A Guide to Filing a Design Patent Application · A Guide To Filing A Design Patent Application In...

Extracts from

United States Patent andTrademark Office

A Guide to Filing aDesign Patent Application

United States Patent and Trademark Office

A Guide To Filing A Design Patent Application

In addition, the filing fee set forth in 37 CFR§1.16(f) is also required. If applicant is a smallentity, (an independent inventor, a small businessconcern, or a non-profit organization), the filing feeis reduced by half.

The Preamble

The Preamble, if included, should state the name ofthe applicant, the title of the design, and a briefdescription of the nature and intended use of thearticle in which the design is embodied. Allinformation contained in the preamble will be printedon the patent, should the claimed design be deemedpatentable.

The Title

The Title of the design must identify the article inwhich the design is embodied by the name generallyknown and used by the public. Marketingdesignations are improper as titles and should not beused. A title descriptive of the actual article aids theexaminer in developing a complete field of search ofthe prior art. It further aids in the proper assignmentof new applications to the appropriate class, subclass,and patent examiner, as well as the properclassification of the patent upon allowance of theapplication. It also helps the public in understandingthe nature and use of the article embodying thedesign after the patent has been published. Thus,applicants are encouraged to provide a specific anddescriptive title.

The Figure Descriptions

The Figure Descriptions indicate what each view ofthe drawings represents, i.e., front elevation, topplan, perspective view, etc.

Any description of the design in the specification,other than a brief description of the drawing, isgenerally not necessary since, as a general rule, thedrawing is the design's best description. However,while not required, a special description is notprohibited.

In addition to the figure descriptions, the followingtypes of statements are permissible in thespecification:

1. A description of the appearance of portions of theclaimed design which are not illustrated in thedrawing disclosure (i.e., “the right side elevationalview is a mirror image of the left side”).

2.Description disclaiming portions of the article notshown, that form no part of the claimed design.

3.Statement indicating that any broken lineillustration of environmental structure in thedrawing is not part of the design sought tobe patented.

4.Description denoting the nature and environmentaluse of the claimed design, if not included inthe preamble.

A Single Claim

A design patent application may only include a singleclaim. The claim defines the design which applicantwishes to patent, in terms of the article in which it isembodied or applied. The claim must be in formalterms to “The ornamental design for (the articlewhich embodies the design or to which it is applied)as shown.” The description of the article in the claimshould be consistent in terminology with the title ofthe invention.

When there is a properly included special descriptionof the design in the specification, or a propershowing of modified forms of the design, or otherdescriptive matter has been included in thespecification, the words “and described” should beadded to the claim following the term “shown.” Theclaim should then read “The ornamental design for(the article which embodies the design or to which itis applied) as shown and described.”

Drawings or Black andWhite Photographs

The drawing disclosure is the most importantelement of the application. Every design patentapplication must include either a drawing or a blackand white photograph of the claimed design. As the

3

Owner

Highlight


United States Patent and Trademark Office4

drawing or photograph constitutes the entire visualdisclosure of the claim, it is of utmost importancethat the drawing or photograph be clear andcomplete, that nothing regarding the design sought tobe patented is left to conjecture. The design drawingor photograph must comply with the disclosurerequirements of 35 U.S.C. 112, first paragraph. Tomeet the requirements of 35 U.S.C. 112, thedrawings or photographs must include a sufficientnumber of views to constitute a complete disclosureof the appearance of the design claimed.

Drawings are normally required to be in black ink onwhite paper. Black and white photographs, in lieu ofdrawings, are permitted subject to the requirementsof 37 CFR §1.84(b)(1) and §1.152. Applicant shouldrefer to these rules, included at the end of this guide.These rules set forth in detail the requirements forproper drawings in a design patent application.

Black and white photographs submitted on doubleweight photographic paper must have the drawingfigure number entered on the face of the photograph.Photographs mounted on Bristol board may have thefigure number shown in black ink on the Bristolboard, proximate the corresponding photograph.

Black and white photographs and ink drawings mustnot be combined in a formal submission of the visualdisclosure of the claimed design in one application.The introduction of both photographs and inkdrawings in a design application would result in ahigh probability of inconsistencies betweencorresponding elements on the ink drawings ascompared with the photographs. Photographssubmitted in lieu of ink drawings must not discloseenvironmental structure but must be limited to theclaimed design itself.

Color Drawings orColor Photographs

The Office will accept color drawings orphotographs in design patent applicationsonly after the granting of a petition filed under37 CFR §1.84(a)(2), explaining why the colordrawings or photographs are necessary. Anysuch petition must include the fee set forth in37 CFR § 1.17(h), three sets of color drawings orphotographs, a black and white photocopy that

accurately depicts the subject matter shown in thecolor drawings or photographs, and the specificationmust contain the following language before thedescription of the drawings:

The file of this patent contains a least one drawingexecuted in color. Copies of this patent with colordrawings will be provided by the United StatesPatent and Trademark Office upon request andpayment of the necessary fee.

