A Guide To Filing For A Design Patent via USPTO

A Guide to FilingA Design Patent Application

United States Patent and Trademark OfficeWashington, DC 20231

An Agency of the United States Department of Commerce

United States Patent and Trademark Office

A Guide To Filing A Design Patent Application

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■ Definition of a Design. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

■ Types of Designs and Modified Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

■ Difference Between Design and Utility Patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

■ Improper Subject Matter for Design Patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

■ Invention Development Organizations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

■ Elements of a Design Patent Application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

■ The Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

■ The Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

■ The Figure Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

■ A Single Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

■ Drawings or Black & White Photographs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

■ Color Drawings or Photographs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

■ The Views. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

■ Surface Shading and Drafting Symbols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

■ Broken Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

■ The Oath or Declaration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

■ Disclosure Examples. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

■ The Design Patent Application Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10


United States Patent and Trademark Officeii

■ Drawing Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

■ Symbols for Draftsmen . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

■ Patent Laws That Apply to Design Patent Applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

■ Rules That Apply to the Drawings of a Design Patent Application . . . . . . . . . . . . . . . . . . . . . 22

■ Sample Specification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32



Definition of a Design

Adesign consists of the visual ornamentalcharacteristics embodied in, or applied to, anarticle of manufacture. Since a design is

manifested in appearance, the subject matter of adesign patent application may relate to theconfiguration or shape of an article, to the surfaceornamentation applied to an article, or to thecombination of configuration and surfaceornamentation. A design for surface ornamentation isinseparable from the article to which it is applied andcannot exist alone. It must be a definite pattern ofsurface ornamentation, applied to an article ofmanufacture.

In discharging its patent-related duties, the UnitedStates Patent and Trademark Office (USPTO orOffice) examines applications and grants patents oninventions when applicants are entitled to them. Thepatent law provides for the granting of design patentsto any person who has invented any new, original andornamental design for an article of manufacture. Adesign patent protects only the appearance of thearticle and not structural or utilitarian features. Theprincipal statutes (United States Code) governingdesign patents are:

35 U.S.C. 171

35 U.S.C 172

35 U.S.C. 173

35 U.S.C. 102

35 U.S.C. 103

35 U.S.C. 112

35 U.S.C. 132

The rules (Code of Federal Regulations) pertainingto the drawing disclosure of a design patentapplication are:

37 CFR § 1.84

37 CFR § 1.152

37 CFR § 1.121

The following additional rules have been referred toin this guide:

37 CFR § 1.3

37 CFR § 1.63

37 CFR § 1.76

37 CFR § 1.153

37 CFR § 1.154

37 CFR § 1.155

A copy of these laws and rules is included at the endof this guide.

The practice and procedures relating to designapplications are set forth in chapter 1500 of theManual of Patent Examining Procedure (MPEP).Inquiries relating to the sale of the MPEP should bedirected to the Superintendent of Documents, UnitedStates Government Printing Office, Washington,D.C. 20402. Telephone: 202.512.1800.

Types of Designs andModified Forms

An ornamental design may be embodied in an entirearticle or only a portion of an article, or may beornamentation applied to an article. If a design isdirected to just surface ornamentation, it must beshown applied to an article in the drawings, and thearticle must be shown in broken lines, as it forms nopart of the claimed design.

A design patent application may only have a singleclaim (37 CFR § 1.153). Designs that areindependent and distinct must be filed in separateapplications since they cannot be supported by asingle claim. Designs are independent if there is noapparent relationship between two or more articles.For example, a pair of eyeglasses and a door handleare independent articles and must be claimed inseparate applications. Designs are considered distinctif they have different shapes and appearances even

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A Guide To Filing A Design Patent ApplicationU.S. Department of Commerce ■ Patent and Trademark Office ■ Washington, DC 20231


United States Patent and Trademark Office2

though they are related articles. For example, twovases having different surface ornamentationcreating distinct appearances must be claimed inseparate applications. However, modified forms, orembodiments of a single design concept may be filedin one application. For example, vases with onlyminimal configuration differences may beconsidered a single design concept and bothembodiments may be included in a singleapplication. An example of modified forms appearsat the bottom of Page 16.

The Difference Between Designand Utility Patents

In general terms, a “utility patent” protects the wayan article is used and works (35 U.S.C. 101), while a"design patent" protects the way an article looks (35U.S.C. 171). Both design and utility patents may beobtained on an article if invention resides both in itsutility and ornamental appearance. While utility anddesign patents afford legally separate protection, theutility and ornamentality of an article are not easilyseparable. Articles of manufacture may possess bothfunctional and ornamental characteristics.

