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

	by calling the USPTO's General Information Services Division at 800-PTO-9199 or 703-308-4357,
	from the USPTO's Web site at www.uspto.gov , and
	at your nearest Patent and Trademark Depository Library (PTDL). You will find information on PTDLs at the end of this guide.

There are various types of patents -- utility, design, and plant. There are also two types of utility and plant patent applications -- provisional and nonprovisional. Each year the USPTO receives approximately 300,000 patent applications. Most of these are for nonprovisional utility patents.

This guide contains information to assist you in filing your nonprovisional utility patent application. It discusses the required parts of the utility patent application and identifies some of the forms you may use (which are available on the USPTO's Web site www.uspto.gov). This information is generally derived from patent laws and regulations, found at Title 35 of the United States Code (U.S.C.), and Title 37 of the Code of Federal Regulations (CFR). These materials, as well as the Manual of Patent Examining Procedure, are available at the USPTO's Web site (www.uspto.gov), PTDLs, and at most law libraries.

If you have questions about:

	other types of patent applications,
	locating a patent attorney or agent,
	obtaining the most up-to-date Fee Schedule, or
	obtaining copies of other USPTO publications,

please contact General Information Services Division, the USPTO’s Web site, or a PTDL.

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Nonprovisional Utility Patent

Application Requirements

A nonprovisional utility patent application must be in the English language or be accompanied by a verified translation in the English language and a fee set forth in 37 CFR §1.17(i) [Non-English Specification Fee Code 139].

All papers which are to become part of the permanent records of the USPTO must be typewritten or produced by a mechanical (or computer) printer. The text must be in permanent black ink or its equivalent; on a single side of the paper; in portrait orientation; on white paper that is all of the same size, flexible, strong, smooth, nonshiny, durable, and without holes. The paper size must be either:

	21.6 cm. by 27.9 cm. (81/2 by 11 inches), or
	21.0 cm. by 29.7 cm. (DIN size A4).

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

A nonprovisional utility patent application must include a specification, including a claim or claims; drawings, when necessary; an oath or declaration; and the prescribed filing fee. A complete nonprovisional utility patent application should contain the elements listed below, arranged in the order shown.

	Utility Patent Application Transmittal Form or Transmittal Letter
	Fee Transmittal Form and Appropriate Fee
	Application Data Sheet (see 37 CFR § 1.76)
	Specification (with at least one claim)
	Drawings (when necessary)
	Oath or Declaration
	Nucleotide and/or Amino Acid Sequence Listing (when necessary)

These elements are further described as follows:

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Utility Patent Application Transmittal Form or Transmittal Letter

A Utility Patent Application Transmittal Form (Form PTO/SB/05) or a transmittal letter should be filed with every patent application to instruct the USPTO as to what actual types of papers are being filed (e.g., specification, claims drawings, declaration, information disclosure statement). It identifies the name of the applicant, the type of application, the title of the invention, the contents of the application, and any accompanying enclosures. (Form PTO/SB/21 is to be used for all correspondence after initial filing.)

Fee Transmittal Form and Appropriate Fee

The Fee Transmittal Form (Form PTO/SB/17) may be used to calculate the prescribed filing fees and indicate the method of payment, by check or by credit card. The amount and type of filing fees are dependent upon the number and type of claims presented.

The filing fee(s) for a patent application should be submitted with the application and must be made payable to the "Commissioner of Patents and Trademarks" if paid by check. If an application is filed without the basic filing fee, the applicant will be notified and will be required to submit the filing fee along with a surcharge within the time period set in the notice. Fees are subject to change and the applicant should consult the current Fee Schedule before filing.

Please note that two sets of fees exist, one for small entities and one for other than small entities. If you qualify as a small entity for patent fee purposes, no special form is required to claim your entitlement to reduced fees (you may check a special box on the transmittal form), but you should only pay small entity rates after ensuring that you qualify for the small entity discount. For example, if the inventors have not assigned any rights in the invention set forth in the application and are not under any obligation to do so (as may be required in an employment contract), small entity status is appropriate.

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Application Data Sheet

The application data sheet is a sheet or sheets, that may be voluntarily submitted in either provisional or nonprovisional applications, which contains bibliographic data, arranged in a format specified by the USPTO. Specific bibliographic data includes applicant information, correspondence information, application information, representative information, domestic priority information, foreign priority information and assignment information. (See 37 CFR § 1.76.) The sheets must be produced according to a format provided by the USPTO and which is downloadable to applicant’s computer.

Supplemental application data sheets may be subsequently supplied prior to payment of issue fee to either correct or update information in a previously submitted application data sheet, or an oath or declaration under title 37 CFR § 1.63 or 1.67. However, inventorship changes are governed by 37 CFR § 1.48, correspondence changes are governed by 37 CFR § 1.33(a), and citizenship changes are governed by 37 CFR § 1.63 or 1.67. Supplemental application data sheets should indicate the information that is being supplemented, and therefore need not and should not contain information previously supplied that has not changed.