If color photographs are submitted as informaldrawings and the applicant does not consider thecolor to be part of the claimed design, a disclaimershould be added to the specification as follows: “Thecolor shown on the claimed design forms no partthereof.” Color will be considered an integral part ofthe disclosed and claimed design in the absence of adisclaimer filed with the original application. Adisclaimer may only be used when filing colorphotographs as informal drawings, as 37 CFR §1.152requires that the disclosure in formal photographs belimited to the design for the article claimed.

The Views

The drawings or photographs should contain asufficient number of views to completely disclose theappearance of the claimed design, i.e., front, rear,right and left sides, top and bottom. While notrequired, it is suggested that perspective views besubmitted to clearly show the appearance and shapeof three-dimensional designs. If a perspective viewis submitted, the surfaces shown would normally notbe required to be illustrated in other views if thesesurfaces are clearly understood and fully disclosed inthe perspective.

Views that are merely duplicates of other views ofthe design or that are merely flat and include noornamentality may be omitted from the drawing ifthe specification makes this explicitly clear. Forexample, if the left and right sides of a design areidentical or a mirror image, a view should beprovided of one side and a statement made in thedrawing description that the other side is identical ora mirror image. If the bottom of the design is flat, aview of the bottom may be omitted if the figuredescriptions include a statement that the bottom isflat and unornamented. The term "unornamented"should not be used to describe visible surfaces that

Owner

Highlight



include structure that is clearly not flat. In somecases, the claim may be directed to an entire article,but because all sides of the article may not be visibleduring normal use, it is not necessary to disclosethem. A sectional view which more clearly bringsout elements of the design is permissible, however asectional view presented to show functional features,or interior structure not forming part of the claimeddesign, is neither required nor permitted.

Surface Shading

The drawing should be provided with appropriatesurface shading which shows clearly the characterand contour of all surfaces of any three-dimensionalaspects of the design. Surface shading is alsonecessary to distinguish between any open and solidareas of the design. Solid black surface shading isnot permitted except when used to represent the colorblack as well as color contrast. Lack of appropriatesurface shading in the drawing as filed may renderthe shape and contour of the design nonenablingunder 35 U.S.C. 112, first paragraph. Additionally, ifthe shape of the design is not evident from thedisclosure as filed, addition of surface shading afterfiling may be viewed as new matter. New matter isanything that is added to, or from, the claim,drawings or specification, that was neither shown norsuggested in the original application (see 35 U.S.C.132 and 37 CFR § 1.121, at the end of this guide).

Broken Lines

A broken line disclosure is understood to be forillustrative purposes only and forms no part of the

claimed design. Structure that is not part of theclaimed design, but is considered necessary to showthe environment in which the design is used, may berepresented in the drawing by broken lines. Thisincludes any portion of an article in which the designis embodied or applied to that is not considered partof the claimed design. When the claim is directed tojust surface ornamentation for an article, the article inwhich it is embodied must be shown in broken lines.

In general, when broken lines are used, they shouldnot intrude upon or cross the showing of the claimeddesign and should not be of heavier weight than thelines used in depicting the claimed design. Where abroken line showing of environmental structure mustnecessarily cross or intrude upon the representationof the claimed design and obscures a clearunderstanding of the design, such an illustrationshould be included as a separate figure in addition tothe other figures which fully disclose the subjectmatter of the design.

The Oath or Declaration

The oath or declaration required of the applicantmust comply with the requirements set forth in 37CFR §1.63.

Disclosure Examples

So that the applicant will better understand whatconstitutes a complete disclosure, examples ofdrawing disclosures and their accompanyingspecifications are provided on the following pages.

5

Owner

Highlight



Disclosure Examples

Example 1-Disclosure Of The Entire Article

Specification

I, John Doe, have invented a new design for ajewelry cabinet, as set forth in the followingspecification. The claimed jewelry cabinet isused to store jewelry and could sit on a bureau.

Fig. 1 is a front elevational view of ajewelry cabinet showing my newdesign;

Fig. 2 is a rear elevational view thereof;

Fig. 3 is a left side elevational viewthereof;

Fig. 4 is a right side elevational viewthereof;

Fig. 5 is a top plan view thereof; and

Fig. 6 is a bottom plan view thereof.

I claim: the ornamental design for a jewelrycabinet as shown.

Drawing Disclosure



7

Disclosure Examples

Example 2-Disclosure of only the surfaces of anarticle that are visible during use (no bottom viewor description necessary)

Specification

I, John Doe, have invented a new design for ajewelry cabinet, as set forth in the followingspecification. The claimed jewelry cabinetis used for storing jewelry and could sit ona bureau.