Improper Subject Matter forDesign Patents

A design for an article of manufacture that isdictated primarily by the function of the article lacksornamentality and is not proper statutory subjectmatter under 35 U.S.C. 171. Specifically, if at thetime the design was created, there was no unique ordistinctive shape or appearance to the article notdictated by the function that it performs, the designlacks ornamentality and is not proper subject matter.In addition, 35 U.S.C. 171 requires that a design tobe patentable must be “original.” Clearly a designthat simulates a well-known or naturally occurringobject or person is not original as required by thestatute. Furthermore, subject matter that could beconsidered offensive to any race, religion, sex,ethnic group, or nationality is not proper subjectmatter for a design patent application (35 U.S.C. 171and 37 CFR § 1.3).

Invention DevelopmentOrganizations

Invention Development Organizations (IDO) areprivate and public consulting and marketingbusinesses that exist to help inventors bring theirinventions to market, or to otherwise profit from theirideas. While many of these organizations arelegitimate, some are not. Be wary of any IDO that iswilling to promote your invention or product withoutmaking a detailed inquiry into the merits of your ideaand giving you a full range of options which may ormay not include the pursuit of patent protection.Some IDOs will automatically recommend that youpursue patent protection for your idea with littleregard for the value of any patent that may ultimatelyissue. For example, an IDO may recommend that youadd ornamentation to your product in order to renderit eligible for a design patent, but not really explainto you the purpose or effect of such a change.Because design patents protect only the appearanceof an article of manufacture, it is possible thatminimal differences between similar designs canrender each patentable. Therefore, even though youmay ultimately receive a design patent for yourproduct, the protection afforded by such a patent maybe somewhat limited. Finally, you should also beaware of the broad distinction between utility anddesign patents, and realize that a design patent maynot give you the protection desired.

Elements of a DesignPatent Application

The elements of a design patent application shouldinclude the following:

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

(2) Description of the figure(s) of the drawing;

(3) Feature description (optional);

(4) A single claim;

(5) Drawings or photographs;

(6) Executed oath or declaration.



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

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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



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.

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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



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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



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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



The Design PatentApplication Process

The preparation of a design patent application andthe conducting of the proceedings in the USPTO toobtain the patent is an undertaking requiring theknowledge of patent law and rules and Patent andTrademark Office practice and procedures. A patentattorney or agent specially trained in this field is bestable to secure the greatest patent protection to whichapplicant is entitled. It would be prudent to seek theservices of a registered patent attorney or agent.Representation, however, is not required. Aknowledgeable applicant may successfullyprosecute his or her own application. However,while persons not skilled in this work may obtain apatent in many cases, there is no assurance that thepatent obtained would adequately protect theparticular design.

Of primary importance in a design patentapplication is the drawing disclosure, whichillustrates the design being claimed. Unlike autility application, where the "claim" describes theinvention in a lengthy written explanation, theclaim in a design patent application protects theoverall visual appearance of the design,“described” in the drawings. It is essential that theapplicant present a set of drawings (orphotographs) of the highest quality which conformto the rules and standards which are reproduced inthis guide. Changes to these drawings after theapplication has been filed, may introduce newmatter, which is not permitted by law (35 U.S.C.132). It is in applicant's best interest to ensure thatthe drawing disclosure is clear and complete priorto filing the application, since an incomplete orpoorly prepared drawing may result in a fatallydefective disclosure which cannot become a patent.It is recommended that applicant retain the servicesof a professional draftsperson who specializes inpreparing design patent drawings. Examples ofacceptable drawings and drawing disclosures areincluded in this Guide so that applicant will havesome idea of what is required and can prepare thedrawings accordingly.

Filing An Application

In addition to the drawing disclosure, certain otherinformation is necessary. While no specific format is

required, it is strongly suggested that applicantfollow the formats presented to ensure that theapplication is complete.

When a complete design patent application, alongwith the appropriate filing fee, is received by theOffice, it is assigned an Application Number and aFiling Date. A "Filing Receipt" containing thisinformation is sent to the applicant. The applicationis then assigned to an examiner. Applications areexamined in order of their filing date.

