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298 | Patent it YOURSELF mechanism, or its connector structure, and a design patent application on the shape of the computer’s case. Design patent applications are very easy to prepare, except for the drawings. If filing by mail, a design patent application consists of: • A design Patent Application Transmittal (Form 10-11 or PTO/SB/18) • A fee Transmittal (Form 10-3 or PTO/SB/17) • The fee by check, money order, or CCPF (see Form 10-3, Appendix 4, Fee Schedule, or check the PTO website) • A Drawing or Drawings in black-line format. • A Specification (Form 10-10) having the following five elements: ■■ ■■ ■■ Preamble (should state the nature and intended use of the design) Cross-Reference to Related Applications† (should state any related applications you have (or will) file) Statement Regarding Federally Sponsored Research† (used when the design was made under a government contract) ■■ Drawing Figures (describe each drawing figure briefly) ■■ Claim (state “I claim the ornamental design for (title of your design) as shown.”) • A PAD (Form 10-1 or PTO/SB/01) • A receipt postcard ■■ You may also file an Application Data Sheet (ADS) (Form PTO SB/14) but this is optional if filing by mail. † If this section is not applicable, you may eliminate it or add the phrase “Not Applicable” A design application specification with the five elements, above, is provided as Form 10-10 and a completed version is provided as Fig. 10S. If you believe that your invention has a unique ornamental appearance that is significantly different from anything heretofore designed, you can file a design patent application on it. Although not 100% kosher, some inventors file a design application on the external appearance of a utility invention that is unpatentable in the utility sense, and that has unfinalized or trivial novelty in the design sense. They do this mainly to be able to truthfully and legally state for a few years that the invention is “patent pending.” The first step in completing a design application is to prepare drawings in the same format as for a regular patent application. (See Section A, above.) However, the drawings for the design application should show only the exterior appearance of your invention; no interior parts or workings should be shown and no reference numerals are used. The drawings of a design patent application, whether formal or informal, must be done with good surface and edge shading; see Fig. 10R. If your invention is a computer-generated symbol (such as an icon like a trash can or a type font), you can file a design patent application on it, but you must show more than just the symbol per se. This is because the pertinent statute (35 USC 171) requires that the design be “an article of manufacture” and the PTO does not consider a computer symbol, per se, as an article. The solution? Simply include a computer display (monitor or display panel) in your drawing and show the computer-generated symbol on the display. Both the symbol and the display should be drawn in solid lines. Usually only one embodiment of a design is permitted. If you have several embodiments or versions of your design, you can include these all in one application. But if the examiner feels they don’t all relate to the same inventive concept, you’ll be required to restrict the application to one embodiment. In this case, you can file a divisional application(s) on the other embodiment(s), provided you do so before the original application issues. (See Chapter 14 for divisional applications.) It’s important to remember that drawings of your design application should have enough figures to show all of the details of the external surface of your design. A company I once worked for had an important design patent on a TV set held invalid because the design patent’s drawings failed to show the rear side of the TV set. Once you’ve made your drawings (in formal or informal form) fill out Form 10-10 as indicated in Fig. 10S. The title of your design can be very simple and need not be specifically directed toward your invention. For example, “Bicycle” is sufficient. Each view of the drawing should be separately indicated. For example, “Fig. 1 is a front perspective view of my bicycle. Fig. 2 is a side view,” etc. Note that the design application has one claim only, and to write that claim you need merely fill in the blank on Form 10-10 with the title of your design. In the event that you offer more description—for example, you elaborate on figures more than merely stating the type of view—then, at the end of your claim, add the words, “and described.” Fill out the fee transmittal (Form 10-3) (the amount is on the form, in Appendix 4, and at the PTO’s website). Also complete the PAD (Form 10-1). (The SED Statement is on the fee transmittal.) No transmittal letter is needed since Form 10-10 inherently provides a transmittal letter. The design application with the drawings, form, declaration, and receipt postcard, should be sent to the PTO in the same manner as your regular patent application. Be sure to keep an identical copy of your design application, including its drawings.
ChAPtER 10 | FINALING AND MAILING YOUR APPLICATION | 299 In the United States Patent and Trademark Office Serial Number: Appn. Filed: Applicant(s): Appn. Title: Examiner/GAU: 11/123,456 2011 Dec 3 Goldberger, David Wind Generator Using Stratus Rotor, Etc. Hayness / 654 Mailed: At: 2011 December 3 San Francisco Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 Petition to Make Special Sir: Applicant hereby respectfully petitions that the above application be made special under MPEP Sec. 708.02 for the following reason; attached is a declaration in support thereof: ■ ✓ Applicant’s Health Is Poor ■ Applicant’s Age Is 65 or Greater ✓ Very respectfully, Applicant(s): David Goldberger Attachment(s): Fee if indicated and supporting Declaration Applicant(s): c/o: David Goldberger 119 Walnut St. San Francisco, CA 94123 Telephone: 415-722-0362 Certificate of Mailing I certify that this correspondence will be deposited with the United States Postal Service as first class mail with proper postage affixed in an envelope addressed to: “Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450” on the date below. Date: 20 11 December 3 David Goldberger , Applicant Fig. 10U—Completed Petition to Make Special (Form 10-9 in Appendix 7)
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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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Nondisclosure Agreement 1. Parties.
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Positive and Negative Factors Evalu
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Form 10-1A: Declaration for Utility
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In the United States Patent and Tra
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Design Patent Application—Preambl
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they may do so with the written con
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Universal License Agreement 1. Part
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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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