus fee for any excess claims).* Make sure you have adequate funds on deposit or available on your credit card. n Transmittal Letter and Fee Transmittal properly completed and signed.* n If you are paying the filing fee using a Credit Card Payment Form, be sure it is made out for the correct filing fee (basic fee plus fee for any excess claims).* Make sure your credit limit is not in jeopardy. n Drawing sheets all present; drawings clear, complete, and understandable. Drawings show every feature in claims. The sheet number and total number of sheets (e.g. “1/3”) is on the front (below top margin) and your name is on the top back. Originals of drawings (or disk file if CAD used) kept in safe place. n Specification, Claims, and Abstract included; description of invention clear and complete, all reference numbers, dates, spelling, and grammar double-checked, and claims drafted per Chapter 9. n Typing is clear and readable and 1.5 or double-spaced; use any normal font, 12-point minimum size. n Application is prepared in form for making proper A4 copies later if foreign filing contemplated (optional). n Top (above page numbers) and left margin is at least 2.5 cm on all pages. n No sentence is longer than about 13 words, paragraphs are not longer than about a half a page, and a heading is supplied about every two pages. n Claims are separated by an extra line. n Claims and abstract start on new pages. n No changes made after application signed. n Patent Application Declaration (PAD) completed, signed, and dated in ink. (The PTO will accept a PAD, or virtually any other document which has a photocopy of your signature. However, you must always be able to produce the ink-signed original.) n Parts are assembled in above order and copies are made for your file. n Information Disclosure Statement, Forms 10-5 and 10-6 (A and B) with references attached if you’re filing it with your application (see Section G below). Otherwise IDS must be sent within three months. n Petition to Make Special, Form 10-9 and Supporting Declaration (optional to speed application processing; see Section I below). n Assignment and transmittal letter (optional—see Section H below). n Envelope addressed to: Mail Stop Patent Application P.O. Box 1450 Alexandria, VA 22313-1450* n If there are joint inventors, all should complete, sign, and date multiple copies of a Joint Owners’ Agreement (Form 16-2; Chapter 16, Section C) and each inventor should keep an original. Do not file this with the PTO. n Have another person check your papers for compliance with these rules. * Not applicable for EFS-Web filings.
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N O LO ® “The best roll-up-your-
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Products & Services Books & Softwar
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15th edition Patent It Yourself You
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Acknowledgments My deep thanks go t
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2 3 4 The Science and Magic of Inve
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8 9 E. Make and Sell Your Invention
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13 14 J. The Patent Laws of Other C
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Appendixes 1 2 Abbreviations Used i
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Your Legal Companion A. You Don’t
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Your Legal COMPANION | 3 D. Should
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Nondisclosure Agreement 1. Parties.
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Form 3-4: Application Data Sheet—
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Positive and Negative Factors Evalu
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whether or not any royalty payment
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Bestsellers The Small Business Star
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Keep Up to Date 1 Go to Nolo.com/ne
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About the Author David Pressman is
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