Examination

The actual “examination” entails checking forcompliance with formalities, ensuring completenessof the drawing disclosure and a comparison of theclaimed subject matter with the “prior art.” “Priorart” consists of issued patents and publishedmaterials. If the claimed subject matter is found tobe patentable, the application will be “allowed,” andinstructions will be provided to applicant forcompleting the process to permit issuance as a patent.

The examiner may reject the claim in the applicationif the disclosure cannot be understood or isincomplete, or if a reference or combination ofreferences found in the prior art, shows the claimeddesign to be unpatentable. The examiner will thenissue an Office action detailing the rejection andaddressing the substantive matters which effectpatentability.

This Office action may also contain suggestions bythe examiner for amendments to the application.Applicant should keep this Office action for his orher files, and not send it back to the Office.

Response

If, after receiving an Office action, applicant elects tocontinue prosecution of the application, a timelyreply to the action must be submitted. This replyshould include a request for reconsideration orfurther examination of the claim, along with anyamendments desired by the applicant, and must be inwriting. The reply must distinctly and specificallypoint out the supposed errors in the Office action andmust address every objection and/or rejection in theaction. If the examiner has rejected the claim overprior art, a general statement by the applicant that the



claim is patentable, without specifically pointing outhow the design is patentable over the prior art, doesnot comply with the rules.

In all cases where the examiner has said that a replyto a requirement is necessary, or where the examinerhas indicated patentable subject matter, the replymust comply with the requirements set forth by theexaminer, or specifically argue each requirement asto why compliance should not be required.

In any communication with the Office, applicantshould include the following items:

1. Application number (checked for accuracy).

2. Group art unit number (copied from filingreceipt or the most recent Office action).

3. Filing date.

4. Name of the examiner who prepared the mostrecent Office action.

5. Title of invention.

It is applicant's responsibility to make sure that thereply is received by the Office prior to the expirationof the designated time period set for reply. This timeperiod is set to run from the “Date Mailed,” which isindicated on the first page of the Office action. If thereply is not received within the designated timeperiod, the application will be consideredabandoned. In the event that applicant is unable toreply within the time period set in the Office action,abandonment may be prevented if a reply is filedwithin six months from the mail date of the Officeaction provided a petition for extension of time andthe fee set forth in 37 CFR § 1.17(a) are filed. Thefee is determined by the amount of time requested,and increases as the length of time increases. Thesefees are set by Rule and could change at any time.An “Extension of Time” does not have to beobtained prior to the submission of a reply to anOffice action; it may be mailed along with the reply.See insert for schedule of current fees. Note: anextension of time cannot be obtained whenresponding to a “Notice of Allowance.”

To ensure that a time period set for reply to an Officeaction is not missed; a “Certificate of Mailing”should be attached to the reply. This “Certificate”establishes that the reply is being mailed on a givendate. It also establishes that the reply is timely, if itwas mailed before the period for reply had expired,

and if it is mailed with the United States PostalService. A “Certificate of Mailing” is not the sameas “Certified Mail.” A suggested format for aCertificate of Mailing is as follows:

“I hereby certify that this correspondence is beingdeposited with the United States Postal Service asfirst class mail in an envelope addressed to: BoxDesign, Commissioner for Patents, Washington, D.C.20231, on (DATE MAILED)”

(Name - Typed or Printed)––––––––––––––––––––––––––––––––––––––––––

Signature__________________________________

Date______________________________________

If a receipt for any paper filed in the USPTO isdesired, applicant should include a stamped, self-addressed postcard, which lists, on the message sideapplicant's name and address, the applicationnumber, and filing date, the types of paperssubmitted with the reply (i.e., 1 sheet of drawings, 2pages of amendments, 1 page of an oath/declaration,etc.) This postcard will be stamped with the date ofreceipt by the mailroom and returned to applicant.This postcard will be applicant's evidence that thereply was received by the Office on that date.

If applicant changes his or her mailing address afterfiling an application, the Office must be notified inwriting of the new address. Failure to do so willresult in future communications being mailed to theold address, and there is no guarantee that thesecommunications will be forwarded to applicant's newaddress. Applicant's failure to receive, and properlyreply to these Office communications will result inthe application being held abandoned. Notificationof “Change of Address” should be made by separateletter, and a separate notification should be filed foreach application.

Reconsideration

Upon submission of a reply to an Office action, theapplication will be reconsidered and furtherexamined in view of applicant's remarks and anyamendments included with the reply. The examiner

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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.