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Specification

The specification is a written description of the invention and of the manner and process of making and using the same. The specification must be in such full, clear, concise, and exact terms as to enable any person skilled in the art or science to which the invention pertains to make and use the same.

Computer program listings, when submitted as part of the specification, must be direct printouts (not copies) from the computer's printer with dark, solid black letters not less than 0.21 cm. (0.08 inch) high (elite type), on white, unshaded and unlined paper; and the sheets should be submitted in a protective cover. The pages of the specification (but not the transmittal letter sheets or other forms), including claims and abstract, should be numbered consecutively, starting with 1. The page numbers should be centrally located preferably below the text. The lines of the specification must be 1.5 or double spaced (lines of text not comprising the specification need not be 1.5 or double spaced). It is desirable to include an indentation at the beginning of each new paragraph, and for paragraphs to be numbered (0001 etc.).

It is preferable to use all of the section headings described below to represent the parts of the specification. Section headings should be in upper case without underlining or bold type. If the section contains no text, the phrase "Not Applicable" should follow the section heading.

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Title of Invention

The title of the invention (or an introductory portion stating the name, citizenship, residence of each applicant, and the title of the invention) should appear as the heading on the first page of the specification. Although a title may have up to 500 characters, the title must be as short and specific as possible.

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Cross-Reference to Related Applications

Any nonprovisional utility patent application claiming the benefit of one or more prior filed copending nonprovisional applications (or international applications designating the United States of America) under 35 USC §§ 120, 121 or 365(c) must contain in the first sentence of the specification following the title, a reference to each such prior application, identifying it by the application number or international application number and international filing date, and indicating the relationship of the applications, or include the reference to the earlier application in an application data sheet. (See 37 CFR § 1.76.) Cross-references to other related patent applications may be made when appropriate.

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Statement Regarding Federally Sponsored Research or Development

The application should contain a statement as to rights to inventions made under federally sponsored research and development (if any).

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Reference to Sequence Listing, a Table, or a Computer Program Listing Compact Disk Appendix

Any material submitted separately on a compact disc must be referenced in the specification. The only disclosure material accepted on compact disc are computer program listings, gene sequence listings and tables of information. All such information submitted on compact disc must be in compliance with 37 CFR § 1.52(e), and the specification must contain a reference to the compact disc and its contents. The contents of compact disc files must be in standard ASCII character and file formats. The total number of compact discs including duplicates and the files on each compact disc must be specified.

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

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

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

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Background of the Invention

This section should include a statement of the field of endeavor to which the invention pertains. This section may also include a paraphrasing of the applicable U.S. patent Classification Definitions or the subject matter of the claimed invention. In the past, this part of this section may have been titled "Field of Invention" or "Technical Field."

This section should also contain a description of information known to you, including references to specific documents, which are related to your invention. It should contain, if applicable, references to specific problems involved in the prior art (or state of technology) which your invention is drawn toward. In the past, this section may have been titled "Description of the Related Art" or "Description of Prior Art."

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Brief Summary of the Invention

This section should present the substance or general idea of the claimed invention in summarized form. The summary may point out the advantages of the invention and how it solves previously existing problems, preferably those problems identified in the BACKGROUND OF THE INVENTION. A statement of the object of the invention may also be included.

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Brief Description of the Several Views of the Drawing

Where there are drawings, you must include a listing of all figures by number (e.g., Figure 1A) and with corresponding statements explaining what each figure depicts.

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Detailed Description of the Invention

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

It is required that the description be sufficient so that any person of ordinary skill in the pertinent art, science, or area could make and use the invention without extensive experimentation. The best mode contemplated by you of carrying out your invention must be set forth in the description. Each element in the drawings should be mentioned in the description. This section has often, in the past, been titled "Description of the Preferred Embodiment."

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Claim or Claims

The claim or claims must particularly point out and distinctly claim the subject matter which you regard as the invention. The claims define the scope of the protection of the patent. Whether a patent will be granted is determined, in large measure, by the choice of wording of the claims.

A nonprovisional application for a utility patent must contain at least one claim. The claim or claims section must begin on a separate sheet. If there are several claims, they shall be numbered consecutively in Arabic numerals, with the least restrictive claim presented as claim number 1.

The claims section must begin with a statement such as "What I claim as my invention is: . . ." or "I (We) claim: . . ." followed by the recitation of the particular matter which you regard as your invention.