Fig. 2 is a rear elevational view thereof;


Fig. 4 is a right side elevational viewthereof;

Fig. 5 is a top plan view thereof.

I claim: the ornamental design for a jewelrycabinet as shown.

Drawing Disclosure



Disclosure Examples

Example 3-Disclosure of only the surfaces of anarticle that are visible during use - The rear viewdisclosed by description

Specification

I, John Doe, have invented a new design for ajewelry cabinet, as set forth in the followingspecification. The claimed jewelry cabinet isused for storing jewelry and could sit on abureau.



Fig. 3 is a right side elevational viewthereof; and

Fig. 4 is a top plan view thereof.

The rear of the jewelry cabinet is flat andunornamented.

I claim: the ornamental design for a jewelrycabinet as shown and described.

Drawing Disclosure



9

Disclosure Examples

Example 4-Disclosure of a surface pattern asclaimed design, applied to an article

Specification

I, John Doe, have invented a new design for asurface pattern applied to a jewelry cabinet, asset forth in the following specification.

Fig. 1 is a front elevational view of asurface pattern applied to a jewelrycabinet showing my new design;

Fig. 2 is a left side elevational viewthereof, the right side being a mirrorimage.

The jewelry cabinet is shown in brokenlines for illustrative purposes only andforms no part of the claimed design.

I claim: the ornamental design for a surfacepattern applied to a jewelry cabinet as shownand described.

Drawing Disclosure



will then either withdraw the rejection and allow theapplication or, if not persuaded by the remarks and/oramendments submitted, repeat the rejection andmake it Final. Applicant may file an appeal with theBoard of Patent Appeals and Interferences after

given a final rejection or after the claim has beenrejected twice. Applicant may also file a newapplication prior to the abandonment of the originalapplication, claiming benefit of the earlier filing date.This will allow continued prosecution of the claim.

Drawing Examples

The two types of shading commonly employed indesign patent application drawings are straight-linesurface shading and stippling. Individually or in

combination, they can effectively represent thecharacter and contour of most surfaces.

Straight-line Surface Shading

Wrist Watch

Sink

Lawn Sprinkler

Vacuum Cleaner



Stippling

Combination of Straight LineShading and Stippling

Note that both stippling and straight-line surfaceshading, while permissible on the same object toshow surface contrast, should not be used together onthe same surface.

13

Shower Caddy Puppet

Wheel

Chair

Drawing Examples



Transparent Materials

Note that elements visible behind transparentsurfaces should be shown in light, full lines, notbroken lines.

Broken Line Disclosure

Broken lines may be used to show environment andboundaries that form no part of the claimed design.

Drawing Examples

Aquarium Perfume Bottle

Tire

Paper Cutter



Exploded View

An exploded view is only supplementary to a fullyassembled view. A bracket must be employed toshow the association of elements.

Set of Game Components- Fully Assembled View

Alternate Positions

The alternate positions of a design, or an element ofthe design, must be shown in separate views.

15

Drawing Examples

Set of Game Components-Exploded View

Personal Computer



Indeterminate Length

Note the use of a separation and a bracket to indicatethat, for ease of illustration, the precise length of themolding is not claimed.

Drawing Examples

Picture Frame Molding

Christmas Tree Stand

Combined Writing Instrument AndPocket Holder Therefor

Cross-sectional View

Cross-sections may be employed to clarify thedisclosure and to minimize the number of views.

Multiple Embodiments

Multiple embodiments of a single concept may befiled in one design application, so long as theirappearance and shape are similar, as shown below.



Specific Materials

17

Drawing Examples

Multi-Pocketed Storage Bag

Sandal

Computer Printer Stand



Graphical symbols for conventional elements may beused on the drawing when appropriate, subject toapproval by the Office. The symbols that followhave been approved for such use. This collection doesnot purport to be exhaustive; other standard andcommonly used symbols will also be acceptableprovided they are clearly understood, are adequatelyidentified in the specification as filed, and do notcreate confusion with other symbols used inpatent drawings.

NOTES: In general, in lieu of a symbol, aconventional element, combination or circuit may beshown by an appropriately labeled rectangle, squareor circle; abbreviations should not be used unlesstheir meaning is evident and not confusing with theabbreviations used in the suggested symbols.

Symbols for Draftsmen



submission of a supplemental application datasheet, an oath or declaration under § 1.63 or §1.67, or a letter pursuant to § 1.33(b).

37 CFR 1.84 Standards for drawings

(a) Drawings. There are two acceptable categoriesfor presenting drawings in utility and design patentapplications.