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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.

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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

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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



35 U.S.C. 102 Conditions for patentability;novelty and loss of right to patent

A person shall be entitled to a patent unless -

(a) the invention was known or used by others inthis country, or patented or described in a printedpublication in this or a foreign country, before theinvention thereof by the applicant for patent, or

(b) the invention was patented or described in aprinted publication in this or a foreign country orin public use or on sale in this country, more thanone year prior to the date of the application forpatent in the United States,

or

(c) he has abandoned the invention,

or

(d) the invention was first patented or caused tobe patented, or was the subject of an inventor'scertificate, by the applicant or his legalrepresentatives or assigns in a foreign countryprior to the date of the application for patent inthis country on an application for patent orinventor's certificate filed more than twelvemonths before the filing of the application in theUnited States,

or

(e) the invention was described in-

(1)an application for patent, published undersection 122(b), by another filed in the UnitedStates before the invention by the applicant forpatent, except that an international applicationfiled under the treaty defined in section 351(a)shall have the effect under this subsection of anational application published under section122(b) only if the international applicationdesignating the United States was publishedunder Article 21(2)(a) of such treaty in theEnglish language; or

(2)a patent granted on an application for patent

by another filed in the United States before theinvention by the applicant for patent, exceptthat a patent shall not be deemed filed in theUnited States for the purposes of thissubsection based on the filing of aninternational application filed under the treatydefined in section 351(a);

or

(f) he did not himself invent the subject mattersought to be patented,

or

(g) (1) during the course of an interferenceconducted under section 135 or section 291,another inventor involved therein establishes, tothe extent permitted in section 104, that beforesuch person's invention thereof the invention wasmade by such other inventor and not abandoned,suppressed, or concealed, or (2) before suchperson's invention thereof, the invention wasmade in this country by another inventor who hadnot abandoned, suppressed, or concealed it. Indetermining priority of invention under thissubsection, there shall be considered not only therespective dates of conception and reduction topractice of the invention, but also the reasonablediligence of one who was first to conceive andlast to reduce to practice, from a time prior toconception by the other.

35 U.S.C. 103 Conditions for patentability; non-obvious subject matter

(a) A patent may not be obtained though theinvention is not identically disclosed or describedas set forth in section 102 of this title, if thedifferences between the subject matter sought tobe patented and the prior art are such that thesubject matter as a whole would have beenobvious at the time the invention was made to a

19

Patent Laws That Apply to Design Patent Applications



person having ordinary skill in the art to whichsaid subject matter pertains. Patentability shallnot be negatived by the manner in which theinvention was made.

(b) (1) Notwithstanding subsection (a), and upontimely election by the applicant for patent toproceed under this subsection, a biotechnologicalprocess using or resulting in a composition ofmatter that is novel under section 102 andnonobvious under subsection (a) of this sectionshall be considered nonobvious if-

(A) claims to the process and the compositionof matter are contained in either the sameapplication for patent or in separateapplications having the same effective filingdate;

and

(B) the composition of matter, and the processat the time it was invented, were owned by thesame person or subject to an obligation ofassignment to the same person.

(2) A patent issued on a process under paragraph (1)-

(A) shall also contain the claims to thecomposition of matter used in or made bythat process,

or

(B) shall, if such composition of matter isclaimed in another patent, be set to expire onthe same date as such other patent,notwithstanding section 154.

(3) For purposes of paragraph (1), the term“biotechnological process” means-

(A) a process of genetically altering orotherwise inducing a single- or multi-celledorganism to-

(i) express an exogenous nucleotidesequence,

(ii) inhibit, eliminate, augment, or alterexpression of an endogenous nucleotidesequence,

or

(iii) express a specific physiologicalcharacteristic not naturally associated withsaid organism;

(B) cell fusion procedures yielding a cell linethat expresses a specific protein, such as amonoclonal antibody;

and

(C) a method of using a product produced by aprocess defined by subparagraph (A) or (B), ora combination of subparagraphs (A) and (B).

(c) Subject matter developed by another person,which qualifies as prior art only under one ormore of subsections (e), (f), and (g) of section 102of this title, shall not preclude patentability underthis section where the subject matter and theclaimed invention were, at the time the inventionwas made, owned by the same person or subjectto an obligation of assignment to the same person.