One or more claims may be presented in dependent form, referring back to and further limiting another claim or claims in the same application. All dependent claims should be grouped together with the claim or claims to which they refer to the extent practicable. Any dependent claim that refers to more than one other claim ("a multiple dependent claim") shall refer to such other claims in the alternative only. Each claim should be a single sentence, and where a claim sets forth a number of elements or steps, each element or step of the claim should be separated by a line indentation.

The fee required to be submitted with a nonprovisional utility patent application is, in part, determined by the number of claims, independent claims, and dependent claims.

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Abstract of the Disclosure

The purpose of the abstract is to enable the USPTO and the public to determine quickly the nature of the technical disclosures of your invention. The abstract points out what is new in the art to which your invention pertains. It should be in narrative form and generally limited to a single paragraph, and it must begin on a separate page. An abstract should not be longer than 150 words.

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Drawings (when necessary)

A patent application is required to contain drawings if drawings are necessary for the understanding of the subject matter sought to be patented. The drawings must show every feature of the invention as specified in the claims. Omission of drawings may cause an application to be considered incomplete. Please see the detailed discussion of drawing requirements.

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Oath Or Declaration

The oath or declaration (Forms PTO/SB/01, PTO/SB/02A and PTO/SB/02B may be used) must identify the application with which it is associated, and must give the name, city, and either state or country of residence, country of citizenship, and mailing address of each inventor. It must state whether the inventor is a sole or joint inventor of the invention claimed. Additionally, designation of a correspondence address is needed on the oath or declaration. Providing a correspondence address will help to ensure prompt delivery of all notices, official letters, and other communications. In addition, a shortened declaration may be used in conjuction with an Application Data Sheet (see Form PTO/SB/01A).

The oath or declaration must be signed by all of the actual inventors. An oath may be administered by any person within the United States, or by a diplomatic or consular officer of a foreign country, who is authorized by the United States to administer oaths. A declaration does not require any witness or person to administer or verify its signing. Thus, use of a declaration is preferable.

The oath or declaration must be in a language which you understand. If you comprehend the English language, you should preferably use an English language oath or declaration. If you cannot comprehend English, any oath or declaration must be in a language which you can comprehend and shall state that you understand the content of any documents to which the oath or declaration relates. If the oath or declaration used is in a language other than English, the oath or declaration must either be (1) accompanied by a verified English translation, or (2) in a form provided or approved by the United States Patent and Trademark Office.

If the person making the oath or declaration is not the inventor, the oath or declaration shall state the relationship of that person to the inventor, upon information and belief, the facts which the inventor would have been required to state, and the circumstances which render the inventor unable to sign, namely death, insanity or legal incapacity or unavailability/refusal to sign. (See 37 CFR §§ 1.42, 1.43, and 1.47.) If the inventor has refused or cannot be reached to sign the declaration, then a petition under 37 CFR § 1.47 is required, and if there are inventors who have signed the oath or declaration, then the remaining inventors must sign the oath or declaration on behalf of the non-signing inventor. If the sole or all of the inventors has not signed the oath or declaration, then the oath or declaration must be signed by the party showing proprietary interest in the application, as shown in the petition under 37 CFR § 1.47(b). If the inventor has died or is legally incapacitated, then the legal representative of the deceased or incapacitated inventor must sign the oath or declaration on behalf of the inventor.

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Sequence Listing (when necessary)

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

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Obtaining a Receipt for Documents Mailed to USPTO

A receipt for documents mailed to the USPTO can be obtained by attaching a stamped, self-addressed postcard to the first page of the documents. The postcard should contain a detailed list that identifies each type of document and the number of pages of each document. Upon receipt at the USPTO, the detailed list on the postcard will be compared to the actual contents of the delivery. Any discrepancies between the detailed list and the actual contents will be noted on the postcard. The postcard will be initialed and date stamped by the person at the USPTO who received the delivery. The postcard will be returned by mail to the addressee whose name appears on the postcard.

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

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

	the application number (if known)
	the confirmation number (if known)
	the filing date of the application (if known)
	the title of the invention
	the name of the inventor or inventors.

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

	the title and number of pages of each USPTO form
	the number of pages of specification (excluding claims)
	the number of claims and the number of claim pages
	the number of figures of drawing and the number of sheets of drawing
	whether an oath or declaration statement is included and the number of pages
	the type and number of other documents that are included and the number of pages of each document
	the amount of payment and the method of payment (i.e., check, credit card, money order, or deposit account).

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

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

Upon receipt of the returned postcard, the addressee should promptly review the postcard to ensure that all documents and all pages were received by the USPTO.