(1) Black ink. Black and white drawings arenormally required. India ink, or its equivalentthat secures solid black lines, must be used fordrawings;

or

(2) Color. On rare occasions, color drawings maybe necessary as the only practical medium bywhich to disclose the subject matter sought to bepatented in a utility or design patent application orthe subject matter of a statutory inventionregistration. The color drawings must be ofsufficient quality such that all details in thedrawings are reproducible in black and white inthe printed patent. Color drawings are notpermitted in international applications (see PCTRule 11.13), or in an application, or copy thereof,submitted under the Office electronic filingsystem. The Office will accept color drawings inutility or design patent applications and statutoryinvention registrations only after granting apetition filed under this paragraph explaining whythe color drawings are necessary. Any suchpetition must include the following:

(i) The fee set forth in § 1.17(h);

(ii) Three (3) sets of color drawings;

(iii) A black and white photocopy thataccurately depicts, to the extent possible, thesubject matter shown in the color drawing;

and

(iv) An amendment to the specification toinsert (unless the specification contains or hasbeen previously amended to contain) thefollowing language as the first paragraph ofthe brief description of the drawings:

The patent or application file contains at leastone drawing executed in color. Copies of thispatent or patent application publication withcolor drawing(s) will be provided by the

Office upon request and payment of thenecessary fee.

(b) Photographs.

(1) Black and white. Photographs, includingphotocopies of photographs, are not ordinarilypermitted in utility and design patent applications.The Office will accept photographs in utility anddesign patent applications, however, ifphotographs are the only practicable medium forillustrating the claimed invention. For example,photographs or photomicrographs of:electrophoresis gels, blots (e.g., immunological,western, Southern, and northern), auto-radiographs, cell cultures (stained and unstained),histological tissue cross sections (stained andunstained), animals, plants, in vivo imaging, thinlayer chromatography plates, crystallinestructures, and, in a design patent application,ornamental effects, are acceptable. If the subjectmatter of the application admits of illustration bya drawing, the examiner may require a drawing inplace of the photograph. The photographs mustbe of sufficient quality so that all details in thephotographs are reproducible in the printedpatent.

(2) Color photographs. Color photographs willbe accepted in utility and design patentapplications if the conditions for accepting colordrawings and black and white photographs havebeen satisfied. See paragraphs (a)(2) and (b)(1)of this section.

(c) Identification of drawings. Identifying indicia, ifprovided, should include the title of the invention,inventor's name, and application number, or docketnumber (if any) if an application number has notbeen assigned to the application. If this informationis provided, it must be placed on the front of eachsheet and centered within the top margin.

(d) Graphic forms in drawings. Chemical ormathematical formulae, tables, and waveforms maybe submitted as drawings and are subject to the samerequirements as drawings. Each chemical ormathematical formula must be labeled as a separatefigure, using brackets when necessary, to show thatinformation is properly integrated. Each group ofwaveforms must be presented as a single figure, usinga common vertical axis with time extending along thehorizontal axis. Each individual waveform discussedin the specification must be identified with a separateletter designation adjacent to the vertical axis.

25

Owner

Highlight

Owner

Highlight

Owner

Highlight

Owner

Highlight



(e) Type of paper. Drawings submitted to the Officemust be made on paper, which is flexible, strong,white, smooth, non-shiny, and durable. All sheetsmust be reasonably free from cracks, creases, andfolds. Only one side of the sheet may be used for thedrawing. Each sheet must be reasonably free fromerasures and must be free from alterations,overwritings, and interlineations. Photographs mustbe developed on paper meeting the sheet-sizerequirements of paragraph (f) of this section and themargin requirements of paragraph (g) of this section.See paragraph (b) of this section for otherrequirements for photographs.

(f) Size of paper. All drawing sheets in an applicationmust be the same size. One of the shorter sides of thesheet is regarded as its top. The size of the sheets onwhich drawings are made must be:

(1) 21.0 cm. by 29.7 cm. (DIN size A4), or

(2) 21.6 cm. by 27.9 cm. (8 1/2 by 11 inches).

(g) Margins. The sheets must not contain framesaround the sight (i.e., the usable surface), but shouldhave scan target points (i.e., cross hairs) printed ontwo cater-corner margin corners. Each sheet mustinclude a top margin of at least 2.5 cm. (1 inch), a leftside margin of at least 2.5 cm. (1 inch), a right sidemargin of at least 1.5 cm. (5/8 inch), and a bottommargin of at least 1.0 cm. (3/8 inch), thereby leavinga sight no greater than 17.0 cm. by 26.2 cm. on 21.0cm. by 29.7 cm. (DIN size A4) drawing sheets, and asight no greater than 17.6 cm. by 24.4 cm. (6 15/16by 9 5/8 inches) on 21.6 cm. by 27.9 cm. (8 1/2 by 11inch) drawing sheets.

(h) Views. The drawing must contain as many viewsas necessary to show the invention. The views maybe plan, elevation, section, or perspective views.Detail views of portions of elements, on a largerscale if necessary, may also be used. All views of thedrawing must be grouped together and arranged onthe sheet(s) without wasting space, preferably in anupright position, clearly separated from one another,and must not be included in the sheets containing thespecifications, claims, or abstract. Views must not beconnected by projection lines and must not containcenterlines. Waveforms of electrical signals may beconnected by dashed lines to show the relative timingof the waveforms.