35 U.S.C. 112 Specification

The specification shall contain a written descriptionof the invention, and of the manner and process ofmaking and using it, in such full, clear, concise, andexact terms as to enable any person skilled in the artto which it pertains, or with which it is most nearlyconnected, to make and use the same, and shall setforth the best mode contemplated by the inventor ofcarrying out his invention.

The specification shall conclude with one or moreclaims particularly pointing out and distinctlyclaiming the subject matter, which the applicantregards as his invention.

A claim may be written in independent or, if thenature of the case admits, in dependent or multipledependent form.

Subject to the following paragraph, a claim independent form shall contain a reference to a claimpreviously set forth and then specify a furtherlimitation of the subject matter claimed. A claim independent form shall be construed to incorporate byreference all the limitations of the claim to which itrefers.

A claim in multiple dependent form shall contain areference, in the alternative only, to more than oneclaim previously set forth and then specify a furtherlimitation of the subject matter claimed. A multipledependent claim shall not serve as a basis for anyother multiple dependent claim. A multipledependent claim shall be construed to incorporate byreference all the limitations of the particular claim inrelation to which it is being considered.



An element in a claim for a combination may beexpressed as a means or step for performing aspecified function without the recital of structure,material, or acts in support thereof, and such claimshall be construed to cover the correspondingstructure, material, or acts described in thespecification and equivalents thereof.

35 U.S.C. 132 Notice of rejection; reexamination

(a) Whenever, on examination, any claim for a patentis rejected, or any objection or requirement made, theDirector shall notify the applicant thereof, stating thereasons for such rejection, or objection orrequirement, together with such information andreferences as may be useful in judging of thepropriety of continuing the prosecution of hisapplication; and if after receiving such notice, theapplicant persists in his claim for a patent, with orwithout amendment, the application shall bereexamined. No amendment shall introduce newmatter into the disclosure of the invention.

(b) The Director shall prescribe regulations toprovide for the continued examination ofapplications for patent at the request of the applicant.The Director may establish appropriate fees for suchcontinued examination and shall provide a 50 percent

reduction in such fees for small entities that qualifyfor reduced fees under section 41(h)(1) of this title.

35 U.S.C. 171 Patents for designs

Whoever invents any new, original, and ornamentaldesign for an article of manufacture may obtain apatent therefor, subject to the conditions andrequirements of this title.

The provisions of this title relating to patents forinventions shall apply to patents for designs, exceptas otherwise provided.

35 U.S.C. 172 Right of priority

The right of priority provided for by subsections (a)through (d) of section 119 of this title and the timespecified in section 102(d) shall be six months in thecase of designs. The right of priority provided for bysection 119(e) of this title shall not apply to designs.

35 U.S.C. 173 Term of design patent

Patents for designs shall be granted for the term offourteen years from the date of grant.

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37 CFR 1.3 Business to be conducted withdecorum and courtesy

Applicants and their attorneys or agents arerequired to conduct their business with the Patentand Trademark Office with decorum and courtesy.Papers presented in violation of this requirementwill be submitted to the Commissioner and will bereturned by the Commissioner's direct order.Complaints against examiners and other employeesmust be made in correspondence separate fromother papers.

37 CFR 1.63 Oath or declaration

(a) An oath or declaration filed under § 1.51(b)(2), asa part of a nonprovisional application must:

(1) Be executed, i.e., signed, in accordance witheither § 1.66 or § 1.68. There is no minimum agefor a person to be qualified to sign, but the personmust be competent to sign, i.e., understand thedocument that the person is signing;

(2) Identify each inventor by full name, includingthe family name, and at least one given namewithout abbreviation together with any othergiven name or initial;

(3) Identify the country of citizenship of eachinventor;

and

(4) State that the person making the oath ordeclaration believes the named inventor orinventors to be the original and first inventor orinventors of the subject matter which is claimedand for which a patent is sought.

(b) In addition to meeting the requirements ofparagraph (a) of this section, the oath or declarationmust also:

(1) Identify the application to which it is directed;

(2) State that the person making the oath ordeclaration has reviewed and understands thecontents of the application, including the claims,as amended by any amendment specificallyreferred to in the oath or declaration;

and

(3) State that the person making the oath ordeclaration acknowledges the duty to disclose tothe Office all information known to the person tobe material to patentability as defined in § 1.56.