Pursuant to 35 USC 21 and 37 CFR § 1.10, any correspondence received by the USPTO (including an application filing) that was delivered by the “Express Mail Post Office to Addressee” service of the United States Postal Service (USPS) will be considered filed in the Office on the date of deposit with the USPS. The date of deposit with the USPS is shown by the “date-in” on the “Express Mail” mailing label or other official USPS notation. If the USPS deposit date cannot be determined, however, the correspondence will be accorded the Office receipt date as the filing date. Before depositing an application with the USPS in accordance with the Express Mail procedure set forth at 37 CFR § 1.10, it is important to place the number of the “Express Mail” mailing label on the application papers. Further, only one application should be mailed in a single “Express Mail” package.

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Drawing Requirements

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

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

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

	the appropriate fee set forth in 37 CFR §1.17(h)
	three sets of color drawings; and
	the following language as the first paragraph in that portion of the specification relating to the BRIEF DESCRIPTION OF THE SEVERAL VIEWS OF THE DRAWING. If the language is not in the specification, an amendment to insert the language must accompany the petition.

"The patent or application file contains at least one drawing executed in color. Copies of this patent or patent application publication with color drawing(s) will be provided by the Office upon request and payment of the necessary fee."

Photographs are not ordinarily permitted in utility patent applications. The USPTO will accept black and white photographs in utility patent applications only in applications in which the invention is not capable of being illustrated in an ink drawing or where the invention is shown more clearly in a photograph. For example, photographs or photomicrographs of electrophoresis gels, blots (e.g., immunological, western, southern, and northern), autoradiographs, cell cultures (stained and unstained), histological tissue cross sections (stained and unstained), animals, plants, in vivo imaging, thin layer chromatography plates, crystalline structures, and ornamental effects continue to be acceptable. Only one set of black and white photographs is required. Furthermore, no additional processing fee is required.

Photographs have the same sheet size requirements as other drawings. The photographs must be of sufficient quality so that all details in the drawing are reproducible in the printed patent or any patent application publication.

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

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Identification of Drawings

Identifying indicia, if provided, should include the title of the invention, the inventor's name, the application number (if known), the confirmation number (if known), and docket number (if any). This information should be placed on the top margin of each sheet of drawings, centered on the page. The name and telephone number of a person to call if the USPTO is unable to match the drawings to the proper application may also be provided.

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Graphic Forms in Drawings

Chemical or mathematical formulas, tables, computer program listings, and waveforms may be submitted as drawings and are subject to the same requirements as drawings. Each chemical or mathematical formula must be labeled as a separate figure, using brackets when necessary, to show that information is properly integrated. Each group of waveforms must be presented as a single figure, using a common vertical axis with time extending along the horizontal axis. Each individual waveform discussed in the specification must be identified with a separate letter designation adjacent to the vertical axis. These may be placed in a landscape orientation if they cannot be presented satisfactorily in a portrait orientation. Typewritten characters used in such formulas and tables must be chosen from a block (nonscript) type font or lettering style having capital letters which are at least 0.21 cm. (0.08 inch) high (elite type). A space at least 0.64 cm. (1/4 inch) high should be provided between complex formulas or tables and the text.

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Paper

Drawings submitted to the USPTO must be made on paper which is flexible, strong, white, smooth, nonshiny, and durable. All sheets must be free from cracks, creases, and folds. Only one side of the sheet shall be used for the drawing. Each sheet must be reasonably free from erasures and must be free from alterations, overwritings, and interlineations.

All drawings sheets, including sheets containing photographs, in an application must be the same size. One of the shorter sides of the sheet is regarded as its top. The size of the sheets on which drawings are made must be:

	21.6 cm. by 27.9 cm. (81/2 by 11 inches), or
	21.0 cm. by 29.7 cm. (DIN size A4).

The sheets must not contain frames around the sight (the usable surface), but should have scan target points (cross hairs) printed on two catercorner margin corners. The following margins are required:

	On 21.6 cm. by 27.9 cm. (81/2 by 11 inch) drawing sheets, each sheet must include a top margin of at least 2.5 cm. (1 inch), a left side margin of at least 2.5 cm. (1 inch), a right side margin of at least 1.5 cm. (5/8 inch), and a bottom margin of at least 1.0 cm. (3/8 inch) from the edges, thereby leaving a sight no greater than 17.6 cm. by 24.4 cm. (6 15/16 by 9 5/8 inches).
	On 21.0 cm. by 29.7 cm. (DIN size A4) drawing sheets, each sheet must include a top margin of at least 2.5 cm. (1 inch), a left side margin of at least 2.5 cm. (1 inch), a right side margin of at least 1.5 cm (5/8 inch), and a bottom margin of at least 1.0 cm. (3/8 inch) from the edges, thereby leaving a sight no greater than 17.0 cm. by 26.2 cm.

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

	on a lead line, a freestanding arrow to indicate the entire section toward which it points;
	on a lead line, an arrow touching a line to indicate the surface shown by the line looking along the direction of the arrow; or
	to show the direction of movement.

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