(1) Exploded views. Exploded views, with theseparated parts embraced by a bracket, to showthe relationship or order of assembly of various

parts are permissible. When an exploded view isshown in a figure, which is on the same sheet asanother figure, the exploded view should beplaced in brackets.

(2) Partial views. When necessary, a view of alarge machine or device in its entirety may bebroken into partial views on a single sheet, orextended over several sheets if there is no loss infacility of understanding the view. Partial viewsdrawn on separate sheets must always be capableof being linked edge to edge so that no partialview contains parts of another partial view. Asmaller scale view should be included showingthe whole formed by the partial views andindicating the positions of the parts shown. Whena portion of a view is enlarged for magnificationpurposes, the view and the enlarged view musteach be labeled as separate views.

(i) Where views on two or more sheets form,in effect, a single complete view, the views onthe several sheets must be so arranged that thecomplete figure can be assembled withoutconcealing any part of any of the viewsappearing on the various sheets.

(ii) A very long view may be divided intoseveral parts placed one above the other on asingle sheet. However, the relationshipbetween the different parts must be clear andunambiguous.

(3) Sectional views. The plane upon which asectional view is taken should be indicated on theview from which the section is cut by a brokenline. The ends of the broken line should bedesignated by Arabic or Roman numeralscorresponding to the view number of the sectionalview, and should have arrows to indicate thedirection of sight. Hatching must be used toindicate section portions of an object, and must bemade by regularly spaced oblique parallel linesspaced sufficiently apart to enable the lines to bedistinguished without difficulty. Hatching shouldnot impede the clear reading of the referencecharacters and lead lines. If it is not possible toplace reference characters outside the hatchedarea, the hatching may be broken off whereverreference characters are inserted. Hatching mustbe at a substantial angle to the surrounding axesor principal lines, preferably 45°. A cross sectionmust be set out and drawn to show all of thematerials as they are shown in the view from

Owner

Highlight



which the cross section was taken. The parts incross section must show proper material(s) byhatching with regularly spaced parallel obliquestrokes, the space between strokes being chosenon the basis of the total area to be hatched. Thevarious parts of a cross section of the same itemshould be hatched in the same manner and shouldaccurately and graphically indicate the nature ofthe material(s) that is illustrated in cross section.The hatching of juxtaposed different elementsmust be angled in a different way. In the case oflarge areas, hatching may be confined to anedging drawn around the entire inside of theoutline of the area to be hatched. Different typesof hatching should have different conventionalmeanings as regards the nature of a material seenin cross section.

(4) Alternate position. A moved position may beshown by a broken line superimposed upon asuitable view if this can be done withoutcrowding; otherwise, a separate view must beused for this purpose.

(5) Modified forms. Modified forms ofconstruction must be shown in separate views.

(i) Arrangement of views. One view must not beplaced upon another or within the outline of another.All views on the same sheet should stand in the samedirection and, if possible, stand so that they can beread with the sheet held in an upright position. Ifviews wider than the width of the sheet are necessaryfor the clearest illustration of the invention, the sheetmay be turned on its side so that the top of the sheet,with the appropriate top margin to be used as theheading space, is on the right-hand side. Words mustappear in a horizontal, left-to-right fashion when thepage is either upright or turned so that the topbecomes the right side, except for graphs utilizingstandard scientific convention to denote the axis ofabscissas (of X) and the axis of ordinates (of Y).

(j) Front page view. The drawing must contain asmany views as necessary to show the invention.One of the views should be suitable for inclusion onthe front page of the patent application publicationand patent as the illustration of the invention.Views must not be connected by projection linesand must not contain centerlines. Applicant maysuggest a single view (by figure number) forinclusion on the front page of the patent applicationpublication and patent.

(k) Scale. The scale to which a drawing is made mustbe large enough to show the mechanism withoutcrowding when the drawing is reduced in size to two-thirds in reproduction. Indications such as “actualsize” or “scale 1/2” on the drawings are not permittedsince these lose their meaning with reproduction in adifferent format.

(l) Character of lines, numbers, and letters. Alldrawings must be made by a process, which willgive them satisfactory reproductioncharacteristics. Every line, number, and lettermust be durable, clean, black (except for colordrawings), sufficiently dense and dark, anduniformly thick and well defined. The weight ofall lines and letters must be heavy enough topermit adequate reproduction. This requirementapplies to all lines however fine, to shading, andto lines representing cut surfaces in sectionalviews. Lines and strokes of different thicknessmay be used in the same drawing where differentthicknesses have a different meaning.