(c) Unless such information is supplied on anapplication data sheet in accordance with § 1.76, theoath, or declaration must also identify:

(1) The mailing address, and the residence if aninventor lives at a location which is different fromwhere the inventor customarily receives mail, ofeach inventor;

and

(2) Any foreign application for patent (orinventor's certificate) for which a claim forpriority is made pursuant to § 1.55, and anyforeign application having a filing date before thatof the application on which priority is claimed, byspecifying the application number, country, day,month, and year of its filing.

(d) (1) A newly executed oath or declaration is notrequired under § 1.51(b)(2) and § 1.53(f) in acontinuation or divisional application, provided that:

(i) The prior nonprovisional applicationcontained an oath or declaration as prescribedby paragraphs (a) through (c) of this section;

(ii) The continuation or divisional applicationwas filed by all or by fewer than all of theinventors named in the prior application;

(iii) The specification and drawings filed inthe continuation or divisional application

Patent Rules That Apply to Design Patent Applications



contain no matter that would have been newmatter in the prior application;

and

(iv) A copy of the executed oath or declarationfiled in the prior application, showing thesignature or an indication thereon that it wassigned, is submitted for the continuation ordivisional application.

(2) The copy of the executed oath or declarationsubmitted under this paragraph for a continuationor divisional application must be accompanied bya statement requesting the deletion of the name ornames of the person or persons who are notinventors in the continuation or divisionalapplication.

(3) Where the executed oath or declaration ofwhich a copy is submitted for a continuation ordivisional application was originally filed in aprior application accorded status under § 1.47, thecopy of the executed oath or declaration for suchprior application must be accompanied by:

(i) A copy of the decision granting a petition toaccord § 1.47 status to the prior application,unless all inventors or legal representativeshave filed an oath or declaration to join in anapplication accorded status under § 1.47 ofwhich the continuation or divisionalapplication claims a benefit under 35 U.S.C.120, 121, or 365(c);

and

(ii) If one or more inventor(s) or legalrepresentative(s) who refused to join in theprior application or could not be found orreached has subsequently joined in the priorapplication or another application of which thecontinuation or divisional application claims abenefit under 35 U.S.C. 120, 121, or 365(c), acopy of the subsequently executed oath(s) ordeclaration(s) filed by the inventor or legalrepresentative to join in the application.

(4) Where the power of attorney (or authorizationof agent) or correspondence address was changedduring the prosecution of the prior application,the change in power of attorney (or authorizationof agent) or correspondence address must beidentified in the continuation or divisionalapplication. Otherwise, the Office may notrecognize in the continuation or divisionalapplication the change of power of attorney (or

authorization of agent) or correspondence addressduring the prosecution of the prior application.

(5) A newly executed oath or declaration must befiled in a continuation or divisional applicationnaming an inventor not named in the priorapplication.

(e) A newly executed oath or declaration must befiled in any continuation-in-part application, whichapplication may name all, more, or fewer than all ofthe inventors named in the prior application.

37 CFR 1.76 Application data sheet

(a) Application data sheet. An application data sheetis a sheet or sheets that may be voluntarily submittedin either provisional or nonprovisional applications,which contains bibliographic data, arranged in aformat specified by the Office. If an application datasheet is provided, the application data sheet is part ofthe provisional or nonprovisional application forwhich it has been submitted.

(b) Bibliographic data. Bibliographic data as used inparagraph (a) of this section includes:

(1) Applicant information. This informationincludes the name, residence, mailing address,and citizenship of each applicant (§ 1.41(b)). Thename of each applicant must include the familyname, and at least one given name withoutabbreviation together with any other given nameor initial. If the applicant is not an inventor, thisinformation also includes the applicant' sauthority (§§ 1.42, 1.43, and 1.47) to apply for thepatent on behalf of the inventor.

(2) Correspondence information. This informa-tion includes the correspondence address, whichmay be indicated by reference to a customernumber, to which correspondence is to be directed(see § 1.33(a)).

(3) Application information. This informationincludes the title of the invention, a suggestedclassification, by class and subclass, theTechnology Center to which the subject matter ofthe invention is assigned, the total number ofdrawing sheets, a suggested drawing figure forpublication (in a nonprovisional application), anydocket number assigned to the application, thetype of application (e.g., utility, plant, design,reissue, provisional), whether the application

23



discloses any significant part of the subject matterof an application under a secrecy order pursuantto § 5.2 of this chapter (see § 5.2(c)), and, forplant applications, the Latin name of the genusand species of the plant claimed, as wellas the variety denomination. The suggestedclassification and Technology Center informationshould be supplied for provisional applicationswhether or not claims are present. If claims arenot present in a provisional application, thesuggested classification and Technology Centershould be based upon the disclosure.