(m) Shading. The use of shading in views isencouraged if it aids in understanding the inventionand if it does not reduce legibility. Shading is usedto indicate the surface or shape of spherical,cylindrical, and conical elements of an object. Flatparts may also be lightly shaded. Such shading ispreferred in the case of parts shown in perspective,but not for cross sections. See paragraph (h)(3) ofthis section. Spaced lines for shading are preferred.These lines must be thin, as few in number aspracticable, and they must contrast with the rest ofthe drawings. As a substitute for shading, heavylines on the shade side of objects can be used exceptwhere they superimpose on each other or obscurereference characters. Light should come from theupper left corner at an angle of 45°??Surfacedelineations should preferably be shown by propershading. Solid black shading areas are not permitted,except when used to represent bar graphs or color.

(n) Symbols. Graphical drawing symbols may beused for conventional elements when appropriate.The elements for which such symbols and labeledrepresentations are used must be adequatelyidentified in the specification. Known devicesshould be illustrated by symbols, which have auniversally recognized conventional meaning and aregenerally accepted in the art. Other symbols, whichare not universally recognized, may be used, subjectto approval by the Office, if they are not likely to be

27

Owner

Highlight



confused with existing conventional symbols, and ifthey are readily identifiable.

(o) Legends. Suitable descriptive legends may beused subject to approval by the Office, or may berequired by the examiner where necessary forunderstanding of the drawing. They should containas few words as possible.

(p) Numbers, letters, and reference characters.

(1) Reference characters (numerals are preferred),sheet numbers, and view numbers must be plainand legible, and must not be used in associationwith brackets or inverted commas, or enclosedwithin outlines, e.g., encircled. They must beoriented in the same direction as the view so as toavoid having to rotate the sheet. Referencecharacters should be arranged to follow theprofile of the object depicted.

(2) The English alphabet must be used for letters,except where another alphabet is customarilyused, such as the Greek alphabet to indicateangles, wavelengths, and mathematical formulas.

(3) Numbers, letters, and reference charactersmust measure at least .32 cm. (1/8 inch) in height.They should not be placed in the drawing so as tointerfere with its comprehension. Therefore, theyshould not cross or mingle with the lines. Theyshould not be placed upon hatched or shadedsurfaces. When necessary, such as indicating asurface or cross section, a reference charactermay be underlined and a blank space may be leftin the hatching or shading where the characteroccurs so that it appears distinct.

(4) The same part of an invention appearing inmore than one view of the drawing must alwaysbe designated by the same reference character,and the same reference character must never beused to designate different parts.

(5) Reference characters not mentioned in thedescription shall not appear in the drawings.Reference characters mentioned in the descriptionmust appear in the drawings.

(q) Lead lines. Lead lines are those lines between thereference characters and the details referred to. Suchlines may be straight or curved and should be as shortas possible. They must originate in the immediateproximity of the reference character and extend tothe feature indicated. Lead lines must not cross eachother. Lead lines are required for each referencecharacter except for those, which indicate the surface

or cross section on which they are placed. Such areference character must be underlined to make itclear that a lead line has not been left out by mistake.Lead lines must be executed in the same way as linesin the drawing. See paragraph (l) of this section.

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

(1) On a lead line, a freestanding arrow to indicatethe entire section towards which it points;

(2) On a lead line, an arrow touching a line toindicate the surface shown by the line lookingalong the direction of the arrow;

or

(3) To show the direction of movement.

(s) Copyright or Mask Work Notice. A copyright ormask work notice may appear in the drawing, butmust be placed within the sight of the drawingimmediately below the figure representing thecopyright or mask work material and be limited toletters having a print size of .32 cm. to .64 cm. (1/8to 1/4 inches) high. The content of the notice mustbe limited to only those elements provided for bylaw. For example, “©1983 John Doe” (17 U.S.C.401) and “*M* John Doe” (17 U.S.C. 909) wouldbe properly limited and, under current statutes,legally sufficient notices of copyright and maskwork, respectively. Inclusion of a copyright ormask work notice will be permitted only if theauthorization language set forth in § 1.71(e) isincluded at the beginning (preferably as the firstparagraph) of the specification.

(t) Numbering of sheets of drawings. The sheets ofdrawings should be numbered in consecutiveArabic numerals, starting with 1, within the sight asdefined in paragraph (g) of this section. Thesenumbers, if present, must be placed in the middle ofthe top of the sheet, but not in the margin. Thenumbers can be placed on the right-hand side if thedrawing extends too close to the middle of the topedge of the usable surface. The drawing sheetnumbering must be clear and larger than thenumbers used as reference characters to avoidconfusion. The number of each sheet should beshown by two Arabic numerals placed on either sideof an oblique line, with the first being the sheetnumber and the second being the total number ofsheets of drawings, with no other marking.

Owner

Highlight



(u) Numbering of views.

(1) The different views must be numbered inconsecutive Arabic numerals, starting with 1,independent of the numbering of the sheets and, ifpossible, in the order in which they appear on thedrawing sheet(s). Partial views intended to formone complete view, on one or several sheets, mustbe identified by the same number followed by acapital letter. View numbers must be preceded bythe abbreviation “FIG.” Where only a single viewis used in an application to illustrate the claimedinvention, it must not be numbered and theabbreviation “FIG.” must not appear.

(2) Numbers and letters identifying the viewsmust be simple and clear and must not be used inassociation with brackets, circles, or invertedcommas. The view numbers must be larger thanthe numbers used for reference characters.

(v) Security markings. Authorized security markingsmay be placed on the drawings provided they areoutside the sight, preferably centered in the topmargin.

(w) Corrections. Any corrections on drawingssubmitted to the Office must be durable andpermanent.

(x) Holes. No holes should be made by applicant inthe drawing sheets.

(y) Types of drawings. See § 1.152 for designdrawings, § 1.165 for plant drawings, and § 1.174 forreissue drawings.

37 CFR 1.121 Manner of making amendmentsin application.

(a) Amendments in applications, other than reissueapplications. Amendments in applications, otherthan reissue applications, are made by filing a paper,in compliance with § 1.52, directing that specifiedamendments be made.

(b) Specification other than the claims and listingsprovided for elsewhere (§§ 1.96 and 1.825).

(1) Amendment by instruction to delete, replace,or add a paragraph. Amendments to thespecification, other than the claims and listingsprovided for elsewhere (§§ 1.96 and 1.825), maybe made by submitting:

(i) An instruction, which unambiguouslyidentifies the location, to delete one or moreparagraphs of the specification, replace adeleted paragraph with one or morereplacement paragraphs, or add one or moreparagraphs;

(ii) Any replacement or added paragraph(s) inclean form, that is, without markings toindicate the changes that have been made;

and

(iii) Another version of any replacementparagraph(s), on one or more pages separatefrom the amendment, marked up to show all thechanges relative to the previous version of theparagraph(s). The changes may be shown bybrackets (for deleted matter) or underlining (foradded matter), or by any equivalent markingsystem. A marked up version does not have tobe supplied for an added paragraph or a deletedparagraph as it is sufficient to state that aparticular paragraph has been added, or deleted.

(2) Amendment by replacement section. If thesections of the specification contain sectionheadings as provided in §§ 1.77(b), 1.154(b), or §1.163(c), amendments to the specification, otherthan the claims, may be made by submitting:

(i) A reference to the section heading alongwith an instruction to delete that section of thespecification and to replace such deletedsection with a replacement section;

(ii) A replacement section in clean form, thatis, without markings to indicate the changesthat have been made;

and

(iii) Another version of the replacementsection, on one or more pages separate fromthe amendment, marked up to show allchanges relative to the previous version of thesection. The changes may be shown bybrackets (for deleted matter) or underlining(for added matter), or by any equivalentmarking system.

(3) Amendment by substitute specification. Thespecification, other than the claims, may also beamended by submitting:

(i) An instruction to replace the specification;

(ii) A substitute specification in compliancewith § 1.125(b);

29

Owner

Highlight



and

(iii) Another version of the substitutespecification, separate from the substitutespecification, marked up to show all changesrelative to the previous version of thespecification. The changes may be shown bybrackets (for deleted matter), or underlining(for added matter), or by any equivalentmarking system.

(4) Reinstatement: Deleted matter may bereinstated only by a subsequent amendmentpresenting the previously deleted matter.

(c) Claims.

(1) Amendment by rewriting, directions to cancelor add: Amendments to a claim must be made byrewriting such claim with all changes (e.g.,additions, deletions, modifications) included.The rewriting of a claim (with the same number)will be construed as directing the cancellation ofthe previous version of that claim. A claim mayalso be canceled by an instruction.

(i) A rewritten or newly added claim must bein clean form, that is, without markings toindicate the changes that have been made. Aparenthetical expression should follow theclaim number indicating the status of the claimas amended or newly added (e.g., “amended”,“twice amended,” or “new”).

(ii) If a claim is amended by rewriting suchclaim with the same number, the amendmentmust be accompanied by another version of therewritten claim, on one or more pages separatefrom the amendment, marked up to show allthe changes relative to the previous version ofthat claim. A parenthetical expression shouldfollow the claim number indicating the statusof the claim, e.g., “amended”, “twiceamended”, etc. The parenthetical expression“amended”, “twice amended”, etc. should bethe same for both the clean version of the claimunder paragraph (c)(1)(i) of this section and themarked up version under this paragraph. Thechanges may be shown by brackets (for deletedmatter) or underlining (for added matter), or byany equivalent marking system. A marked upversion does not have to be supplied for anadded claim or a canceled claim as it issufficient to state that a particular claim hasbeen added, or canceled.