(4) Representative information. This informationincludes the registration number of eachpractitioner having a power of attorney orauthorization of agent in the application(preferably by reference to a customer number).Providing this information in the application datasheet does not constitute a power of attorney orauthorization of agent in the application (see§ 1.34(b)).

(5) Domestic priority information. Thisinformation includes the application number, thefiling date, the status (including patent number ifavailable), and relationship of each applicationfor which a benefit is claimed under 35 U.S.C.119(e), 120, 121, or 365(c). Providing thisinformation in the application data sheetconstitutes the specific reference required by 35U.S.C. 119(e) or 120, and § 1.78(a)(2) or§ 1.78(a)(4), and need not otherwise be made partof the specification.

(6) Foreign priority information. Thisinformation includes the application number,country, and filing date of each foreignapplication for which priority is claimed, as wellas any foreign application having a filing datebefore that of the application for which priority isclaimed. Providing this information in theapplication data sheet constitutes the claim forpriority as required by 35 U.S.C. 119(b) and§ 1.55(a).

(7) Assignee information. This informationincludes the name (either person or juristic entity)and address of the assignee of the entire right,title, and interest in an application. Providing thisinformation in the application data sheet does notsubstitute for compliance with any requirement ofpart 3 of this chapter to have an assignmentrecorded by the Office.

(c) Supplemental application data sheets.Supplemental application data sheets:

(1) May be subsequently supplied prior topayment of the issue fee either to correct orupdate information in a previously submittedapplication data sheet, or an oath or declarationunder § 1.63 or § 1.67, except that inventorshipchanges are governed by § 1.48, correspondencechanges are governed by § 1.33(a), andcitizenship changes are governed by § 1.63 or§ 1.67;

and

(2) Should identify the information that is beingchanged (added, deleted, or modified) andtherefore need not contain all the previouslysubmitted information that has not changed.

(d) Inconsistencies between application data sheetand oath or declaration. For inconsistenciesbetween information that is supplied by both anapplication data sheet under this section and by anoath or declaration under §§ 1.63 and 1.67:

(1) The latest submitted information will governnotwithstanding whether supplied by anapplication data sheet, or by a § 1.63 or § 1.67oath or declaration, except as provided byparagraph (d)(3) of this section;

(2) The information in the application data sheetwill govern when the inconsistent information issupplied at the same time by a § 1.63 or § 1.67oath or declaration, except as provided byparagraph (d)(3) of this section;

(3) The oath or declaration under § 1.63 or § 1.67governs inconsistencies with the application datasheet in the naming of inventors (§ 1.41(a)(1))and setting forth their citizenship (35 U.S.C. 115);

(4) The Office will initially capture bibliographicinformation from the application data sheet(notwithstanding whether an oath or declarationgoverns the information). Thus, the Office shallgenerally not look to an oath or declaration under§ 1.63 to see if the bibliographic informationcontained therein is consistent with thebibliographic information captured from anapplication data sheet (whether the oath ordeclaration is submitted prior to or subsequent tothe application data sheet). Capturedbibliographic information derived from anapplication data sheet containing errors may berecaptured by a request therefor and the



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



(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



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



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.



(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



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



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



and

(ii) A statement that a pre-examination searchwas conducted. The statement must alsoindicate the field of search and include aninformation disclosure statement incompliance with § 1.98.

(b) The Office will not examine an application that isnot in condition for examination (e.g., missing basicfiling fee) even if the applicant files a request forexpedited examination under this section.

Sample Specification

I, (Name)________________________________________________ have invented a new design for a

(Title)_________________________________________________ as set forth in the following specification:

FIG. 1 is a _______________________ view of a __________________________ showing my new design;

FIG. 2 is a _______________________ view thereof;



FIG. 5 is a _______________________ view thereof; and

FIG. 6 is a _______________________ view thereof.

I claim: The ornamental design for a _________________________________________________ as shown.

*Applicants are referred to the Disclosure Examples on Pages 9-13, to determine the proper wording andnumber of Figure Descriptions appropriate to their disclosure. Questions regarding a design patentapplication and its forms may be directed to Jim Gandy, Design Patent Practice Specialist at 703.305.3264.


United States Patent and Trademark OfficeWashington, DC 20231

An Agency of the United States Department of Commerce