(2) A claim canceled by amendment (deleted in itsentirety) may be reinstated only by a subsequentamendment presenting the claim as a new claimwith a new claim number.

(3) A clean version of the entire set of pendingclaims may be submitted in a single amendmentpaper. Such a submission shall be construed asdirecting the cancellation of all previous versionsof any pending claims. A marked up version isrequired only for claims being changed by thecurrent amendment (see paragraph (c)(1)(ii) ofthis section). Any claim not accompanied by amarked up version will constitute an assertion thatit has not been changed relative to the immediateprior version.

(d) Drawings. Application drawings are amended inthe following manner: Any change to the applicationdrawings must be submitted on a separate papershowing the proposed changes in red for approval bythe examiner. Upon approval by the examiner, newdrawings in compliance with § 1.84 including thechanges must be filed.

(e) Disclosure consistency. The disclosure must beamended, when required by the Office, to correctinaccuracies of description and definition, and tosecure substantial correspondence between theclaims, the remainder of the specification, and thedrawings.

(f) No new matter. No amendment may introducenew matter into the disclosure of an application.

(g) Exception for examiner's amendments: Changesto the specification, including the claims, of anapplication made by the Office in an examiner'samendment may be made by specific instructions toinsert or delete subject matter set forth in theexaminer's amendment by identifying the precisepoint in the specification or the claim(s) where theinsertion or deletion is to be made. Compliance withparagraphs (b)(1), (b)(2) or (c)(1) of this section isnot required.

(h) Amendments in reissue applications. Anyamendment to the description and claims in reissueapplications must be made in accordance with §1.173.

(i) Amendments in reexamination proceedings:Any proposed amendment to the description andclaims in patents involved in reexaminationproceedings in both ex parte reexaminations filedunder § 1.510 and inter partes reexaminations

Owner

Highlight



filed under § 1.913 must be made in accordancewith § 1.530(d)-(j).

(j) Amendments in provisional applications:Amendments in provisional applications are notnormally made. If an amendment is made to aprovisional application, however, it must complywith the provisions of this section. Any amendmentsto a provisional application shall be placed in theprovisional application file but may not be entered.

37 CFR 1.152 Design drawings

The design must be represented by a drawing thatcomplies with the requirements of § 1.84 and mustcontain a sufficient number of views to constitute acomplete disclosure of the appearance of the design.Appropriate and adequate surface shading should beused to show the character or contour of the surfacesrepresented. Solid black surface shading is notpermitted except when used to represent the colorblack as well as color contrast. Broken lines may beused to show visible environmental structure, butmay not be used to show hidden planes and surfacesthat cannot be seen through opaque materials.Alternate positions of a design component,illustrated by full and broken lines in the same vieware not permitted in a design drawing. Photographsand ink drawings are not permitted to be combined asformal drawings in one application. Photographssubmitted in lieu of ink drawings in design patentapplications must not disclose environmentalstructure but must be limited to the design claimedfor the article.

37 CFR 1.153 Title, description and claim, oathor declaration

(a) The title of the design must designate theparticular article. No description, other than areference to the drawing, is ordinarily required. Theclaim shall be in formal terms to the ornamentaldesign for the article (specifying name) as shown, oras shown and described. More than one claim isneither required nor permitted.

(b) The oath or declaration required of the applicantmust comply with § 1.63.

37 CFR 1.154 Arrangement of applicationelements in a design application

(a) The elements of the design application, ifapplicable, should appear in the following order:

(1) Design application transmittal form.

(2) Fee transmittal form.

(3) Application data sheet (see § 1.76).

(4) Specification.

(5) Drawings or photographs.

(6) Executed oath or declaration (see § 1.153(b)).

(b) The specification should include the followingsections in order:

(1) Preamble, stating the name of the applicant,title of the design, and a brief description of thenature and intended use of the article in which thedesign is embodied.

(2) Cross-reference to related applications (unlessincluded in the application data sheet).

(3) Statement regarding federally sponsoredresearch or development.

(4) Description of the figure or figures of thedrawing.

(5) Feature description.

(6) A single claim.

(c) The text of the specification sections defined inparagraph (b) of this section, if applicable, should bepreceded by a section heading in uppercase letterswithout underlining or bold type.

37 CFR 1.155 Expedited examination ofdesign applications

(a) The applicant may request that the Officeexpedite the examination of a design application. Toqualify for expedited examination:

(1) The application must include drawings incompliance with § 1.84;

(2) The applicant must have conducted a pre-examination search; and

(3) The applicant must file a request for expeditedexamination including:

(i) The fee set forth in § 1.17(k);

31

Owner

Highlight

A Guide to Filing a Design Patent Application · A Guide To Filing A Design Patent Application In...

Documents

Transcript of A Guide to Filing a Design Patent Application · A Guide To Filing A Design Patent Application In...